Title 11 Ill. Adm. Code — Alcohol, Horse Racing, Lottery, and Video Gaming

Chapter I Illinois Liquor Control Commission

Part 100 The Illinois Liquor Control Commission

11 Ill. Adm. Code 100.5 Penalties

Any licensee who violates these Rules and Regulations or any part thereof adopted by the Commission under authority vested in it by Section 3-12(2) of the Liquor Control Act [235 ILCS 5/3-12(2)] will be subject to the penalties of revocation or suspension or fine as set forth in Section 3-12(1) of the Act [235 ILCS 5/3-12(1) or to the penalties as prescribed in Sections 10-1 and 10-4 of the Act [235 ILCS 5/10-1 and 10-4].

History

• Source: Amended at 18 Ill. Reg. 4811, effective March 9, 1994

11 Ill. Adm. Code 100.10 Definitions

The following words or phrases are defined as follows:

"Act" means the Liquor Control Act of 1934 [235 ILCS 5].

"Airplane" shall be deemed to include railroads and airplanes.

"Alcoholic Liquor" includes alcohol, spirits, wine and beer, and every liquid or solid, patented or not, containing alcohol, spirits, wine or beer, and, in the judgment of the Commission, capable of being consumed as a beverage by a human being. The word "solid" means any substance which, by dilution or processing, becomes an alcoholic beverage. [235 ILCS 5/1-3.05]

"Commission" means Illinois Liquor Control Commission.

"Co-branded alcoholic beverage" means any alcoholic liquor containing the same or similar brand name, logo, or packaging as a non-alcoholic beverage.

"Co-partnership" means an association of two or more persons to carry on as co-owners of a business for profit.

"Corporation" means any corporation, domestic or foreign, qualified to do business in the State of Illinois under the Business Corporation Act of 1983 [805 ILCS 5], including a limited liability company as defined in this Section.

"Department" means the Illinois Department of Revenue.

"Event" means a single theme.

"IAPA" means the Illinois Administrative Procedure Act [5 ILCS 100].

"Immediately adjacent" means directly touching or immediately bordering one another from above, below, or the side. "Immediately adjacent" does not include a separate aisle.

"Limited Liability Company" means a legal business entity created and recognized under the Illinois Limited Liability Company Act [805 ILCS 180].

"Manager" or "Agent" means any individual employed by any licensed place of business, provided the individual possesses the same qualifications required of the licensee. Satisfactory evidence of such employment will be furnished the Commission in the form and manner as the Commission shall from time to time prescribe.

"Manufacturer" means every brewer, fermenter, distiller, rectifier, wine maker, blender, processor, bottler or person who fills or refills an original package, whether for themself or for another, and others engaged in brewing, fermenting, distilling, rectifying or bottling alcoholic liquors. "Manufacturer" shall include every person who, in the process of filling or refilling an original package with alcoholic liquors purchased by such person, changes the degree or quality of such alcoholic liquors by any manner or means whatsoever. [235 ILCS 5/1-3.08]

"Meal" means food that is prepared and served on the licensed premises and excludes the serving of snacks.

"Minor" means a person under 18 years of age. (See A.G. opinion No. S-672 12/27/73.)

"Partner" is any individual who is a member of a co-partnership.

"Person" includes corporations, co-partnerships, associations, clubs, individuals, trustees, receivers, assignees, and executors, administrators or other personal representatives of decedents.

"Premises" or "Place of Business" means the place or location where alcoholic beverages are manufactured, stored, displayed, or offered for sale or where drinks containing alcoholic beverages are mixed, concocted and served for consumption. Not included are sidewalks, streets, parking areas and grounds adjacent to any such place or location.

"Resident" means any person (other than a corporation) who has resided, and maintained a bona fide residence, in the State of Illinois for at least one year and in the city, village or county in which the premises covered by the license are located for at least 90 days prior to making application for such license.

"Retail sales floor" means the part of a retailer's premises that contains goods on display that are freely accessible to the consumer.

"Service Bar" means a place or location not within view of the general public where beer and wine may be poured and served through a draught system. A service bar may only be located in a kitchen, food preparation area, or wait or server station area of a retail licensee who primarily serves meals, as described in this Section.

"Tasting" means a supervised presentation of alcoholic products to the public at an off-premise licensed retailer for the purpose of disseminating product information and education, with consumption of alcoholic products being an incidental part of the presentation. Only products registered with the Commission may be tasted in the following amounts: Distilled Spirits ¼ oz., Wine 1 oz., and Beer 2 oz.; notice of the tasting may be given. Tasting must be done by a licensee and/or a registered tasting representative in accordance with Section 100.40.

"Test Marketing" means to test new products or products unfamiliar to the sampler through a marketing firm or the like.

"Wine" means any alcoholic beverage obtained by the fermentation of the natural contents of fruits, vegetables or honey, containing sugar, including such beverages when fortified by the addition of alcohol or spirits, provided that the alcoholic content does not exceed 24 per cent of alcohol by volume. [235 ILCS 5/1-3.03]

History

• Source: Amended at 47 Ill. Reg. 14117, effective September 21, 2023

11 Ill. Adm. Code 100.20 Employment of Minors

In the sale, distribution or delivery of alcoholic liquors, no retail alcoholic liquor licensee may employ, with or without compensation, or in any way directly or indirectly, use the services of a minor.

History

• Source: Amended at 18 Ill. Reg. 4811, effective March 9, 1994

11 Ill. Adm. Code 100.30 Violation of Federal Law, State Statute or City, Village or County Ordinance or Regulation

a) No person holding a license issued by the Commission shall in the conduct of the licensed business or upon the licensed premises:

1. Violate any Federal law or State statute.

2. Violate any city, village, town or county ordinance or resolution regulating the sale of alcoholic liquors.

3. Suffer or permit a violation of any Federal law or law of the State of Illinois, or of any rule of the Commission.

4. Suffer or permit a violation of the city, village, town or county ordinance or resolution regulating the sale of alcoholic liquor.

b) Violations may be proved by evidence that the licensee has been convicted of a violation of a Federal law or a law of the State of Illinois in the conduct of the licensed business or upon the premises, or has been found guilty of violating any city, village, town or county ordinance or resolution regulating the sale of alcoholic liquors.

c) Proof before this Commission of facts which establish a violation of any Federal law, State statute, city, village, town or county ordinance or resolution or rule of the Commission, shall be sufficient cause for imposing a fine, revocation or suspension of any license issued by the Commission, irrespective of whether or not a conviction has been obtained in any court.

History

• Source: Amended at 23 Ill. Reg. 3787, effective March 15, 1999

11 Ill. Adm. Code 100.40 Registration of Tasting Representatives

a) Any non-licensee wishing to conduct a tasting as defined in Section 100.10 must register with the Commission. A registered tasting representative acts as the agent of the licensee.

b) Registration is fulfilled by submitting a Commission form including the name, address, social security number and telephone number of the registrant; name, address and telephone number of the licensee for which the registrant will be acting and any other licensee being represented; and a $100 administrative fee payable annually to the Commission. Registration shall be completed at least 14 days prior to the initial tasting. Any application received less than 14 days prior to the initial tasting will be assessed a $25 late fee.

c) Registration identification, or a copy thereof, must be available for inspection during a tasting.

d) Any applicant must meet all eligibility requirements as stated in 235 ILCS 5/6-2.

History

• Source: Amended at 23 Ill. Reg. 3787, effective March 15, 1999

11 Ill. Adm. Code 100.50 Advertising

a) General Requirements:

Federal Alcohol Administration Regulation No. 4 relating to the advertising of wine (27 CFR 4 (1998), no subsequent dates or editions), Federal Alcohol Administration Regulation No. 5 relating to the advertising of distilled spirits (27 CFR 5 (1998), no subsequent dates or editions) and Federal Alcohol Regulation No. 7 relating to the advertising of malt beverages (27 CFR 7 (1998), no subsequent dates or editions) are hereby adopted and made a part of this Section for advertising of wine, distilled spirits and malt beverages insofar as the federal regulations are not contrary to, or inconsistent with, the provisions of the laws of Illinois or this Part.

b) Advertising:

1. No licensee, or the agent or representative thereof, may advertise any alcoholic beverage in any medium intended for circulation, viewing or listening within this State unless such advertisement is in conformity with the provisions of this Part.

2. Such advertisement shall conform to the approved label upon the immediate container of the alcoholic liquor advertised.

3. Such advertisements shall not contain illustrations of children nor shall they make use of any material which would make a special appeal to juveniles.

4. Such advertisements shall not contain any material which is false or untrue in any respect.

History

• Source: Amended at 23 Ill. Reg. 3787, effective March 15, 1999

11 Ill. Adm. Code 100.60 Geographical Territories

a) Every manufacturer, distributor, importing distributor, foreign importer or nonresident dealer who owns or controls the trademark, brand or name of any alcoholic liquor, sold or intended for sale in Illinois, shall register with the Commission the names of all persons to whom the right is granted to sell or distribute alcoholic liquor, at wholesale, specifying the trade-mark, brand or name of the alcoholic liquor, and the geographical territory or territories for which such distributing rights have been given. A copy of the Registration Statement and Withdrawal of Registration filed with the Commission shall be sent certified or registered mail to all those listed thereon to serve as notice of the contents.

b) No such registration shall be made by any one other than the manufacturer, distributor, importing distributor, foreign importer or nonresident dealer owning or controlling such trade-mark, brand or name.

c) No distributor, importing distributor or foreign importer shall sell, purchase, receive or distribute at wholesale in Illinois, or shall transport or cause to be transported for sale at wholesale in Illinois any alcoholic liquor, bearing any such trade-mark, brand or name outside of the respective geographical territory for which distributing rights have been given such distributor, importing distributor, or foreign importer as registered with the Commission in accordance with the provisions hereof.

d) No retailer may, knowingly purchase or receive for sale at retail any alcoholic liquor, bearing any such trade-mark, brand or name from any distributor not having distributing rights in the geographical area in which the place of business of such retailer is situated.

e) No manufacturer, distributor, importing distributor, foreign importer or nonresident dealer shall wilfully fail to register with the Commission as herein provided.

History

• Source: Amended at 18 Ill. Reg. 4811, effective March 9, 1994

11 Ill. Adm. Code 100.70 Labels

a) No manufacturer, nonresident dealer, distributor or importing distributor shall sell or deliver any package or container containing alcoholic liquor manufactured or delivered by that person unless the package and/or container is labeled in conformity with this Section.

b) General requirements and Restrictions:

1. Federal Alcohol Administration Regulations Nos. 4, 5 and 7 relating to the labeling of wine, distilled spirits and malt beverages (27 CFR 4, 5, and 7, April 1998, not including any later amendments or editions) are hereby adopted and made a part of this Section for labeling every package or container of wine, distilled spirits and malt beverages, with the following exception: wine includes all products as defined in Section 1-3.03 of the Act [235 ILCS 5/1-3.03] and Section 100.10 of this Part.

2. The aforesaid regulations shall apply to wine, distilled spirits and malt beverages packaged purely for intrastate commerce within the State of Illinois to the same extent as though intended for interstate or foreign shipment.

3. No manufacturer, nonresident dealer, distributor or importing distributor shall affix any label to any package or container containing alcoholic liquor for sale or delivery in the State of Illinois until such label has been submitted to and approved by the federal government. Such manufacturer, nonresident dealer, distributor or importing distributor shall submit to the Commission a photostatic copy of the federal label approval.

4. Wine Labels

A) Wine labels must contain the name and address of the manufacturer or the bottler of the product.

B) For the purpose of this Section, the use of an assumed trade name which has been registered with the Clerk of the County in which the manufacturer or bottler is located is acceptable.

5. Malt Beverage Labels

A) Malt beverage labels must contain the name and address of the brewery which manufactured or canned or bottled the product.

B) For the purpose of this Section, the use of an assumed trade name which has been registered with the Clerk of the County in which the manufacturer or bottler is located is acceptable.

6. Distilled Spirits Labels

A) Labels of all alcoholic liquors other than wine and malt beverages must contain either the phrase "Bottled By" or "Distilled By" (or other descriptive identification of the manufacturer of the product) followed by the name and address of the bottler or manufacturer, as the case may be.

B) For the purpose of this Section, the use of an assumed trade name which has been registered with the Clerk of the County in which the manufacturer or bottler is located is acceptable.

7. No statement of age shall be made with respect to gins, cordials, liqueurs or specialties.

8. The Commission shall withhold approval of any label if it has reasonable cause to believe that the wording or design contained on the label may, in any manner, tend to deceive the purchaser as to the true nature of such alcoholic liquor.

History

• Source: Amended at 23 Ill. Reg. 3787, effective March 15, 1999

11 Ill. Adm. Code 100.80 Bonds (repealed)

History

• Source: Repealed at 8 Ill. Reg. 6041, effective April 19, 1984

11 Ill. Adm. Code 100.90 Credit to Retail Licensees

The following rule shall govern in the application of the provisions of Section 6-5 of the Act [235 ILCS 5/6-5] relating to extension of credit to retail licensees by manufacturers, distributors and manufacturers with limited self-distribution privileges:

a) When two or more retail licensees are controlled by common ownership and one or more of the retail licensees becomes delinquent, all retail licensees under the common ownership shall be deemed delinquent. "Common ownership" shall be any ownership interest of more than 5% of the total ownership interests in each retailer.

b) In totaling the 30 day period for the purpose of determining the delinquency of a retailer, the first day shall be the day immediately following the date of the invoice of the purchase in question, if the invoice date and delivery are the same, and on the delivery date if the invoice is dated before the date of delivery, and all successive days shall be included, Sunday as well as holidays, up to and including the thirtieth successive day.

c) When a bona fide sale of a retail business occurs, the purchaser shall not be deemed delinquent because of the delinquency of the purchaser's predecessor in interest; however, in the event there is a continuity of interest, direct or indirect, between the seller and the purchaser, including, but not limited to, a change in control of the retailer licensee that requires notification to be filed with either the Commission or any local liquor control commissioner, the latter shall be deemed delinquent in the same manner, and to the same extent, as was the seller. In the event any bankruptcy proceeding is instituted by or against a retail liquor licensee, the "automatic stay" provision of the federal bankruptcy law mandates that the retail liquor licensee not be reported as "delinquent" pursuant to Section 6-5 of the Act. In order for that retail liquor licensee to continue to purchase alcoholic liquors, although not on credit, the properly filed bankruptcy petition must be served upon the Commission and the Wine and Spirits Distributors of Illinois (WSDI). Upon service of the filed petition on the Commission and WSDI, that retailer shall be automatically suspended from the delinquency list, if the retail liquor licensee was on the list. Additionally, proper service shall automatically suspend the application of the Illinois 30-day credit law (Section 6-5 of the Act) to any importing distributor, distributor or self-distributing manufacturer as to that retailer during the pendency of the bankruptcy petition. Nothing in this Section shall limit or foreclose importing distributors, distributors or self-distributing manufacturers from requiring retailers with pending bankruptcy actions to remit payment for wine and distilled spirits products on a COD or pre-payment prior to delivery basis.

d) When there exists a bona fide dispute between the retailer and the importing distributor, distributor or manufacturer as to the fact of payment for a given sale, the sale in itself shall not be deemed sufficient grounds for considering the retailer delinquent. Bona fide disputes shall be submitted to the Commission for hearing, which shall be expedited and heard at the next regularly scheduled meeting of the Commission.

e) When a retailer pays a salesman, or other agent of the importing distributor, distributor or manufacturer, the payment shall be deemed effective upon the receipt of the money or check by the salesman or other agent.

f) When a retailer is deemed delinquent and, therefore, not able to purchase for cash, or otherwise, any alcoholic liquors, the retailer may, nevertheless, purchase beer for cash.

g) Payment received from a delinquent retailer after the first business day of the calendar week and before a verified written statement of delinquency has been submitted to the Commission will entitle the manufacturer, importing distributor or distributor submitting the list to delete that retailer's name from the list.

h) Determinations of delinquency or non-delinquency shall be made by the Chairman, Executive Director or any individual so authorized by the Chairman or Executive Director on the basis of the verified report of delinquency and any affidavits or counter-affidavits before him or her. Any retail licensee objecting to the determination may request the Commission in writing for a hearing that will be set at the next regularly scheduled meeting of the Commission.

i) A copy of any verified written list of delinquencies shall be simultaneously caused to be forwarded to listed retail licensees by the manufacturer, importing distributor or distributor submitting the list.

j) Payment in cash by the retail licensee shall mean payment in legal tender as provided by the United States Code, checks (including certified checks, cashier's checks, teller's checks or traveler's checks), debit cards, drafts and electronic transfer of funds, provided the transfer of funds is initiated by an irrevocable payment order on or before the date payment is due.

k) Checks are the equivalent of payment in cash so long as they are not post-dated and are deposited by the importing distributor, distributor or manufacturer in the ordinary course of business. For purchases of wine and spirits, a post-dated check cleared prior to the end of the 30-day credit period, including any properly disclosed finance, delivery or other usual and customary charges in the industry, is considered to be a valid payment. An "NSF", void or stop payment check for purchases of wine and spirits that is properly replaced with cash or cash equivalent before the end of the 30-day period, including any properly disclosed usual and customary charges in the industry, is considered a valid payment.

l) Manufacturers, importing distributors or distributors may include finance, delivery and any and all usual and customary charges in the industry on credit issued and not paid and may charge usual and customary charges for NSF, void or stop-payment checks, provided a statement is printed on the original invoice delivered to the retailer at the time the merchandise is received indicating that the usual and customary charges will be assessed, with a statement specifying the terms and amounts of charges imposed. The charges, properly disclosed to the retailer, are considered to be part of the cost of the merchandise sold as of the invoice date and, therefore, the entire amount, including any usual and customary charges, must be paid before the retailer can be considered to be non-delinquent. All such usual and customary charges must be applied uniformly to all retailers.

m) A retailer may not charge a distributor, importing distributor or manufacturer for the costs of electronic transfers, nor may a distributor, importing distributor or manufacturer charge a retailer for the costs of electronic transfers. A retailer may not require a distributor, importing distributor or manufacturer to purchase or lease any software necessary to effectuate electronic transfers, nor may a distributor, importing distributor or manufacturer require a retailer to purchase or lease software necessary to effectuate electronic transfers. The use of the system must be available, but cannot be mandated as a requirement for conducting business, to all distributors, importing distributors, manufacturers and retailers. The use of a specific Value Added Network (VAN) cannot be mandated; all users of the system must be allowed to transmit information through any VAN. The users of the system must continue to maintain all required records of alcoholic beverage purchases and sales. The Commission shall have access, upon reasonable notice, to the systems for the purpose of inspection and review.

n) The use of electronic fund transfers shall be allowed so long as the transfer of funds is initiated by an irrevocable payment order on or before delivery of the alcoholic liquor and the transfer is supported by appropriate documentation.

History

• Source: Amended at 39 Ill. Reg. 4433, effective March 12, 2015

11 Ill. Adm. Code 100.100 Internal Changes Within Corporations

All corporations, partnerships, co-partnerships, limited liability companies, or other non-natural "persons" licensed by the Illinois Liquor Control Commission must report to the Commission within 30 days all internal changes in the corporation, partnership, co-partnership, limited liability company, or other non-natural "person" pertaining to change of name, officers, directors and stockholders holding in the aggregate more than five percent of the corporation stock, and shall include the name, home address, sex, date of birth, social security number, position and percentage of ownership (if any) not previously reported. In the event that the ownership of the licensee corporation, partnership, co-partnership, limited liability company, or other non-natural "person" licensed by the Commission is by another or other such corporations, partnerships, co-partnerships, limited liability companies, or other non-natural "person," such licensee must report the name, home address, sex, date of birth, social security number, position and percentage of ownership (if any) of the individuals holding in the aggregate more than a five percent ownership interest in the corporation, partnership, co-partnership, limited liability company, or other non-natural "person."

History

• Source: Amended at 23 Ill. Reg. 3787, effective March 15, 1999

11 Ill. Adm. Code 100.110 Application Forms

At least one person eligible to be issued, and to sign the application for, a liquor license must be 18 years of age or older (e.g., officer, director, stockholder, manager, agent or partner).

History

• Source: Amended at 23 Ill. Reg. 3787, effective March 15, 1999

11 Ill. Adm. Code 100.120 Railroad Licenses

a) A railroad license shall be required for every club, buffet, lounge or dining car on a railway operating in the State of Illinois on which alcoholic liquors are sold or offered for sale. Likewise, a railroad license is required for every such railroad car to which deliveries of alcoholic liquors intended to be offered for sale or sold thereon are made within the State of Illinois, even though such offer for sale or sale will only be made beyond the borders of the State of Illinois.

b) Only one application is required to be filed by each operator, but the application shall state thereon, or upon schedules submitted therewith, the names, numbers and classification of all cars for which a railroad license is required as provided in paragraph a above.

c) A railroad license shall be issued for each car described in an application. Each license shall state the name, number and classification of the car to which it applies. Such license shall at all times be displayed in the car to which it applies in the manner provided in the Act, or the railroad licenses shall be maintained at the licensee's business premises in Illinois.

d) If during any licensing period any car for which a license has been issued for any reason ceases to operate in or over the State of Illinois and another is substituted in its place, a new license will not be required for the car substituted, but the operator must transfer the issued license from the licensed car to the substitute car.

e) It is the intent and purpose of this Rule to require a license for each car in which alcoholic liquors are sold or offered for sale in or over the State of Illinois. Any operator who, by reason of changes of schedules, additions of trains or equipment, or otherwise, increases the number of cars for which licenses are required beyond the existing number of licenses theretofore issued to such operator during that licensing period, shall make an application and receive a license for each added or additional car.

f) A railroad license permits the sale of alcoholic liquors only for consumption upon the train on which they are sold. No railroad licensee or any agent or employee thereof, is permitted to sell and deliver to any purchaser any alcoholic beverage in an unopened original package.

History

• Source: Amended at 18 Ill. Reg. 4811, effective March 9, 1994

11 Ill. Adm. Code 100.130 Books and Records

a) It is the duty of each manufacturer, importing distributor, distributor and foreign importer to keep at all times complete and accurate records of all purchases and all sales or other dispositions of alcoholic liquor, and complete and accurate records of alcoholic liquor produced, manufactured, compounded or imported, whether for the licensee or for another. All books and records, which manufacturers, distributors, importing distributors and foreign importers are required by the Act to keep, shall be preserved for a period of three (3) years, unless the State Commission in writing authorizes their destruction or disposal at an earlier date.

b) Each such licensee is required to retain invoices and bills of lading covering sales of alcoholic liquors.

c) Each manufacturer, distributor, importing distributor and foreign importer must at the time of sale of any alcoholic liquors render to the purchaser an invoice describing the alcoholic liquor sold, the date of sale, to whom sold and the quantity sold. Duplicate copies of all such invoices must be made and preserved by such manufacturer, distributor, importing distributor and Foreign importer for audit purposes.

d) Each manufacturer, distributor, importing distributor and foreign importer shall keep a ledger or other records giving the name, license number and expiration date, and address of each purchaser of alcoholic liquors and information concerning each purchase, including invoice number, date of sale, amount of sale and date of payment therefor.

e) It is the duty of each retail licensee to keep on the licensed premises invoices, or copies thereof, covering purchases of alcoholic liquor for a period of 90 days after such purchase, unless the State Commission has granted a waiver in response to a written request in cases where books and records are kept at a central business location within the State of Illinois. If granted a waiver, each licensee will be required to have at each location a copy of the waiver granting permission to have the invoices located at a central business location. A copy of the waiver must be available for inspection at the location of the business within 30 days of the date of the signed waiver. An administrative fee of $10.00 per location, or $100 maximum for businesses with multiple locations of 10 or more, will be assessed. Before any change is made in the central business location where the invoices are to be kept, the Illinois Liquor Control Commission should be notified and a new waiver request form must be submitted to the Illinois Liquor Control Commission for prior approval. The waiver will remain effective unless and until a new waiver request has been approved by the Illinois Liquor Control Commission. Periodic updates may be required.

History

• Source: Amended at 18 Ill. Reg. 4811, effective March 9, 1994

11 Ill. Adm. Code 100.140 Miniatures (repealed)

11 Ill. Adm. Code 100.150 Salvaged Alcoholic Liquors

a) Insurance companies or their duly authorized representatives may take possession of alcoholic beverages insured by such companies and damaged as a result of flood, wreck, fire or similar occurrence, for which insurance was provided.

b) Common carriers or their duly authorized representatives may take possession of alcoholic beverages transported by such carrier and damaged in transit.

c) Alcoholic beverages salvaged may be sold to retail licensees provided the conditions enumerated in this Section have been complied with. Alcoholic beverages so salvaged shall be referred to as "distressed merchandise".

d) Each container of alcoholic beverages sold pursuant to this Section shall be labeled to identify the goods as distressed merchandise. The letters on the label shall be no smaller than 12 point type, bold faced. The label shall be no less than two inches long and one inch wide, and shall be affixed diagonally over the regular label on each container prior to delivery to any retail licensee. The label once applied shall not be capable of removal without damaging the label or causing damage to the underlying product label. The following statement shall be printed on the label: "The alcoholic beverages contained herein have been designated distressed merchandise by the Illinois Liquor Control Commission. This container has been salvaged from a fire, flood, wreck or similar catastrophe. This label is not affixed by the manufacturer. Do not remove this label."

e) Any insurance company, common carrier, or representative of either, seeking to sell distressed merchandise shall first obtain a distributor's license from the Commission. The application shall provide, "The applicant seeks to sell distressed merchandise in Illinois." Retailer's licenses may also be applied for, if the insurance company, common carrier, or representative of either, seeks to sell alcoholic liquors to consumers in Illinois.

f) Alcoholic beverages so salvaged outside of Illinois may not be imported into Illinois for purposes of sale pursuant to this Section. Prior to release of distressed merchandise for sale in Illinois, an affidavit by the insurance company's or common carrier's authorized representative must be presented to the Commission stating first hand knowledge that the distressed merchandise was salvaged from a fire, flood, wreck or similar catastrophe which occurred within the State of Illinois, stating with particularity the time, place and nature of the occurrence, and a complete inventory of the items so salvaged, including the quantity, brand names and container sizes.

g) In the event the tax provided under Art. VIII of the Act [235 ILCS 5/Art. VIII] is unpaid on the distressed merchandise, the applicant shall make payment of the tax on such merchandise to the Department of Revenue, and evidence of payment must be presented to the Commission prior to release of such distressed merchandise for sale in Illinois.

h) An entity seeking to sell distressed merchandise shall also indicate on its letter of application to sell such distressed merchandise in Illinois whether the sale shall be by auction or to a designated licensee. If the sale shall be by auction, the time and place of the auction and the name of the auctioneer or other person authorized to sell such distressed merchandise shall be listed. If the sale is to be made directly to a given licensee or licensees, the name and address of the licensee or licensees, together with the current State retail liquor license number of such licensee or licensees, shall be listed. No sale may be made by auction to any person, firm or corporation not licensed under the provisions of the Act.

i) Written approval and release for sale made under this Section must first be obtained from the Commission. Approval and release shall not be issued until a physical inspection has been made of the merchandise by an authorized representative of the Commission in order to determine that the seller has complied with this Section. After any sale of distressed merchandise has been completed, the insurance company, common carrier, or their representative, shall report in writing to the Commission the name of the licensee or licensees who purchased the distressed merchandise and the quantities and brand names of such distressed merchandise.

j) In the event that the seller disposed of less than the entire inventory of distressed merchandise, the written report shall list the remaining inventory, indicating the quantity, container sizes and brand names, the place where such inventory is stored, and the person in control or possession of such inventory.

k) No distressed merchandise shall be sold in Illinois where the original packages have been so damaged as to render the label illegible, or when the substantive labeling requirements under Section 6-7 of the Act [235 ILCS 5/6-7] and under Section 100.70 are not complied with as a result of the damage to the container.

History

• Source: Amended at 23 Ill. Reg. 3787, effective March 15, 1999

11 Ill. Adm. Code 100.160 Sanitation

a) All licensees must conduct their business in premises which are at all times kept clean and sanitary. This applies not only to licensed premises, but to places of storage as well. This includes also the place of storage for materials and equipment used in the manufacture of alcoholic liquor.

b) Cleaning Requirements

1. Each retailer, not using one of the systems referred to in subsection (b)(2), dispensing draught beer or wine shall have coils and other equipment used in drawing draught beer or wine cleaned at least once every week in some manner or means, either chemical or mechanical. The use of steam or hot water alone is not permissible.

2. Retailers utilizing systems such as "glycol," "constant cold," "electronic," or "constant cleaning," which are designed to prevent build-up of contaminants in the dispensing system, shall be required to have coils and other equipment used in drawing draught beer or wine cleaned at least once every two weeks in some manner or means, either chemical or mechanical, and monitor the operation of the system to determine it is operational and to verify its proper functioning, at least once every week.

3. A record shall be kept of the dates when the cleaning was done, signed by the person who actually performed the cleaning and monitoring.

c) No retail licensee shall offer for sale or possess on the licensed premises any bottles, casks or other containers of alcoholic liquor which contain any deleterious, contaminated, filthy, or putrid substance or insects.

d) No licensed manufacturer or importing distributor shall fill or refill any container of alcoholic liquor unless such person possesses upon the licensed premises adequate and sanitary equipment for cleaning, washing and sterilizing such container, and uses such equipment before filling or refilling a container.

e) Pre-mixed alcoholic beverages and their containers must comply with all sanitation requirements found in this Section, along with all prohibitions against refilling found in Section 100.290(c). All pre-mix dispensing containers or systems must be drained, contents disposed of, and thoroughly cleaned at least once every week. For mechanical systems a record shall be kept on the premises as to the dates the cleaning was done, signed by the person who actually performed the cleaning.

History

• Source: Amended at 23 Ill. Reg. 3787, effective March 15, 1999

11 Ill. Adm. Code 100.170 Taps

a) Each retail licensee selling malt beverages or wine on draught for consumption on the premises shall display a sign on, over or near each tap or faucet showing the trademark, brand or name of alcoholic liquor. This sign must be visible to patrons for a distance of at least ten feet unless it is a service bar as defined in Section 100.10.

b) Pursuant to subsection (a) of this Section, no licensee shall substitute any other brand of malt beverages or wine in place of the brand designated by such visible sign and the licensee shall be prepared at all times to serve any malt beverages or wine that are advertised by such sign or signs upon the premises.

History

• Source: Amended at 23 Ill. Reg. 3787, effective March 15, 1999

11 Ill. Adm. Code 100.180 Procedure Before Commission on Citations

a) The Commission shall have the right to proceed by citation and notice of hearing to require any licensee of the Commission to appear at a time and place specified in the notice to show cause why its State liquor license should not be suspended or revoked or a fine imposed for violations of the Illinois Liquor Control Act or this Part.

This Commission shall also have the right to proceed by citation and notice of hearing against a licensee for failure to respond to any Commission correspondence. This correspondence shall include but is not limited to any Violation Discharge Letters, Offers in Compromise, and Pre-Disciplinary Conferences.

b) All such original proceedings shall be instituted by complaint in writing, shall state the particular provision, rule or regulation alleged to have been violated and the facts in detail upon which such allegation is based and shall be signed by the Chairman or any member of the Commission.

c) The licensee against whom a complaint has been filed shall be entitled to be served with a copy of the complaint or citation and shall be given notice of the time and place set for the hearing of the complaint.

d) A citation and notice of hearing shall be served on the licensee named in the citation not less than 10 days prior to the date specified in the notice of hearing.

e) The licensee named in the citation and notice of hearing shall appear at the time and place designated in the citation and notice of hearing.

History

• Source: Amended at 23 Ill. Reg. 3787, effective March 15, 1999

11 Ill. Adm. Code 100.190 Procedure Before Commission on Request for Continuance of Any Hearing

a) A request for a continuance of any hearing in any matter before the Commission will not be allowed unless for a good and valid reason and unless made at least five (5) days prior to the date set for the hearing.

b) The Commission may in its discretion grant a continuance if extenuating and unusual circumstances are presented in support of the request for continuance.

11 Ill. Adm. Code 100.200 Wagering Stamps (repealed)

History

• Source: Repealed at 8 Ill. Reg. 6041, effective April 19, 1984

11 Ill. Adm. Code 100.210 Inducements

a) Distributors servicing, balancing, or inspecting draft beer or wine systems at regular intervals, and providing labor to replace or install rods, taps, faucets, fittings and lines in draft beer or wine dispensing equipment, shall not be considered a subsidy. However, free cleaning of coils by a distributor or by a company whose services are paid for by a distributor shall be considered a subsidy, or something of value in violation of Sections 6-5 and 6-6 of the Act [235 ILCS 5/6-5 and 6-6].

b) Courtesy wagons and/or coil boxes and pumps may be supplied by a distributor free of charge one time per year for a one day period to a retail liquor licensee for picnics held by the retailer for the retailer's customers. However, this is not to be construed to mean that free beer or wine may also be supplied to a retail licensee.

c) Courtesy wagon and/or coil boxes and pumps may be supplied by a distributor for a picnic, carnival or social event that is given by or under the auspices or sponsorship of a municipal, religious, charitable, fraternal or social organization and that will be licensed as a Special Event Retailer. However, this is not to be construed to mean that free beer or wine may also be supplied to a retail licensee.

History

• Source: Amended at 23 Ill. Reg. 3787, effective March 15, 1999

11 Ill. Adm. Code 100.220 Retail Licensee Clubs (repealed)

History

• Source: Repealed at 8 Ill. Reg. 6041, effective April 19, 1984

11 Ill. Adm. Code 100.230 Resumption of Business on Appeal

a) In any case where a licensee appeals to the Illinois Liquor Control Commission from an order of the Local Liquor Control Commission, fining, suspending or revoking a license, or denying a renewal application and in which latter circumstance said licensee shall have on deposit with the Local Liquor Control Commission an amount sufficient to cover the license fee for the renewal period and any bond that may be required, the licensee may resume the operation of the licensed business pending the decision of the Illinois Liquor Control Commission and the expiration of the time allowed for an application for rehearing.

b) Second or subsequent Suspension or Revocation

1. The foregoing shall not apply to the appeal of a suspension or revocation order entered by a Local Liquor Control Commissioner that is the second or subsequent such suspension or revocation placed upon that licensee within the preceeding 12 month period.

2. In such event, the licensee shall cease all activity otherwise authorized by the liquor license.

c) If in the event of a hearing upon a second or subsequent revocation as stated above, the State Liquor Control Commission reverses or modifies the action of the Local Liquor Control Commissioner, the licensee may immediately resume operation of the licensed business pursuant to the terms of the State Commission's order.

d) If an application for rehearing is filed in either a first revocation, suspension or fine situation, or a second or subsequent revocation or fine that the State Commission has reversed or modified, the licensee may continue the operation of the licensed business until the denial of the application or if the rehearing is granted, until the decision on rehearing.

History

• Source: Amended at 12 Ill. Reg. 19387, effective November 7, 1988

11 Ill. Adm. Code 100.240 Transactions Involving Use of Checks and Their Equivalent (repealed)

History

• Source: Repealed at 23 Ill. Reg. 3787, effective March 15, 1999

11 Ill. Adm. Code 100.245 Consignment Sales Prohibited; Bona Fide and Non-Bona Fide Returns

a) It is unlawful for a manufacturer, non-resident dealer, foreign importer, importing distributor or distributor to sell, offer for sale, or contract to sell to any retailer, or for any such retailer to purchase, offer to purchase, or contract to purchase any products:

1. on consignment or conditional sale, pursuant to which the retailer has no obligation to pay for the product until sold;

2. with the privilege of return;

3. on any basis other than a bona fide sale; or

4. if any part of the sale involves, directly or indirectly, the acquisition by the retailer of other products from a manufacturer, non-resident dealer, foreign importer, importing distributor or distributor, or the agreement to acquire other products from the manufacturer, non-resident dealer, foreign importer, importing distributor or distributor.

b) Transactions involving the bona fide return of products for ordinary and usual commercial reasons arising after the product has been sold are not prohibited.

c) Unless there is a bona fide business reason for replacement of damaged or defective alcoholic liquor product when delivered, the product may not be replaced free of charge to a retailer. Replacement of alcoholic liquor damaged while in a trade buyer's possession constitutes the providing of something "of value" and a violation of Sections 6-4, 6-5 and 6-6 of the Act. A manufacturer, non-resident dealer, foreign importer, importing distributor or distributor is under no obligation to accept the return of products for the reasons stated in subsections (e)(1) through (8).

1. A manufacturer with the privilege of self-distribution, importing distributor or distributor may not accept the return of alcoholic liquor products as "breakage" if the product was damaged after delivery and while in the possession of the retailer. The self-distributing manufacturer, importing distributor or distributor may replace damaged cartons or packaging carrying containers of alcoholic liquor at any time.

2. Under no circumstances may alcoholic liquor products or other compensation be furnished to a retailer for product breakage that occurs as a result of handling by the retailer or its agents, employees or customers.

3. If the alcoholic liquor product has been damaged prior to or at the time of actual delivery, the product may only be exchanged for an equal quantity of identical product or returned for credit. If identical product is unavailable, exchange will be permitted for similar type product.

4. If the alcoholic liquor product has been damaged prior to or at the time of actual delivery, the product may be exchanged no later than 15 days after delivery under the following conditions:

A) If pre-delivery damage is visible at the time of delivery, the retailer must identify the damaged product immediately.

B) If the damage is latent and not visible at the time of delivery, the retailer must notify the manufacturer with self-distribution privileges, importing distributor or distributor of the pre-delivery damage within 15 days after delivery, or date of invoice, whichever is later.

d) It is unlawful to sell, offer to sell, or contract to sell alcoholic liquor products with the privilege of return for any reason, other than those considered to be "ordinary and usual commercial reasons", arising after the product has been sold. A manufacturer, non-resident dealer, foreign importer, importing distributor or distributor is under no obligation to accept a return or make an exchange for any product. A manufacturer with self-distribution privileges, non-resident dealer, foreign importer, importing distributor or distributor that elects to make an authorized exchange of product or return of product for cash or credit does so at its sole discretion and must maintain proper books and records of the transaction, in accordance with Section 100.130.

e) Ordinary and usual commercial reasons for the return of alcoholic liquor products are limited to:

1. Defective Products. Products that are unmarketable because of product deterioration, leaking containers, damaged labels or missing or mutilated tamper evident closures may be exchanged for an equal quantity of identical products, or credit against outstanding indebtedness.

2. Error in Products Delivered. Any discrepancy between products ordered and products delivered may be corrected, within 15 days after the date of delivery or date of invoice, whichever is later, by exchange of the products delivered for those that were ordered or by a return for credit against outstanding indebtedness.

3. Products that May No Longer be Lawfully Sold. Products that may no longer be lawfully sold may be returned for credit against outstanding indebtedness. This would include situations in which, due to a change in regulation or administrative procedure over which a retailer has no control, a particular size or brand is no longer permitted to be sold.

4. Termination of Business. Products on hand at the time a foreign importer, importing distributor, distributor or retailer terminates operations may be returned for cash or credit against outstanding indebtedness. This does not include a temporary seasonal shutdown.

5. Termination of Franchise. When a manufacturer, non-resident dealer, or foreign importer has sold products for cash or credit to one of its importing distributors or distributors and the distributorship arrangement is subsequently terminated, stocks of the product on hand may be returned for cash or credit against outstanding indebtedness.

6. Change in Product. A retailer's inventory of a product that has been changed in formula, proof, label or container may be exchanged for equal quantities of the new version of that product.

7. Discontinued Products. When a manufacturer, non-resident dealer, foreign importer or importing distributor discontinues the production or importation of a product, a distributor or retailer, as the case may be, may return its inventory of that product for cash or credit against outstanding indebtedness.

8. Seasonal Dealers. Manufacturers, non-resident dealers, foreign importers, importing distributors or distributors may accept the return of product from retailers who are only open a portion of the year, if the products are likely to spoil during the off season. These returns will be for cash or credit against outstanding indebtedness.

f) Without limitation, the following are specifically not considered ordinary and commercial reasons to justify a return of alcoholic liquor product:

1. Overstocked and Slow Moving Alcoholic Liquor Products. The return or exchange of a product because it is overstocked or slow moving does not constitute a return for "ordinary and usual commercial reasons".

2. Seasonal Alcoholic Liquor Products. The return or exchange of products for which there is only a limited or seasonal demand, such as holiday decanters and certain distinctive bottles, does not constitute a return for "ordinary and usual commercial reasons". Nothing in this subsection (f) shall prohibit the exchange of deteriorated product that includes product near or beyond the manufacturer's expiration or "code" date. It is a violation of this subsection (f) and Sections 6-4, 6-5 and 6-6 of the Act for a retailer to hold on to deteriorated product in order for it to be exchanged or returned as "out of code".

History

• Source: Added at 39 Ill. Reg. 10386, effective July 10, 2015

11 Ill. Adm. Code 100.250 Transfer of Alcohol

a) The holder of a retail license is prohibited from selling, giving, or transferring alcoholic products subject to the jurisdiction of the Act to another retail license holder unless permitted by the Act, this Part, or an express authorization by the Commission.

b) The holder of a retail license is prohibited from purchasing, receiving, or accepting alcoholic products subject to the jurisdiction of the Act from another retail license holder unless permitted by the Act, this Part, or an express authorization by the Commission.

c) Unless otherwise permitted by the Act, this Part, or the express authorization of the Commission, a retail licensee shall purchase all alcoholic products subject to the jurisdiction of the Act from an Illinois licensed distributor or a licensee holding a self-distribution exemption in which there is a bona fide transfer of title.

d) Transfer of Alcohol Approval Process

1. The Commission may authorize the holder of a retail license to sell, give, transfer, purchase, receive or accept alcoholic products subject to the Act, to or from another holder of a retail license.

2. The Commission may delegate to Commission staff the review, approval, or denial of the request to transfer alcohol.

3. The request must be approved by the Commission prior to the transfer.

4. The request shall be submitted on forms provided by the Commission. Forms must be completed in their entirety prior to review or approval by the Commission.

5. In normal circumstances, a request must be submitted and approved by the Commission prior to the transfer. In the case of an imminent act of god, the request must be received prior to the transfer.

6. The Commission will review each request based on the information provided in the request and other factors known to the Commission.

7. Each request will be reviewed independently of any other licenses held by the owners.

8. The authorization may be subject to conditions imposed by the Commission at the time of the approval.

9. Upon approval by the Commission, the licensee must maintain a copy of the authorization at its premises for a period of 90 days following approval or until all transferred products have been sold by the licensee, whichever is later.

e) In reviewing a transfer request, the Commission may utilize the following factors:

1. Acts of god (such as, but not limited to, fires, explosions, tornadoes, earthquakes, drought, and floods);

2. Federal, State, or local law change;

3. Other unforeseeable circumstances beyond the control of the licensee, such as circumstances:

A) the licensee cannot reasonably take precautions to prevent; and

B) in which the only reasonable method of dispossessing of the alcoholic liquor products would be through a transfer to another licensee;

4. Bankruptcy;

5. Permanent or temporary closure of the licensee; or

6. A new licensee opens a business at the same location where the prior licensee conducted business, when the new licensee takes possession of the inventory of the immediately prior licensee.

f) This Section shall not apply to transfers made under Section 100.150 (Salvaged Alcoholic Liquors).

g) For the purposes of this Section, "retail license" shall include the following licenses: retailer, caterer retailer, Special Event Retailer's (not-for-profit), railroad, boat, wine maker's premises, airplane, brew pub, and distiller pub licenses (Section 5-1 of the Act).

History

• Source: Amended at 44 Ill. Reg. 16811, effective September 29, 2020

Chapter I Illinois Liquor Control Commission

Part 100 The Illinois Liquor Control Commission

11 Ill. Adm. Code 100.255 Off-Premises Retail Warehousing Prohibited

a) A licensed retailer shall not be permitted to store alcoholic liquor at any location other than the retail licensed premises.

b) Distributors shall not deliver alcoholic liquor to unlicensed locations or to alternate delivery sites.

c) Distributors shall not deliver alcoholic liquor to a retailer for sale by a different retailer or for sale at a different retail location.

d) Airports: Federal aviation safety concerns that usual delivery methods may threaten the health, safety and welfare of the general public may require alternative restrictions. With approval of the Commission, a local liquor control commission with regulatory jurisdiction over an airport shall have the authority to define retail licensed premises at or in an airport to include a location that is not contiguous or adjacent to the common retail sales and service area, but that is the site of delivery of alcoholic liquor products by distributors. The following conditions apply:

1. The non-contiguous and non-adjacent area shall be expressly and clearly defined by the Commission and the local commission;

2. The airport maintains a complex of runways and buildings for the takeoff, landing and maintenance of civil aircraft, with the facilities for passengers;

3. Under no circumstances shall an extended premises be permitted for the purposes of increased storage capacity. The extension shall be only for the purpose of facilitating distributor delivery to the licensed establishments.

History

• Source: Added at 39 Ill. Reg. 4433, effective March 12, 2015

11 Ill. Adm. Code 100.260 Uniform Systems of Accounts

a) It shall be the duty of all retail licensees of this Commission for the purpose of this Act, to keep the minimum uniform records described in this Rule at a location within the State of Illinois for the purpose of inspection at all reasonable times by representatives authorized in writing by the chairman or a member of the Illinois Liquor Control Commission, or by representatives authorized in writing by any local Liquor Control Commissioner that issues the local license.

b) Retail licensees maintaining records on the cash basis:

1. A record of cash receipts from all sources. This record must be kept in accordance with the Rules and procedural requirements of the Illinois Department of Revenue, as set forth in the Retailers Occupation Tax Act [35 ILCS 120] and 86 Ill. Adm. Code 130: Subpart H.

2. A record of all cash disbursements for payment of merchandise purchases. This record must be documented by paid invoices or receipts.

3. A record of all cash disbursements for operating expenses (including rent, salaries, light, power and heat, payroll and other taxes) and all other expenses. This record shall show to whom payment was made and for what purpose.

4. Monthly or quarterly statements must be available for inspection disclosing cash receipts, cash disbursements for merchandise purchases and cash disbursements for operating expenses, and all other expenses, which will reflect the licensee's gross profit, net profit or loss, and the person or persons sharing directly or indirectly in the said net profit or loss. Where physical inventories are not taken quarterly, it will be permissible to determine gross profit on the basis of deducting purchases from sales.

5. A record must also be maintained of cash on hand and cash in the bank. Bank statements and canceled checks must also be on file.

c) Retail licensees maintaining records on an accrual basis:

Retail licensees who maintain records on an accrual basis may continue their present methods. This method of record keeping must also be one conforming to the Rules and Regulations of the Illinois Department of Revenue as cited above. The records of such licensees shall be documented in the same manner as those of licensees on the cash basis. In addition they shall maintain records supporting entries made for accruals of income and expenses.

d) Beneficial interest:

1. All documents, including but not limited to bills of sale, contracts of purchase, evidence of mortgage indebtedness or leases of licensed premises, evidence of original capital investment, a record of who provided such capital funds and from what bank or other lender, if any, said funds were obtained, and any agreements for sharing profits other than on the basis of shares of stock owned or sharing of profits set forth in the articles of partnership, shall be maintained and available for inspection. Also, if the licensee is a corporation, a listing of all stockholders of record shall be maintained. If the licensee is a partnership, the articles of partnership shall be available for inspection.

2. Requirements for maintenance of records of beneficial interest specified under the preceding paragraph shall not be applicable to licensees having one or more classes of equity securities registered with the Securities Exchange Commission. Nor shall they be applicable to licensees of which more than 50 per cent of the voting securities are owned by a company that would be exempted hereunder if it were the licensee.

3. Licensees availing themselves of the exemption stated in the preceding paragraph shall notify the Illinois Liquor Control Commission in writing that they are exempt under this provision, as above stated, and are filing annual reports with the Securities Exchange Commission, and that this exemption shall be effective so long as they are filing such annual reports.

e) Each retail licensee must also have available for inspection said licensee's Retailer's Occupation Tax Registration Certificate as issued by the Illinois Department of Revenue.

f) Each retail licensee of this Commission shall maintain and preserve the required records as set forth in this Rule for at least three calendar years.

History

• Source: Amended at 18 Ill. Reg. 4811, effective March 9, 1994

11 Ill. Adm. Code 100.270 Multi-Use Facilities

A multi-use facility, such as a hotel, conference center, stadium, or theater, that has been issued more than one local and State liquor license but has an identical Illinois Business Retailer's Occupational Tax number may store alcoholic liquor at one central location within the multi-use facility.

History

• Source: Amended at 39 Ill. Reg. 4433, effective March 12, 2015

11 Ill. Adm. Code 100.275 Hotel/Motel Mini Bars and Room Service

To sell alcoholic liquor from mini bars in hotels and motels, the hotel/motel:

a) Shall possess a valid local and State retail liquor license for the entire hotel/motel or as the local commission deems necessary;

b) Shall establish a method of control to prevent the use of the mini bar as a means of over-service or consumption of alcohol by a person under the age of 21;

c) Shall comply with all provisions of the Act, this Part and local liquor control ordinances.

History

• Source: Added at 39 Ill. Reg. 4433, effective March 12, 2015

11 Ill. Adm. Code 100.280 Giving Away of Alcoholic Liquors

a) No licensee, individual, partnership or corporation shall give away any alcoholic liquor for commercial purposes or in connection with the sale of non-alcoholic products or to promote the sale of non-alcoholic products.

b) No licensee, individual, partnership, or corporation shall advertise or promote in any way, whether on or off licensed premises, any of the practices prohibited under subsection (a) of this Section. This includes, but is not limited to, advertisements using the words "free" or "complimentary" with alcoholic liquor.

c) Subsection (a) shall not apply to test marketing or tasting.

History

• Source: Amended at 23 Ill. Reg. 3787, effective March 15, 1999

11 Ill. Adm. Code 100.285 Tastings, Product Samplings and Test Marketing

a) "Product Sampling" or "tastings" mean a supervised presentation of alcoholic liquor products to the public at a retailer location for the purpose of disseminating product information and education, with consumption of alcoholic liquor products being an incidental part of the presentation.

b) Alcoholic liquor product sampling and tastings may be conducted by a manufacturer, non-resident dealer, foreign importer, importing distributor, distributor or retailer or a non-licensee, that complies with Section 100.40 and registers as a tasting representative at retail licensed premises. Only alcoholic liquor products registered with the Commission may be tasted or sampled. Tastings and product sampling may be advertised. The conditions and limitations contained in Section 100.330 and Commission rules shall apply to any manufacturer, non-resident dealer, foreign importer, importing distributor or distributor sponsored tastings or product samplings.

c) Retail premise alcoholic liquor tastings and product samplings, for which there is no charge to the consumer, may be provided in the following amounts: distilled spirits ¼ oz., wine 1 oz. and beer 2 oz.

d) A licensee may not conduct alcoholic liquor tastings or product sampling at a non-licensed premise. Licensed premises include those premises for which a Special Use or Special Event License has been issued by the unit of local government having regulatory authority over the premises pursuant to the Act and approved by the Commission.

e) Cups, napkins, glassware, coasters and trays shall not be deemed to be inside signs or advertising materials and may only be sold to retailers by a manufacturer, non-resident dealer, foreign importer, importing distributor or distributor.

f) If a retailer previously purchased the alcoholic liquor product to be tasted or sampled, a manufacturer, non-resident dealer, foreign importer, importing distributor or distributor may pay for the product at the retailer's original cost. If the manufacturer, non-resident dealer, foreign importer, importing distributor or distributor supplies the alcoholic liquor product for the tasting or sampling, the product remaining after the tasting or sampling must be returned to the manufacturer, non-resident dealer, foreign importer, importing distributor or distributor.

g) Alcoholic liquor product samplings or tastings in which the consumer pays a reasonable entrance fee in relation to the amount of alcoholic liquor available for tasting or sampling is permitted, subject to the following conditions and limitations:

1. The retailer must charge a uniform admission price and is prohibited from treating patrons differently.

2. The retailer must use tickets, punch cards or other such reliable means of tracking the amount of alcoholic liquor purchased and consumed by each attendee.

3. Retailer's legal responsibility duties, including, but not limited to, prohibitions against serving alcohol to persons under age 21 and to any intoxicated person, remain unchanged with tasting or product sampling events.

4. The retailer must hold an on-premise consumption license issued by both the local governmental unit and the State. However, the license or permit may be a special use or special event license.

h) "Test Marketing" means the testing of new alcoholic liquor products or alcoholic liquor products unfamiliar to the sampler through a marketing firm, or the like. The Commission will grant approval for the test marketing of alcoholic liquor on a case-by-case basis, only upon written request. Requests shall state with specificity the parameters of the testing and shall include, at a minimum, the following information:

1. The name and address of the marketing firm conducting the test marketing.

2. The location where the test marketing will be conducted.

3. The number of participants involved.

4. Representation that the age of the participants is 21 years or older.

5. The duration of the test marketing.

6. The total amount of alcoholic liquor involved in the test marketing and the total amount of alcoholic liquor to be given or furnished to each participant.

History

• Source: Added at 39 Ill. Reg. 4433, effective March 12, 2015

11 Ill. Adm. Code 100.290 Refilling

No retail licensee shall offer for sale, or possess on the licensed premises:

a) Any original package of alcoholic liquor which contains any kind or quality of alcoholic liquor other than that which has been sealed and labeled by the manufacturer or nonresident dealer.

b) Any original package of alcoholic liquor to which there has been added any water or other substance.

History

• Source: Amended at 23 Ill. Reg. 3787, effective March 15, 1999

11 Ill. Adm. Code 100.300 Authorization to Remove Bottles

a) When an authorized agent of the Commission finds or has probable cause to believe that any original package of alcoholic liquor, or other bottles, casks, or containers containing alcoholic liquor, is adulterated within the provisions of Section 100.290 of this Part or Section 6-22 of the Act [235 ILCS 5/6-22], said agent shall remove said package, bottle, cask or container from the premises together with such other sealed packages, bottles, casks or containers as may be necessary to test such suspect alcoholic liquor.

b) Any such packages, bottles, casks or containers determined by the Commission to be so adulterated shall be destroyed. However, any packages, bottles, casks or containers not so adulterated and all sealed packages, bottles, casks or containers removed for comparison testing shall, after the entry of an order, be returned to the licensee.

History

• Source: Amended at 18 Ill. Reg. 4811, effective March 9, 1994

11 Ill. Adm. Code 100.310 Food Service at Park Districts

a) Section 6-15 of the Act [235 ILCS 5/6-15] requires food service in buildings of golf courses owned by municipalities or park districts, if alcoholic liquors are to be delivered and sold in such buildings.

b) Said food service does not require the kitchen and dining room equipment called for in Section 1-3.23 of the Act [235 ILCS 5/1-3.23].

c) Said food service shall consist of the service of sandwiches of any kind, including hot and cold sandwiches, hot dogs, hamburgers, pizzas, tacos, and any other substantial foodstuff, excluding the service of peanuts, pretzels, potato chips, popcorn or ice cream cones.

History

• Source: Amended at 18 Ill. Reg. 4811, effective March 9, 1994

11 Ill. Adm. Code 100.320 Airplanes

The holder of an airplane license issued by the Commission shall be permitted to purchase alcoholic liquor whether from non-resident dealers, manufacturers, importing distributors, distributors, or foreign importers within the State of Illinois or outside of the State of Illinois on a non-tax paid basis and to file with the Illinois Department of Revenue, as may be required by the Department, a bond and monthly liquor gallonage reports, and make payment of gallonage tax due for those alcoholic liquors sold or dispensed in the State of Illinois. All of this is to be done in accordance with and in conformity with the procedures and standards set forth in Sections 8-1, 8-2, and 8-3 of the Act [235 ILCS 5/8-1, 8-2, and 8-3].

History

• Source: Amended at 23 Ill. Reg. 3787, effective March 15, 1999

11 Ill. Adm. Code 100.325 Boats/Riverboat Gaming

a) A boat license shall allow the sale of alcoholic liquor in individual drinks on any passenger boat regularly operated as a common carrier on navigable waters in this State or on any riverboat operated under the Riverboat Gambling Act [230 ILCS 10], if the boat or riverboat maintains a public dining room or restaurant. [235 ILCS 5/5-1(g)]

b) The issuance of liquor licenses to navigable boats or to boats licensed under the Riverboat Gambling Act shall be the exclusive right of the Commission.

c) The issuance of liquor licenses to boats permanently attached to a dock or land, except for boats licensed under the Riverboat Gambling Act, shall be subject to local and State dual licensing requirements.

d) The establishment of hours of operation for the sale of alcoholic liquor for boats licensed under the Riverboat Gambling Act shall be the exclusive jurisdiction of the Illinois Gaming Board.

e) All boat liquor license holders, including boats licensed under the Riverboat Gambling Act, shall comply with the Illinois happy hour laws (Section 6-28 of the Act) and Section 100.280, which prohibits any person from giving away alcoholic liquor for a commercial purpose.

History

• Source: Added at 39 Ill. Reg. 4433, effective March 12, 2015

Chapter I Illinois Liquor Control Commission

Part 100 The Illinois Liquor Control Commission

11 Ill. Adm. Code 100.326 Auction Liquor Licenses

a) "Auction liquor licensee" means a person who obtains prior written approval from the Commission to sell or offer for sale at auction, on a specified date, wine or spirits for private use or consumption, or for resale by an Illinois liquor licensee in accordance with the Act. [235 ILCS 5/1-3.32]

b) A person wishing to apply for an auction liquor license must first become licensed pursuant to the Illinois Auction License Act [225 ILCS 407/5].

c) An auction liquor license shall be obtained at least 14 days in advance of the auction date.

d) An auction liquor license allows the licensee to do the following:

1. sell and offer for sale wine and spirits for use or consumption;

2. sell and offer for sale wine and spirits for resale by an Illinois liquor licensee;

3. hold the auction on a specified day;

4. hold the auction anywhere in the State of Illinois.

e) Approved Sales

1. Private sales;

2. Out-of-state sales;

3. Sale to ultimate consumer;

4. Sale to distributor or retailer for resale.

f) Nothing in this Section shall be construed to permit a retailer, outside the context of a validly licensed auction, to purchase from anyone other than a distributor or person with distribution privileges.

History

• Source: Added at 39 Ill. Reg. 4433, effective March 12, 2015

11 Ill. Adm. Code 100.330 Advertising

a) Pursuant to Sections 6-4, 6-5, and 6-6 of the Act [235 ILCS 5/6-4, 6-5, and 6-6], no retail licensee shall have any direct or indirect interest in or control of any advertising or promotional company which receives funds directly or indirectly from, or for the account of, any manufacturer, non-resident dealer, broker, distributor, importing distributor or foreign importer of alcoholic beverages; nor shall any manufacturer, non-resident dealer, broker, distributor, importing distributor or foreign importer make any payment, direct or indirect, to any retailer or any other entity which provides advertising, promotional or display services for retailers in consideration of any advertising or promotional efforts of any kind not allowed under the Illinois Liquor Control Act or the rules and regulations of the Commission.

b) Nothing herein shall prohibit any manufacturer, non-resident dealer, distributor, importing distributor, or foreign importer from sponsoring an event at a venue which sole purpose is to host live entertainment, provided that no indirect or direct payment is made to the retailer and that any reference to the retailer in any advertising is incidental to the event itself.

c) Subsections (a) and (b) above do not apply to a person holding a special event retailer's license.

History

• Source: Amended at 21 Ill. Reg. 5542, effective May 1, 1997

Chapter I Illinois Liquor Control Commission

Part 100 The Illinois Liquor Control Commission

11 Ill. Adm. Code 100.340 Petitions for the Adoption, Amendment or Repeal of a Rule

Pursuant to Sections 3-12 and 3-13 of the Act [235 ILCS 5/3-12 and 3-13] and Article 5 of the Illinois Administrative Procedure Act [5 ILCS 100/Art. 5]:

a) Any interested person may petition this Commission requesting the adoption, amendment or repeal of a rule. Such petition shall be submitted in writing to the Illinois Liquor Control Commission, James R. Thompson Center, 100 W. Randolph St., Suite 5-300, Chicago, Illinois 60601 or 101 W. Jefferson St., Springfield, Illinois 62702. Six copies of each petition along with any supporting documents shall be submitted in the following form:

1. Petition for (Adoption, Amendment, Repeal) of (a) Rule (Rule No. if Applicable) of the Illinois Liquor Control Commission.

2. I, (Name of Interested Party), do hereby petition the Illinois Liquor Control Commission to (Adopt, Amend, Repeal) (a) Rule (Rule No. if Applicable) for the following reasons:

3. (State reasons as fully as possible. Attach or include any documentation for your reasons.)

b) If the petition is for the Adoption or Amendment of a Rule, attach a draft of the proposed adopted or amended Rule which you feel will adequately deal with the reasons you outlined for adoption or amendment.

c) All such petitions shall be signed by the petitioner and shall state his or her address and phone number. A petition shall also state whether the petitioner is a licensee of this Commission or not, and whether they are related to or connected with any licensee of this Commission, and if so, in what capacity.

d) Upon receipt of a petition in the proper form, such petition will be considered by the Commission. If the petition is granted, the petitioner will be notified in writing and the Commission shall initiate rule-making proceedings in accordance with Article 5 of the Illinois Administrative Procedure Act [5 ILCS 100/Art. 5] and 2 Ill. Adm. Code 2075.100.

e) If, within 30 days after submission of a petition, the Commission has not initiated rule-making proceedings in accordance with Article 5 of the Illinois Administrative Procedure Act [5 ILCS 100/Art. 5] and 2 Ill. Adm. Code 2075.100, the petition shall be deemed to have been denied.

History

• Source: Amended at 27 Ill. Reg. 17386, effective November 10, 2003

11 Ill. Adm. Code 100.350 Procedures For Filing Appeals From an Order of the Local Liquor Control Commissioner

Pursuant to Sections 3-12 and 3-13 of the Act [235 ILCS 5/3-12 and 3-13] and Section 10-25 of the Illinois Administrative Procedure Act [5 ILCS 100/10-25]:

a) In all cases where an appeal from an order or action of the local liquor control commissioner is filed with the Commission, the party filing the appeal shall furnish, along with the petition to appeal:

1. a copy of the citation and notice of hearing before the local liquor control commissioner, if any;

2. a copy of the decision or order of the local liquor control commissioner;

3. a copy of any local ordinances charged to be violated;

4. the current State Retail Liquor License number of the establishment involved;

5. a statement indicating whether or not the licensee has, within the last 12 month period, had a suspension or revocation placed upon the licensee, and if so, all the details relating to the suspension or revocation thereto.

b) In all cases where an appeal is to be heard upon the record, a certified official record of the proceedings taken and prepared by a certified court reporter, along with all exhibits, shall be filed by the local liquor control commissioner within 5 days after notice of the filing of the appeal, if the appellant licensee pays for the transcript and five additional copies. The failure to file the certified official record of the proceedings before the local liquor control commissioner, without sufficient written explanation, shall result in the appeal not being docketed for hearing, as originally scheduled, or as continued by the Commission.

c) The parties shall file eight copies of any documents filed in connection with the appeal. The failure to file eight copies of any document to be considered by the Commission shall result in the appeal not being docketed for hearing, as originally scheduled, or as continued by the Commission.

d) Upon notice to the local liquor control commissioner that an appeal has been accepted by the Commission, Section 100.230 of this Part shall become effective, when applicable.

e) All materials filed with the Commission shall be served upon the opposing party or parties in interest.

f) Proof of service upon the opposing party or parties in interest shall accompany all materials filed with the Commission and served upon the parties. All documents shall be served upon the Commission by:

1. Personal delivery;

2. United States mail, enclosed in an envelope, plainly addressed, with postage prepaid;

3. Via facsimile machine, provided original documents with appropriate copies are also served via subsection (f)(1) or (2).

g) All material filed with this Commission shall be filed at James R. Thompson Center, 100 West Randolph Street, Room 5-300, Chicago, Illinois 60601 or 101 W. Jefferson St., Springfield, Illinois 62702.

h) The inability of any party to comply with the foregoing requirements shall be detailed in written communication to the Commission.

History

• Source: Amended at 27 Ill. Reg. 17386, effective November 10, 2003

11 Ill. Adm. Code 100.360 Review on Record – Certification of Ordinance

Pursuant to Sections 3-12, 3-13 and 7-9 of the Act [235 ILCS 5/3-12, 3-13 and 7-9] and the Illinois Administrative Procedure Act [5 ILCS 100]:

a) In all cases where an appeal shall be on the record pursuant to the requirements of Section 7-9 of the Act [235 ILCS 5/7-9], the local liquor control commissioner shall file with the Commission a certified copy of the ordinance or resolution adopted which requires that review shall be on the record.

b) Once the certified copy is filed with the Commission, it shall serve as proof of the resolution for all subsequent appeals from that local decision, upon a certified representation signed by the local liquor control commissioner that the resolution is currently in force and effect as applied to the pending matter.

c) All parties may also stipulate that review shall be on the record.

History

• Source: Amended at 23 Ill. Reg. 3787, effective March 15, 1999

11 Ill. Adm. Code 100.370 Procedures Before the Commission

Pursuant to Sections 3-12, 3-13 and 7-6 of the Act [235 ILCS 5/3-12, 3-13 and 7-6] and the Illinois Administrative Procedure Act [5 ILCS 100]: The provisions of the Illinois Administrative Procedure Act concerning procedures in contested cases and licensing matters shall be applicable in all proceedings before this Commission on citations.

History

• Source: Amended at 18 Ill. Reg. 4811, effective March 9, 1994

11 Ill. Adm. Code 100.380 Ex Parte Consultations

Pursuant to Sections 3-12 and 3-13 of the Act [235 ILCS 5/3-12 and 3-13] and Section 10-60 of the Illinois Administrative Procedure Act [5 ILCS 100/10-60]: Except in the disposition of matters which they are authorized by law to entertain or dispose of on an ex-parte basis, neither Commission members, Department of Revenue employees assigned to Commission functions nor hearing examiners shall, after notice of hearing in a contested case or licensing to which the procedures of a contested case apply under this Act, communicate, directly or indirectly, in connection with any issue of fact, with any person or party, or in connection with any other issue with any party or representative of such party, except upon notice and opportunity for all parties to participate. However, a Commission member may communicate with other members of the Commission or employees of the Department, and a Commission member, Department employee or hearing examiner may have the aid and advice of one or more personal assistants.

History

• Source: Amended at 27 Ill. Reg. 17386, effective November 10, 2003

11 Ill. Adm. Code 100.390 Transcripts – Administrative Review

Pursuant to Section 7-11 of the Illinois Liquor Control Act [235 ILCS 7-11] and Section 3-109 of the Illinois Administrative Review Law [735 ILCS 5/3-109], any party seeking judicial review of any order of the Commission shall pay the cost of the transcripts of such hearings conducted by the Commission, which shall become a part of the official record. The party requesting administrative review in the Circuit Court shall pay to the Commission the costs of preparing and certifying the record of the proceedings before the Commission. Failure to make that payment prior to the time the Commission's answer to the complaint is due shall relieve the Commission of the necessity of filing the answer required in Section 3-108 of the Administrative Review Law and shall be authority for the entry of an order by the court, on motion therefor by the Commission, dismissing the complaint with costs.

History

• Source: Added at 23 Ill. Reg. 3787, effective March 15, 1999

11 Ill. Adm. Code 100.400 Procedures Before the Commission on Disputes under Section 35 of the Illinois Wine and Spirits Industry Fair Dealing Act (Repealed)

History

• Source: Repealed at 26 Ill. Reg. 17966, effective December 9, 2002

Chapter I Illinois Liquor Control Commission

Part 100 The Illinois Liquor Control Commission

11 Ill. Adm. Code 100.410 Commission Meetings

a) The Commission holds meetings and hearings at least monthly in accordance with Section 3-11 of the Act and the Open Meetings Act [5 ILCS 120]. The Commission holds closed meetings pursuant to Section 2a of the Open Meetings Act.

b) Final decisions of the Commission may be made only at meetings or hearings at which a quorum of the Commission is present. The presence of a quorum is required at a meeting in order for the Commission to transact any business.

c) Meetings may be held with the Commission members physically present or present telephonically or through video teleconferencing.

d) Per Section 7 of the Open Meetings Act, if a Commissioner attends a meeting through audio or video conferencing, the following rules shall apply:

1. A quorum of the Commission shall be physically present at the location where the meeting is to be conducted; and

2. The Commissioner is physically prevented from attending because of personal illness or disability, employment purposes or the business of the public body, or a family or other emergency.

e) The limitations set forth in subsection (d) do not apply to closed meetings (see Section 7(d) of the Open Meetings Act).

f) Any person may attend a Commission meeting unless that meeting has been closed by vote of the Commission. A person may make comments at a Commission meeting subject to the following conditions:

1. The person offering the comments has given advance notice to the Commission at least 48 hours prior to the meeting or is otherwise permitted to speak by a majority vote of the Commissioners at the meeting.

2. The person's comments are limited to a reasonable time at the discretion of the Commission Chair or Acting Chair.

3. The person's comments are relevant to a subject matter within the jurisdiction of the Commission or relevant to a subject matter of the Commission meeting agenda.

4. The person's comments are not repetitious or disruptive, as determined by the Commission Chair or Acting Chair.

History

• Source: Old Section repealed at 26 Ill. Reg. 17966, effective December 9, 2002; new Section added at 39 Ill. Reg. 4433, effective March 12, 2015

11 Ill. Adm. Code 100.420 Wine Maker Self-Distribution

An in-state and out-of-state maker of wine may sell its own manufactured wine directly to retail license holders if it:

a) has been issued a federal Basic Permit to make wine by the Tax and Trade Bureau of the US Department of the Treasury;

b) has been issued a valid wine making license by a licensing authority of any state or territory of the United States;

c) does not hold any other manufacturer's license to make any other type of alcoholic liquor;

d) and its officers, managers, partners, owners who own more than 5% of the maker of wine, and any other affiliated entity or individual person annually produce less 25,000 gallons of wine;

e) and its officers, managers, partners, owners who own more than 5% of the maker of wine, and any other affiliated entity or individual person annually sell 5,000 gallons of wine or less direct to retailers;

f) pays all necessary State of Illinois excise taxes for the manufacture and importation of wine.

g) an out-of-state maker of wine must have a valid Illinois winery shipper's license prior to the issuance of a self-distribution exemption and at all times while self-distributing.

History

• Source: Added at 39 Ill. Reg. 4433, effective March 12, 2015

11 Ill. Adm. Code 100.430 Craft Brewer Self-Distribution

An in-state and out-of-state maker of beer may sell its own manufactured beer directly to retail license holders if it:

a) has been issued a federal Brewer's Notice to make beer by the Tax and Trade Bureau of the US Department of the Treasury;

b) has been issued a valid beer making license by a licensing authority of any state or territory of the United States;

c) has been issued an Illinois Brewer License or an Illinois Non-resident Dealer License;

d) does not hold any other manufacturer's license to make any other type of alcoholic liquor;

e) and any of its officers, managers, partners, owners who own more than 5% of the brewer, and any other affiliated entity or individual person annually produces less than 930,000 gallons (30,000 barrels) of beer;

f) and any of its officers, managers, partners, owners who own more than 5% of the brewer, and any other affiliated entity or individual person annually sells not more than 232,500 gallons (7500 barrels) of beer direct to retailers;

g) pays all necessary State of Illinois excise taxes for the manufacture and importation of beer;

h) in accordance with Section 3-12(a)(18)(B)(3) submits an affidavit demonstrating with specific evidence its efforts to contact distributors for the purpose of establishing distributor relationships.

History

• Source: Added at 39 Ill. Reg. 4433, effective March 12, 2015

11 Ill. Adm. Code 100.460 Revoked Licenses

a) In conformance with Section 6-2(7) of the Act, no officer, director, member, managing member, partner, owner of more than 5% of the revoked license holder or any other person with a direct or indirect beneficial interest in a revoked license holder shall be issued a new liquor license or renew a liquor license at the same or any other location.

b) The Commission may, at its discretion, determine that a revoked license holder or any other person with more than a 5% direct or indirect beneficial interest in a prior revoked license has been sufficiently rehabilitated to be issued a new liquor license or renew an existing liquor license. The burden of proof of sufficient rehabilitation shall be on the applicant.

c) The Commission shall solely consider rehabilitation evidence for prior revoked persons seeking licenses in which the Commission has primary jurisdiction or for persons who previously held an interest in a license revoked solely by the Commission.

History

• Source: Added at 39 Ill. Reg. 4433, effective March 12, 2015

11 Ill. Adm. Code 100.480 Importation of Alcoholic Liquor

a) Subject to exceptions expressly contained in the Act and this Part, no person shall import alcoholic liquor into this State for a non-personal or commercial use without first obtaining a license to import issued by the Commission, such as a manufacturer's, importing distributor's, railroad, airplane and foreign importer's license. In addition, wine may be legally purchased by an Illinois resident and imported into the State from an out-of-state winery that has first obtained an Illinois winery shipper's license from the Commission. Any person shipping or causing the shipping of alcoholic liquor into this State who does not meet the requirements of subsection (b) is an importer and must be licensed pursuant to this Act.

b) A person is permitted to import alcoholic liquor into this State for his or her personal and non-commercial use without first obtaining a license to import under the following conditions:

1. Either:

A) The total volume to be imported per year is less than one gallon; or

B) The inventory of alcoholic liquor has been reviewed and expressly approved by the Commission under the following conditions:

i) The Commission shall not authorize more than one request for importation per adult person, per year;

ii) The Commission shall not authorize more than one request for importation to a specific Illinois address or location per year; and

iii) The Commission shall not authorize importation of a total volume of wine equivalent to more than 12 750 ml bottles unless:

• Persons seeking import authorization can prove by reasonable evidence that they are or were an active member of the United States military stationed outside the United States and the alcoholic liquor to be imported has been collected and stored outside the United States; or

• Persons seeking import authorization can prove by reasonable evidence that they have resided outside the State of Illinois for over one year and that the alcoholic liquor to be imported has been collected and stored outside this State;

2. All persons bringing alcoholic liquor into the State of Illinois shall remit all State and local Retailers' Occupation Taxes or Use Taxes and all State and local gallonage taxes to the Illinois Department of Revenue according to its requirements or to the appropriate local unit of government levying a local tax; and

3. All persons bringing alcoholic liquor into Illinois shall abide by all federal importing statutes and rules promulgated by federal agencies, which include, but are not limited to, the rules promulgated by U.S. Customs and Border Protection and the Alcohol and Tobacco Tax and Trade Bureau of the U.S. Department of the Treasury.

History

• Source: Added at 39 Ill. Reg. 4433, effective March 12, 2015

Chapter I Illinois Liquor Control Commission

Part 100 The Illinois Liquor Control Commission

11 Ill. Adm. Code 100.490 Co-Branded Alcoholic Beverages, Product Adjacency Prohibited

a) No retail establishment with a retail sales floor that exceeds 2,500 square feet shall display co-branded alcoholic beverages immediately adjacent to soft drinks, fruit juices, bottled water, candy, or snack foods if such snack foods portray cartoons or youth-oriented images.

b) Any retail establishment with a retail sales floor that is equal to or less than 2,500 square feet shall either:

1. not display co-branded alcoholic beverages immediately adjacent to soft drinks, fruit juices, bottled water, candy, or snack foods if such snack foods portray cartoons or youth-oriented images; or

2. equip any such display that contains co-branded alcoholic beverages and is immediately adjacent to soft drinks, fruit juices, bottled water, candy, or snack foods if such snack foods portray cartoons or youth-oriented images with signage that is clearly visible to consumers, is not less than 8.5 x 11 inches, and states the following: "THIS PRODUCT IS AN ALCOHOLIC BEVERAGE AVAILABLE ONLY TO PERSONS WHO ARE 21 YEARS OF AGE OR OLDER." This sign shall be provided by the Commission.

c) Subsections (a) and (b) of this Section do not apply to a shelf, aisle, display or display area in which the primary items for sale are alcoholic liquors or in an area in which persons under the age of 21 are prohibited from entering without a parent or legal guardian.

History

• Source: Added at 47 Ill. Reg. 14117, effective September 21, 2023

11 Ill. Adm. Code 100.500 "Of Value" Provisions – General Applicability

a) Except as allowed by the Act, it shall be unlawful for any licensed manufacturer, non-resident dealer, distributor, importing distributor, foreign importer, any of their officers, managers, partners, owners, employees, agents, or affiliates, or any member of the family of such manufacturer, non-resident dealer, distributor, importing distributor, or foreign importer (collectively referred to as an "industry member") to furnish, give or lend money or anything of value, or otherwise loan extend credit (other than merchandising credit in the ordinary course of business for a period not to exceed 30 days, as permitted by Section 6-5 of the Act, and Section 100.90 of this Part), directly or indirectly to a licensed retailer or any officer, associate, member, representative, agent or employee of that licensee ("retailer"). It is likewise unlawful for any retailer, as defined in this subsection, to accept or receive money or any item of value from an industry member. A retailer does not include a special event retailer as defined in Section 1-3.17.1 of the Act.

b) Third-Party Arrangements. The furnishing, giving, renting, lending or selling of equipment, fixtures, signs, supplies, money, services or other thing of value, not specifically allowed by this Section, by an industry member to a third party, when the benefits resulting from the things of value flow to a retailer, is an indirect furnishing of a thing of value within the meaning of Sections 6-5 and 6-6 of the Act. Indirect furnishing of a thing of value includes, but is not limited to, making payments for advertising to a retailer association or a display company when the resulting benefits flow to an individual retailer. An indirect furnishing of a thing of value does not arise when the industry member did not intend that the thing of value would be furnished to a retailer by a third party, or the industry member did not reasonably foresee that the thing of value would have been furnished to the retailer.

c) Violations of the "Of Value" Provisions of Sections 6-5 and 6-6. Performance of the following activities or provision of the following items violates the provisions on giving anything "of value" under Sections 6-5 and 6-6 of the Act:

1. Shelf Space Payments, Display Service and Slotting Fees Prohibition. An industry member shall not directly or indirectly offer or give anything "of value" to a retailer, and a retailer shall not directly or indirectly request or accept anything "of value" from an industry member, in exchange for offering for sale or displaying an industry member's product on a retailer's shelf, on a tap handle, at any other desired location within the retail establishment, or on a retailer's website.

2. Credit to Retailers. An industry member shall not provide credit to retailers unless permitted by Section 6-5 of the Act as implemented by Section 100.90 of this Part. The statute provides the following parameters for extending credit to retailers:

A) No credit extensions are allowed on the purchase of beer by retailers. The full invoice cost of beer must be paid in cash as defined in Section 100.90(j) by the retailer on or before the delivery date.

B) An industry member selling wine or spirits to a retailer may extend a merchandising credit in the ordinary course of business not to exceed 30 days.

3. Security Interest. An industry member's acquisition of a mortgage on any of the real or personal property a retailer uses in its alcoholic beverage business is a prohibited interest in the retailer's property, except to the extent a lien or other security interest is acquired only in the industry member's products sold to the retailer in order to secure payment of goods sold on credit, if that credit is permissible under Section 6-5 of the Act.

4. Guaranteeing Loans. An industry member is prohibited from guaranteeing any loan or repayment of any financial obligation owed by a retailer, and a retailer is prohibited from guaranteeing any loan or repayment of any financial obligation owed by an industry member.

5. Industry Member Advertising. An industry member shall not give, and a retailer shall not accept, anything of value in exchange for any advertising service, including but not limited to:

A) Display space advertising or placement of ads in a retailer's publications, including a retailer's website; or

B) Payments to a third party for advertisements in which the primary purpose of the advertisement promotes a retailer's business or aspects of the retailer's business.

d) Exceptions to the "Of Value" Provisions of Sections 6-5 and 6-6 of the Act. Having due regard for public health, established trade customs not contrary to the public interest, the purposes of the Act, and the items or activities permissible under the "of value" provisions of Sections 6-5 and 6-6, performance of the following activities or provision of the following items is permissible under Sections 6-5 and 6-6, as long as the performance or provision is not conditioned upon an activity or arrangement intended to create a "tied-house" as defined in 27 USC 305(b).

1. All licensees shall maintain records on the licensed premises, subject to a Section 100.130(e) waiver, for all items furnished to retailers, or received by retailers, under Sections 6-5 and 6-6 and this Section 100.500 for a period of three years. Commercial records or invoices may be used to satisfy this recordkeeping requirement, provided that all required information listed in this subsection (d)(1) is contained in these commercial records or invoices. These records must include:

A) The name and address of the retailer receiving the item;

B) The date furnished;

C) The item furnished;

D) The cost of the furnished item to the industry member, determined by the invoice price paid by the industry member; and

E) Charges to the retailer for any item.

2. Signage. An industry member may provide signage to a retailer, and a retailer may accept signage from an industry member, so long as the signage, in the aggregate, does not exceed the number of signs allowed or the cost adjustment factor dollar limitations under Section 6-6.

3. Product Displays. An industry member shall not directly or indirectly offer or give anything "of value" to a retailer, and a retailer shall not directly or indirectly request or accept anything "of value" from an industry member, in exchange for setting up product or other displays, or renting displays, shelf, cold box, storage or warehouse space at a retail establishment (i.e., slotting fee or allowance), except as specifically permitted by Section 6-6.3. The act by an industry member of giving or selling product displays to a retailer is permissible if the total value of the product display does not exceed $300 per brand at any time per retail location. The value of a product display is the actual cost to the industry member that initially purchased the product display or, if the industry member did not purchase the product display, the fair market value of the product display. Transportation and installation costs are not included in the $300 value.

A) A product display means any racks, bins, barrels, casks, coolers (having a fair market value of no more than $175, with no exterior plumbing or electrical hookup), buckets, glass or transparent display cases, shelving or similar items whose primary function is to hold and display alcoholic liquors at point-of-sale, at or on a retail licensed premises. Product displays may also include "display enhancers" that are exclusive of trade fixtures and equipment and include only items that convey the product display sales programming message to consumers. All product displays, including display enhancers, must cumulatively fall within the dollar limitation of product displays.

B) All product displays must bear conspicuous and substantial advertising matter on the product of the industry member that is permanently inscribed or securely affixed. The name and address of the retailer may appear on the product display.

C) Industry members may not pool or combine dollar limitations to provide a retailer with a product display in excess of $300 per brand.

D) The giving or selling of product displays may be conditioned upon the purchase of alcoholic liquor advertised on those displays in a quantity necessary for the initial completion of the display. No other condition can be imposed by the industry member on the retailer in order for the retailer to obtain the product display.

4. Equipment, Fixtures, Furniture and Supplies. Except as provided under the Act, an industry member cannot give, lend, lease, furnish or sell furniture, equipment or fixtures to a retailer. An industry member may sell equipment and supplies to retailers if the equipment or supplies are sold to the retailer for a price that is not less than the cost of the equipment or supplies. For purposes of this Section, the cost of equipment or supplies is the amount that the industry member paid for the equipment or supplies if the industry member did not acquire them from another industry member. If the industry member selling equipment or supplies to a retailer acquired the equipment or supplies from another industry member (initial selling industry member), the cost of the equipment or supplies is the amount that the initial selling industry member paid for them. In either case, if the equipment or supplies were manufactured or produced by an industry member, the cost of the equipment or supplies is deemed to be the fair market price of the equipment or supplies. The sale price must be collected from the retailer by the industry member within 30 days after the date of the sale. Equipment and supplies includes items such as glassware (or similar containers made of other material), dispensing accessories, carbon dioxide (and other gasses used in dispensing equipment), coasters, trays, napkins, cups and buckets. Dispensing accessories include items such as standards, faucets, cold plates, rods, vents, taps, tap standards, hoses, washers, couplings, gas gauges, vent tongues, shanks, check valves, and counter-top branded shot machines.

5. Quantity Discounting. Quantity discounting is permissible only if an industry member offers the same quantity price discount to all similarly situated retailers in the same geographic area who agree to purchase the required predetermined quantity of alcoholic liquor of the same brand. A "quantity discount" is when an industry member offers a retailer a discount at the time of sale based upon an agreement by which the retailer will purchase a predetermined number of products in return for receiving a discount on the same goods purchased. However, the following activities are prohibited:

A) An industry member may not require a retailer to take and dispose of any quota of alcoholic liquors. Bona fide quantity discounts shall not be deemed to be quota sales.

B) An industry member may not require a retailer to purchase one product in order to purchase another. This includes combination sales if one or more products may be purchased only in combination with other products and not individually. However, an industry member is not prohibited from selling, at a special combination price, two or more kinds or brands of products to a retailer provided:

i) The retailer has the option of purchasing either product at the usual price; and

ii) The retailer is not required to purchase any product it does not want.

C) The furnishing of free warehousing by delaying delivery of alcoholic liquors beyond the time that payment for the product is received, or if a retailer is purchasing on credit as permitted by Section 6-5 of the Act, as implemented by Section 100.90 of this Part, delaying final delivery of product beyond the close of the 30-day credit period, is the furnishing of an "of value" service in violation of Section 6-5.

D) Subsections (d)(5)(A) through (C) notwithstanding, this Section does not prohibit legitimate sales programming among or between the industry tiers in which the primary purpose of the programming is to increase product sales and merchandising to retailers and is not a subterfuge to provide prohibited "of value" inducements to a retailer. These legitimate sales programs are lawful if:

i) Sales incentives are temporary and designed and implemented to produce product volume growth with retailers;

ii) The sales incentives to retailers are based on volume and discounted pricing, including discounts in the form of cash, credits, rebates, alcoholic liquor products, and product displays;

iii) The sales incentives are documented on related sales or credit memoranda; and

iv) The sales incentives are offered to all similarly situated retailers.

E) The use of product credits and rebates, such as "end of month", "end of year", "end of period", or other such temporary cumulative discounts, credits and rebates from an industry member to a retailer is an adjustment of the purchase price based on volume purchasing and, as such, is not a violation of Section 6-5 of the Act. These cumulative discounts are considered to be a form of pricing arrangement; provided they are made pursuant to a written agreement, entered into at the time of sale; extend for a specific period of time; are calculated based solely upon the purchases made by the retailer receiving the cumulative discount; and are documented on related sales and credit memoranda. If the retailer is part of a group of retailers with common ownership, however, cumulative discounts, credits or rebates may be provided in one aggregate payment for all retailers within the common ownership structure. In this case, the cumulative discount, credit or rebate must be calculated based upon the volume purchases of each individual retailer, with supporting documentation that denotes the portion of the discount, credit or rebate attributable to each individual retailer.

F) "No Charge" Products. Price-to-retailer sales incentives that include volume-based discounts on the purchase price, and/or "no charge" products that represent an additional overall discount on the related alcoholic liquor product purchased, is an adjustment of the purchase price based on volume purchasing if made at the time of sale, and if the amount of the product given at no charge with the order is not so great as to constitute a subterfuge in which the pricing aspect is merely a means to provide a retailer with a "gift" or "free" product. These transactions are not a violation of Section 6-5 or 6-6 of the Act. However, "penny deals" and other such transactions in which the "no charge" or deeply discounted products (i.e., $.01 per case) are not related to a corresponding volume purchase are considered free product and a violation of Section 6-5 or 6-6. Deals regarding product closeouts and other such deep discounting, non-ordinary business transactions are not prohibited under this subsection (d)(5)(F). "No charge" goods must be listed and indicated as such on the invoice to the retailer. The importing distributor or distributor must have records to support the volume-based discount and the purchase price. The provisions of Section 100.280 prohibiting a licensee from giving away alcoholic liquor for commercial purposes is applicable.

6. Samples. If a retailer has not purchased a brand of alcoholic liquor from an industry member during the immediately preceding 12-month period, it is not an "of value" violation for an industry member to provide that retailer with not more than 384 ounces of any brand of beer, 3 liters of any brand of wine, and 3 liters of any brand of spirits. These sample requirements do not apply to consumer tastings.

7. Social Media Advertising. An industry member may use social media to advertise product location communications that inform the public where its products may be purchased (retail locators) and pre-announcing any promotional activity to be held on a retailer's premises, if otherwise permitted by the Act, provided:

A) The industry member does not give compensation to, or receive compensation from, directly or indirectly, the retail license holder for social media advertising.

B) If the social media advertising is a product location communication, the purpose of the communication must be limited to allowing a consumer to determine the availability of a specific product at a retailer. If the social media pre-announces promotional activity at a retailer's premise, the focus of the social media advertising must be the product promotion and any reference to the retailer should provide only necessary information, such as location of the event.

C) The advertisement does not contain the retail price of the product.

D) All social media advertising must also comply with all applicable rules and regulations issued by the Alcohol and Tobacco Tax and Trade Bureau of the United States Department of the Treasury.

E) The industry member does not offer social media advertising to a specific retailer to the exclusion of other, similarly situated retailers.

8. Industry Member Promotional Events at Retailer Locations. Any promotional event sponsored by an industry member at a retailer's premises that primarily promotes the retailer's business and does not promote, or only incidentally promotes, the industry member's brand or brands of products violates the "of value" provisions of Section 6-5 of the Act. Industry member promotional events held at retailer premises must focus on the industry member or brands being promoted and all reference to the retailer in any advertisement shall be limited to the name and address of the retailer, which shall be relatively inconspicuous in relation to the advertisement as a whole. Promotional events include, but are not limited to, tastings, samplings, bottle signings, public product launch events, or other similar methods of brand promotion. The promotions shall be available to all similarly situated retailers without a purchase requirement imposed upon a retailer.

9. Consumer Advertising Specialties. Consumer advertising specialties, which are items, including but not limited to trading stamps, non-alcoholic mixers, pouring racks, ash trays, bottle or can openers, corkscrews, shopping bags, matches, printed recipes, pamphlets, cards, leaflets, blotters, postcards, pencils, shirts, caps and visors, that are intended to be given to and received by the consumer, may be given by an industry member to a retailer, as long as the retailer gives all the items away to consumers.

A) The industry member may not, directly or indirectly, pay or credit the retailer for using or distributing these items, or for any expense incidental to their use.

B) Only if the retailer pays for the consumer advertising specialties may the items be retailer-specific. Consumer advertising specialties must bear conspicuous and substantial advertising matter about the brand or the industry member.

10. Educational Seminars. An industry member may give or sponsor educational seminars for employees of retailers either at the industry member's premises or at the retail establishment. Examples of these educational seminars include seminars dealing with use of a retailer's equipment, training seminars for employees of retailers, or tours of the industry member's plant premises. This subsection (d)(10) does not authorize an industry member to pay a retailer's expense in conjunction with an educational seminar (such as travel and lodging). Industry members may provide nominal hospitality during the event, including meals and local transportation.

11. Industry members may service, balance or inspect draft beer, wine or distilled spirits systems at regular intervals, and may provide labor to replace or install rods, taps, faucets, fittings and lines in draft beer, wine or distilled spirits dispensing equipment. However, free cleaning of coils by an industry member or by a company whose services are paid for by an industry member shall be considered something of value in violation of Sections 6-5 and 6-6 of the Act.

12. Courtesy wagons, coil boxes, cold plates or pumps may be supplied to a retailer, by an industry member, free of charge one time per year for a one-day period. However, the industry member shall not supply free beer, wine or distilled spirits to a retailer for the event.

13. Courtesy wagons, coil boxes, cold plates or pumps may be supplied to a retailer, by an industry member, for an event that is given by or under the auspices or sponsorship of a municipal, religious, charitable, fraternal or social organization that is a holder of a Special Event License. However, the industry member shall not supply free beer, wine or distilled spirits to a retailer for the event.

14. Product Donations. An industry member may make contributions of cash, alcoholic liquor products, non-alcoholic products, services, equipment or signs to a not-for-profit organization, including but not limited to charitable organizations, religious organizations, trade associations, political organizations, and fraternal organizations. An industry member may not make contributions of alcoholic liquor products to any not-for-profit organization that has a local municipal and State of Illinois retail license. These donations shall be subject to the following conditions:

A) Donations of alcoholic liquor products may not be given for commercial purposes. The proof of donative intent is on the industry member;

B) An industry member must maintain invoices on its licensed premises for a period of three years for all alcoholic liquor products donated to not-for-profit organizations;

C) Signage dollar limitations contained in Section 6-6 of the Act do not apply to signage and advertising materials donated to a not-for-profit organization; and

D) Advertising and signage referencing the industry member must be reasonably commensurate with a donative intent to ensure that the charitable donation is not being made for a commercial purpose, in violation of Section 100.280. The proof of donative intent is on the industry member.

15. Customized Label for Wine and Spirits Products. Wine or spirits customized label programs may be offered by industry members to retailers. A customized label program is defined as a sale in which the retailer purchases a single barrel of wine or spirits and the retailer has the option of selecting the product blend, age, estate, barrel or wood type in which the wine or spirits is stored or aged. Custom label programs must be offered to all similarly situated retailers who agree to purchase the program, under the following guidelines:

A) All formulas and brand rights to the wine and spirits products must be owned by industry members; no brand rights to the wine or spirits product, or exclusive use of the blend or product options, may be offered to, or accepted by, the retailer;

B) An individual, non-exclusive custom label may include the retailer's name, provided there is a matching Federal Certificate of Label Approval and no language on the label or container suggests or implies that the wine or spirits is exclusive to the retailer; and

C) Any product displays that are a part of the customized label program must adhere to the rules on product displays set forth in subsection (d)(3).

16. Non-Alcoholic Merchandise. An industry member who is also in business as a bona fide producer or vendor of merchandise other than "alcohol", "spirits", "wine", "beer" or "alcoholic liquor", as those terms are defined in Article I of the Act, may furnish, give, sell or offer to sell that non-alcoholic merchandise to retailers as provided in Section 6-6.3 of the Act. However, non-alcoholic merchandise may not be used by an industry member to induce or cause a retailer to engage in any activity prohibited by the Act or this Part.

17. Stocking, Rotation, Resetting, and Pricing Services

A) Industry members, at retail licensed establishments, may stock alcoholic liquors they sell, provided that alcoholic liquor products of other industry members are not moved, altered or disturbed. This stocking may be done only during the course of, or within 24 hours after, a regular sales call or delivery to the retailer. The stocking is considered service incidental to a sales call or delivery. Stocking is defined as any placing of alcoholic liquors where they are to be stored or where they are offered for sale.

B) Industry members may rotate their own alcoholic liquor products at a retailer's premises during the normal course of a sales call or a delivery. Rotation is defined as moving newer, fresher product from a storage area to a point-of-sale area and the replenishing of the point-of-sale area with fresh product. Rotation may be performed at any location within a retailer's premises.

C) Industry members are permitted to participate in or be present at merchandising resets conducted at a retailer's premises no more than four times per year. Resets are defined as large-scale rearrangement of the alcoholic liquor products at a retailer's premises. During resets, industry members may stock or restock entire sections of point-of-sale locations at the retailer's premises. No reset shall occur without at least 14 days prior notice made by the retailer to all industry members whose alcoholic liquor products are carried by the retailer. Industry members may only move, alter, disturb or displace their alcoholic liquor products and the products of properly notified but nonattending industry members.

D) Industry members may provide to retailers recommended diagrams, shelf plans or shelf schematics that suggest beneficial display locations for their alcoholic liquor products at the retailer's premises. Industry members may not condition pricing discounts, credits, rebates, access to brands, or provision of any other item or activity permissible under the Act or this Section upon a retailer's choice to implement or not implement diagrams, shelf plans or shelf schematics.

E) Industry members may not affix prices to products on behalf of retailers. This prohibition includes the indirect affixing of prices to product, including entering prices into a retailer's computer system. This prohibition does not prohibit industry members, after stocking a shelf, from affixing shelf tags that identify the product and price of the alcoholic liquor; however, at no time may an industry member delegate or contract this service to a third party. Shelf tags are considered point-of-sale advertising materials and are subject to the provisions of Section 6-6 of the Act. If permitted stocking by an industry member involves movement and a change in the placement of its product on the retailer's shelf, shelf tags may be moved to the new position of the product.

History

• Source: Added at 42 Ill. Reg. 22577, effective November 29, 2018

Chapter I Illinois Racing Board

Subchapter a General Rules

Part 200 Illinois Racing Board

11 Ill. Adm. Code 200.10 All Races Governed by Rules and Regulations

All races shall be conducted only under the Rules and Regulations of the Illinois Racing Board.

11 Ill. Adm. Code 200.20 Full Access to Track

The Board and its employees shall at all times have full access to the course, plant, and grounds of all racetracks and wagering locations in the State of Illinois.

11 Ill. Adm. Code 200.30 Inspection of Tack

The Board shall have the right to authorize a person or persons to enter any place within the track enclosure, or other places where horses are kept that are eligible to race at the current meetings, to inspect and examine the personal effects or property of every licensee within those places.

11 Ill. Adm. Code 200.40 Inspections and Searches

a) The Illinois Racing Board or the State Stewards investigating for violations of law or the rules and regulations of the Board shall have the power to permit persons authorized by either of them to search:

1. the person of all persons licensed by the Board, and of all employees and agents of any race track operator licensed by the Board, or to enter and search the jockey and drivers' rooms, paddocks, stables, stalls, tack rooms, barns, sheds, horse trailers, other vehicles related to the transportation of racehorses and/or the transportation of equipment used by or in the care of the racehorses, or other vehicles and equipment in the immediate stable area; and

2. the person and/or property of all vendors who are permitted by the race track operator to sell and distribute their wares and merchandise within the race track enclosure; and

3. all public areas in the racetrack enclosure, in order to inspect and examine the personal effects or property of licensees and vendors.

b) Dormitory rooms are excluded from searches conducted pursuant to this Section, but may be subject to search pursuant to a warrant.

c) Searches conducted pursuant to this Section shall be based on reasonable suspicion of a violation of law or of the rules and regulations of the Board by the party whose premises or person is the subject of the search and shall be conducted in a reasonable period of time, and shall not be so frequent as to constitute harassment of a licensee. Searches of persons conducted pursuant to this Section shall consist of an external pat down and shall not be internally invasive. The policies of the Board in relation to administrative searches shall be posted at every racetrack under the Board's control.

d) Each licensee, in accepting a license, releases all claims or possible actions for damages that he or she may have by virtue of any action taken under this Section. Each employee of a licensed operator, in accepting his or her employment, and each vendor who is permitted to sell and distribute merchandise within the race track enclosure, does thereby irrevocably consent to search under this Section and waive and release all claims or possible actions for damages resulting from any action taken under this Section. At the time a licensee applies for or renews his or her license, he or she shall receive a copy of the policies of the Board in relation to administrative searches, including relevant Sections of the Illinois Horse Racing Act. The consent to a search of premises or person pursuant to this Section shall be included on the license applications of all licensees. Any person who refuses to be searched pursuant to this Section may have his or her license suspended or revoked and may be ejected from the racetrack facilities.

e) The Board delegates the authority to conduct inspections and searches pursuant to this Section to the Director of Security of the Illinois Racing Board and to Special Agents of the Illinois State Police, or other designees of the Department of State Police assigned, from time to time, to assist the Chief Investigator. Prior to conducting a search under this Section, a written authorization for administrative inspection shall be issued by either two stewards, the Executive Director of the Board, or a Member of the Board. The written authorization for administrative inspection shall include the name and title of the person or persons authorizing the search, the names of the persons conducting the search, the persons and/or areas to be searched, the date and time of the search, and the purpose of the search. Should exigent circumstances arise, such as the flight of a suspect with items reasonably suspected of being contraband and/or other circumstances that make it impractical to obtain prior written authorization, the requirement of written authorization shall not apply.

f) At least two personnel of the Board, or the State Stewards, or those authorized for such purposes, shall be present for any of the searches conducted pursuant to this Section. Any Board personnel, State Steward, or person authorized to conduct a search under this Section shall be provided with detailed instructions on how a particular search is to be conducted, including the information contained in the authorization for administrative inspection.

History

• Source: Added at 32 Ill. Reg. 16493, effective October 1, 2008

11 Ill. Adm. Code 200.50 Appointment of Director of Inter-Track and Simulcast Wagering

a) Pursuant to Section 26(h)(12)(F) of the Act, the Board shall name and appoint a State Director of this wagering who shall be a representative of the Board and whose duty it shall be to supervise the conduct of inter-track wagering as may be provided for by the rules and regulations of the Board.

b) The Director of Inter-Track and Simulcast Wagering shall be appointed by the Executive Director.

c) The Executive Director may appoint the State Director of Mutuels as the Director of Inter-Track and Simulcast Wagering.

d) The Director of Inter-Track and Simulcast Wagering shall:

1. Supervise and verify Illinois simulcast wagering pools totals for each wagering day. Verification shall be the basis for computing State privilege taxes, licensee commissions and purses.

2. Inspect inter-track and simulcast wagering facilities for compliance with the Act and any rules and regulations of the Board.

3. Report any irregularities to the State Director of Mutuels.

History

• Source: Added at 43 Ill. Reg. 10111, effective September 1, 2019

Part 204 Hearings and Enforcement Proceedings

11 Ill. Adm. Code 204.10 Applicability

a) This Part shall apply to all hearings conducted by the Board pursuant to the Act:

1. in its review of final decisions, orders, or rulings of the stewards of any race meeting;

2. in its conduct of hearings on the propriety of the ejection or exclusion of occupation licensees as authorized by the Act; and

3. in its enforcement proceedings, investigations and inquiries into matters within the jurisdiction of the Board including, but not limited to, proceedings instituted by orders to show cause.

b) As used in this Part, the word "hearing officer" means a member of the Board, or an attorney licensed to practice law in Illinois employed by the Board as a hearing officer. The word "person" means organization licensee, occupation licensee, applicant for an occupation license or individual excluded from a race track or race tracks. The word "petitioner" means any person requesting a hearing pursuant to Section 204.20.

History

• Source: Amended at 26 Ill. Reg. 10806, effective July 1, 2002

11 Ill. Adm. Code 204.20 Requests for Hearing

a) Any person aggrieved by a final ruling of the Stewards may, as a matter of right, request a Board hearing. The hearing shall be a proceeding de novo.

b) All requests for hearings shall:

1. be in writing;

2. contain an address and telephone number where the petitioner may be notified; and

3. identify the Stewards' ruling and state the specific reasons for the request.

c) Requests for hearing under this Part shall be filed no later than five business days after receipt of notice of the Stewards' ruling, ejection or exclusion or other action of the Board. If the petitioner is the subject of a pre-hearing suspension or exclusion, the Board shall conduct its hearing within seven regular business days after the receipt of the request unless the petitioner requests a postponement upon good cause shown and specifically waives the seven day hearing requirement.

d) For appeals concerning civil penalties of $500 or less or disqualifications based on an occurrence in the race such as interference or a claim of foul where no penalty was assessed against the driver or jockey, the petitioner shall be required to submit to a Director's Review Conference conducted pursuant to Section 204.25.

e) For appeals concerning a suspension, exclusion, civil penalty greater than $500, redistribution of the purse after the race results have been finalized by the Stewards, or disqualification based on a violation of 11 Ill. Adm. Code 603 (Medication), the petitioner shall be entitled to an administrative hearing pursuant to this Part or shall be given the option of submitting to a Director's Review Conference conducted pursuant to Section 204.25. Should a petitioner request a Director's Review Conference, his or her right to an administrative hearing shall be deemed waived.

f) Notwithstanding subsections (d) and (e), any single member of the Board may sua sponte direct that any appeal be subject to a formal administrative hearing if the case merits the Board's personal attention.

g) Requests for hearing may be filed in person at, or by mail addressed to, the Board's office at 100 W. Randolph, Suite 7-701, Chicago, Illinois 60601. Requests submitted by mail will be deemed timely if postmarked no later than five business days after receipt of notice of the Stewards' ruling, ejection or exclusion or other action of the Board.

History

• Source: Amended at 37 Ill. Reg. 20397, effective December 16, 2013

11 Ill. Adm. Code 204.25 Requests and Proceedings for Director's Review Conference

a) Any properly filed appeal concerning a ruling of the Stewards resulting in a civil penalty in an amount of $500 or less or for a disqualification based on an occurrence in the race such as interference, or a claim of foul for which no penalty was assessed against the jockey or driver, shall be required to submit to a Director's Review Conference conducted pursuant to this Section.

b) Any properly filed appeal concerning a ruling of the Stewards resulting in a suspension, exclusion, civil penalties greater than $500, redistribution of the purse after the race results are finalized by the Stewards, or disqualification based on a violation of 11 Ill. Adm. Code 603 (Medication), may, in lieu of an administrative hearing, request a Director's Review Conference.

c) The Director's Review Conference process affords licensees the opportunity to resolve protests without a formal administrative hearing before an Administrative Law Judge. The Executive Director of the Board or his or her designee shall serve as the designated reviewer in accordance with the provisions of this Section. The Executive Director or reviewer shall have authority and knowledge of the rules and regulations of the Board sufficient to make a reasoned and appropriate resolution of the matter.

d) All requests for a Director's Review Conference shall:

1. be in writing;

2. contain an address and telephone number where the petitioner may be notified;

3. identify the Stewards' ruling and state the specific reasons for the request; and

4. include a list of all supporting documentation to be presented at the Director's Review Conference.

e) Unless unavailability of the Executive Director and/or designee requires otherwise, the Director's Review Conference shall be conducted within 30 calendar days after the request.

f) Board counsel and any Board employee who may be called as a witness shall not serve as the designated reviewer. Administrative Law Judges shall in no instance serve as the designated reviewer under this Section.

g) At the Director's Review Conference, Board counsel shall present the Stewards' evidence to the reviewer. The licensee may be represented by counsel or may appear without counsel and present his or her evidence and witnesses. The reviewer shall consider all relevant evidence.

h) The Illinois Administrative Procedure Act [5 ILCS 100], Section 16 of the Illinois Horse Racing Act [230 ILCS 5], and Sections 204.40, 204.50, 204.60, 204.65, 204.70, 204.80, 204.85, 204.90, 204.100, 200.110, 204.120, 204.130 and 204.140 of this Part shall not apply to the Director's Review Conference. Rules of evidence shall be construed liberally, and hearsay shall be allowed at the reviewer's discretion. The reviewer may ask questions of the witnesses and the parties during the Director's Review Conference.

i) Director's Review Conferences conducted under this Part shall be recorded by audiotape or other similar media.

j) At the conclusion of the Director's Review Conference, the reviewer shall issue a written report of his or her findings. The reviewer can find in favor of the licensee, uphold the Stewards' ruling, or modify the penalty. Decisions of the reviewer may not be appealed to the Board, but are subject to the Administrative Review Law [735 ILCS 5/Art. III].

k) Requests for a Director's Review Conference may be filed in person at, or by mail addressed to, the Board's office at 100 W. Randolph, Suite 7-701, Chicago, Illinois 60601. Requests submitted by mail will be deemed timely if postmarked no later than five regular business days after receipt of notice of the Stewards' ruling, ejection or exclusion or other action of the Board.

History

• Source: Added at 34 Ill. Reg. 12883, effective August 20, 2010

11 Ill. Adm. Code 204.30 Purse Distribution

Upon receipt of a request for hearing that may affect the distribution of a purse in a race, the Board shall serve notice of the hearing upon each of the owners of all other horses involved in the race as identified in the official program.

History

• Source: Amended at 18 Ill. Reg. 7419, effective April 29, 1994

11 Ill. Adm. Code 204.40 Appointment and Disqualification

a) The Board shall designate a hearing officer to preside at any hearing conducted pursuant to this Part.

b) Grounds for disqualification of a hearing officer shall include, but not be limited to:

1. Conflict of interest (including, but not limited to, financial interest or benefit derived from the racing industry); and

2. Demonstrable bias on the issue.

History

• Source: Amended at 26 Ill. Reg. 10806, effective July 1, 2002

11 Ill. Adm. Code 204.50 Transcripts

a) A transcript shall be produced by a court reporter designated by the Board for all hearings conducted pursuant to this Part. Copies of the transcript shall be filed in the Board's principal office and made available for public inspection upon reasonable request.

b) In its discretion, the Board may require that petitioners bear reasonable costs of the production of hearing transcripts.

History

• Source: Amended at 26 Ill. Reg. 10806, effective July 1, 2002

11 Ill. Adm. Code 204.60 Appearances

a) The appellant need not be represented by an attorney.

b) Only licensed attorneys may appear before the Board in a representative capacity.

c) A partnership may appear pro se by a partner.

d) A corporation may appear pro se by an officer or director.

History

• Source: Amended at 18 Ill. Reg. 7419, effective April 29, 1994

11 Ill. Adm. Code 204.65 Discovery

a) Upon written request served on the opposing party, a party shall be entitled to:

1. The name and address of any witness who may be reasonably expected to testify on behalf of the opposing party, together with a brief summary of the subject matter of each witness' anticipated testimony; and

2. All documents or other materials in the possession or control of the opposing party that the opposing party reasonably expects to introduce into evidence in either its case-in-chief or in rebuttal. Rebuttal documents, to the extent that they are not immediately identifiable, shall be tendered to the opposing party forthwith upon identification.

b) A party may obtain discovery only by making a written request to produce witness lists, documents, and other materials, as provided in subsection (a) of this Section.

c) Witnesses, documents, and other materials that were not properly disclosed in response to a request for production may be barred or excluded from the hearing, and the Board may impose additional sanctions or penalties against the offending party.

d) Discovery requests under this Section shall not be cause for postponement or delay of hearings or of the Board's disposition of the proceedings.

History

• Source: Added at 26 Ill. Reg. 10806, effective July 1, 2002

11 Ill. Adm. Code 204.70 Service

a) Persons filing papers with the Board shall simultaneously serve copies on all parties to the proceeding with proof of service in the manner authorized by the Civil Practice Act [735 ILCS 5/Art. II].

b) All papers required to be filed with the Board must be filed at the Board's principal office at 100 W. Randolph, Suite 11-100, Chicago, Illinois 60601, during regular business hours.

History

• Source: Amended at 18 Ill. Reg. 7419, effective April 29, 1994

11 Ill. Adm. Code 204.80 Subpoenas

a) Subpoenas for the attendance of witnesses or for the production of books or documents may be issued by the Board upon its own motion or upon reasonable request of a party.

b) Requests for subpoenas to compel the production of books or documents shall specifically identify the material sought.

c) Witness fees shall be the same as provided by the Circuit Courts of the State of Illinois.

History

• Source: Amended at 26 Ill. Reg. 10806, effective July 1, 2002

11 Ill. Adm. Code 204.85 Proceedings for Hearings Involving Action by the Board

a) The Board shall conduct a de novo hearing. Except as otherwise provided (e.g., prima facie evidence rule at Section 603.55), counsel for the Board shall have the burden of proof by a presponderance of evidence.

b) Any testimony shall be given under oath or affirmation.

c) Both parties may present an opening statement on the merits.

d) Upon conclusion of the petitioner's case, the Board may present evidence in rebuttal to the petitioner's case.

e) Both parties may present closing arguments. The Board proceeds first, then the petitioner, and thereafter the Board may present rebuttal closing argument.

f) Each party may conduct cross-examination of any witnesses presented. The Board may also, as a matter of right, examine the petitioner as an adverse witness.

History

• Source: Added at 26 Ill. Reg. 10806, effective July 1, 2002

11 Ill. Adm. Code 204.90 Proceedings for Hearings Involving Action by Organization Licensees

a) The burden of proof will at all times be on the organization licensee. The organization licensee shall have the responsibility of establishing just cause for its actions by a preponderance of the evidence.

b) The Board shall designate a hearing officer to preside at any hearing regarding actions by organization licensees. Pursuant to a subsequent hearing, the Board will determine the propriety of the actions of the organization licensee. The Board's role in all hearings conducted pursuant to this Section is limited to an adjudication of the propriety of the organization licensee's actions. The Board shall not otherwise be a party to any proceedings arising under this Section.

c) For all hearings conducted pursuant to this Section, the organization licensee and the petitioner shall equally share the entire cost of the hearing officer's fees.

d) For all hearings conducted pursuant to this Section, the organization licensee and the petitioner shall arrange for a court reporter to transcribe the entire proceedings. The parties shall arrange for a copy of the transcript, together with any exhibits admitted into evidence, to be forwarded to the Board. The organization licensee and the petitioner shall equally share the entire cost of the court reporter and transcript.

e) Requests for hearings pursuant to this Section shall conform with the requirements described in Section 204.20.

f) Discovery for hearings pursuant to this Section shall conform with the parameters described in Section 204.65.

g) Hearings pursuant to this Section shall otherwise conform with the requirements and parameters of Sections 204.85, 204.100, 204.110, 204.120, and 204.130.

History

• Source: Added at 26 Ill. Reg. 10806, effective July 1, 2002

11 Ill. Adm. Code 204.100 Evidence

a) All witnesses testifying at hearings shall testify upon oath or affirmation.

b) The Board shall consider all relevant evidence.

c) The Board shall not be bound by technical rules of evidence.

d) The hearing officer shall have the authority to rule upon motions and objections, exclude inadmissible evidence, and in all other ways monitor the hearing.

e) Exhibits shall be plainly marked and identified. The record shall reflect the identity of the party offering an exhibit and shall indicate whether it was admitted into evidence.

f) The hearing officer and the Board may take official notice of:

1. the customs, usages and traditions of horse racing;

2. matters within its specialized knowledge and expertise;

3. all matters of which the Circuit Courts of the State of Illinois may take judicial notice.

g) If a party has acted in bad faith or for purposes of delay at any point in the hearing process, or has acted to impede the Board in the discharge of its functions, that party may be liable for a civil penalty pursuant to Section 9(1) of the Act.

History

• Source: Amended at 26 Ill. Reg. 10806, effective July 1, 2002

11 Ill. Adm. Code 204.110 Stipulations

Parties may stipulate to all matters not in dispute and that stipulation shall be made part of the record.

History

• Source: Amended at 26 Ill. Reg. 10806, effective July 1, 2002

11 Ill. Adm. Code 204.120 Continuances

The hearing officer may, if good cause has been shown, grant a continuance at the request of any party or on his own motion. A hearing may be adjourned by the hearing officer to permit further testimony or argument.

History

• Source: Amended at 26 Ill. Reg. 10806, effective July 1, 2002

11 Ill. Adm. Code 204.130 Closing Arguments

a) The hearing officer shall allot a reasonable amount of time for closing arguments.

b) The parties may with the leave of the hearing officer file briefs in lieu of closing argument.

History

• Source: Amended at 18 Ill. Reg. 7419, effective April 29, 1994

11 Ill. Adm. Code 204.140 Findings of Fact and Conclusions of Law

Orders of the Board disposing of contested matters upon the merits shall set forth the Board's findings of fact and conclusions of law and shall be served by certified mail.

History

• Source: Amended at 26 Ill. Reg. 10806, effective July 1, 2002

Part 205 Procedures for License Hearings

11 Ill. Adm. Code 205.10 Purpose

The purpose of this Part is to provide procedures to govern the conduct of the License Hearing provided for in Section 20 of the Illinois Racing Act (the Racing Act) [230 ILCS 5/20], supplemental to those provided for in Part 204. This Part implements the provisions of the Racing Act and the Illinois Administrative Procedure Act (the IAPA) [5 ILCS 100], and should be construed to give effect to, and not to limit, the rights conferred by those Acts. This Part expressly adopts the applicable provisions of the IAPA, including the IAPA's provisions applicable in contested cases such as the License Hearing. (See Section 10-65 of the IAPA and the Open Meetings Act [5 ILCS 120].)

History

• Source: Amended at 29 Ill. Reg. 20033, effective November 28, 2005

11 Ill. Adm. Code 205.20 Notice

a) At least 30 days prior to the application deadline, the Board shall provide all current organization licensees, and any other person who has requested an application for an organization license to conduct a horse race meeting, with notice of the License Hearing, including:

1. a statement of the time, place and nature of the License Hearing (e.g., whether the award of host dates or the License Hearing will determine the allocation of racing dates in a single year or in multiple years) and the time, place and date of the pre-hearing conference. A host date is a day awarded to an organization licensee in which the licensee controls the simulcast signals and its own live racing program;

2. a statement of the legal authority and jurisdiction under which the License Hearing is to be held;

3. a reference to the particular Sections of the substantive and procedural statutes involved;

4. a short and plain statement of the matters at issue and the consequences of a failure to participate in the License Hearing (see 230 ILCS 5/20);

5. the name and address of any hearing officer the Board may appoint, or a statement that the members of the Board themselves intend to preside as hearing officers at the License Hearing; and

6. the time, place and date of the pre-hearing conference.

b) The notice of the License Hearing shall be made public and shall also be posted in accordance with the requirements of Section 2.02 of the Open Meetings Act [5 ILCS 120/2.02] governing the posting of agendas for meetings of public bodies.

History

• Source: Amended at 29 Ill. Reg. 20033, effective November 28, 2005

11 Ill. Adm. Code 205.30 Filing of Applications

The Board shall provide to all current organization licensees, no later than July 1, an application to conduct a horse race meeting. Applications for an organization license to conduct a horse racing meeting in Illinois pursuant to the Racing Act shall be filed at the office of the Board no later than 5:00 p.m. on July 31 (or if July 31 is not a business day, the next business day thereafter) of the year prior to the year in which the meet is sought. Each applicant shall file with the Board 15 copies of the application and all exhibits referred to in the application.

History

• Source: Amended at 29 Ill. Reg. 20033, effective November 28, 2005

11 Ill. Adm. Code 205.40 Use of Applications

Applications shall state with particularity the type of license and dates sought to be awarded. Requests for licenses and dates may be made in the alternative. Applications are admissible into evidence as proof of what an applicant seeks or as admissions of parties, according to the rules of evidence.

11 Ill. Adm. Code 205.50 Filing of Evidence Supporting Applications (repealed)

History

• Source: Repealed at 29 Ill. Reg. 20033, effective November 28, 2005

11 Ill. Adm. Code 205.60 Parties

Parties to the License Hearing consist of persons who have filed an application for an organization license. No other person, other than outside counsel for the parties, a witness or witnesses called by the parties pursuant to the rules of evidence, may participate in the License Hearing before the Racing Board or its duly appointed hearing officer, except that this provision shall not be construed to prohibit the Board and/or the hearing officer from taking official notice of staff data or memoranda pursuant to Section 10-40 of the Illinois Administrative Procedure Act [5 ILCS 100/10-40]. The Board shall be permitted to call lay and/or expert witnesses. This Section shall not prohibit representatives of any organization representing the largest number of horse owners, trainers, drivers or jockeys that has negotiated a contract with the organization licensee from providing testimonial or other evidence of its membership's position on any application at the invitation of the Board or other party, subject to Sections 205.95 and 205.100 evidentiary rules and cross examination. Permission to an organization to provide testimony under this Section shall not make that organization a party or confer any of the rights of a party on that organization. In addition to the parties named in this Section, the Board may request that the Attorney General of the State of Illinois participate as a party to the License Hearing (see 230 ILCS 5/16(e)).

History

• Source: Amended at 29 Ill. Reg. 20033, effective November 28, 2005

11 Ill. Adm. Code 205.70 Service of Application and Evidence Supporting Application (repealed)

History

• Source: Repealed at 29 Ill. Reg. 20033, effective November 28, 2005

11 Ill. Adm. Code 205.75 Discovery

a) The Board shall notify all parties of the name and address of all applicants for an organization license.

b) Each applicant shall serve on all other applicants of the same breed and the Board, on such date and time as ordered by the Board:

1. The name and address of any witness who may be reasonably expected to testify on behalf of the party, together with a brief summary of the subject matter of each witness' anticipated testimony;

2. All documents, reports, summaries, tables, comparisons (i.e., attendance figures, handle comparisons, purse earnings and purse distributions), and all other materials, including videotape, DVD, film, and/or computer presentations the party intends to introduce into evidence at the hearing. The party's burden of production includes those documents the applicant reasonably expects to introduce into evidence; and

3. A complete copy of its application and supporting documents.

c) Parties shall be notified, either before the hearing or by reference in preliminary reports or otherwise, of any material to be noticed and/or relied upon by the Board, including any staff memoranda, staff reports, charts or data.

d) Witnesses not identified and documents and other materials that are not timely produced may be excluded from the hearing as specified in subsection (b).

e) No oral or written discovery beyond that specified in this Section shall be permitted.

History

• Source: Added at 29 Ill. Reg. 20033, effective November 28, 2005

11 Ill. Adm. Code 205.80 Pre-Hearing Conference

a) Upon written notice by the Board or its duly appointed hearing officer, the parties may be directed to appear at a specified date, time and place for a conference for the purposes of considering an agreement among applicants as to the award of racing dates (see 230 ILCS 5/21(b)).

b) If an agreed dates schedule is not reached, the Board or the hearing officer shall enter an order addressing preliminary matters, including but not limited to:

1. stipulation to matters not in dispute;

2. procedural matters at the hearing;

3. order of witnesses;

4. deadline for mutual exchange between applicants of the same breed of prepared testimony or exhibits and applications;

5. scheduling of pre-hearing motions; and

6. any other matters to facilitate expeditious conduct of the License Hearing and disposition of the proceeding.

c) The Board or hearing officer shall rule on pre-hearing motions in writing prior to the License Hearing.

d) The pre-hearing conference may be adjourned and continued to a date selected by the Board or the hearing officer prior to the License Hearing.

e) Pre-hearing conferences under this Section shall be open to the public, notice shall be given in the same manner as notice is given of meetings of the Board, and a transcript shall be kept and shall become a part of the record in the proceeding.

f) Under no circumstance shall offers of settlement, offers of agreement, concessions or statements made at the pre-hearing conference be admissible in evidence for any purpose at the License Hearing.

History

• Source: Amended at 29 Ill. Reg. 20033, effective November 28, 2005

11 Ill. Adm. Code 205.85 Hearing Officer

The Chairman of the Board may preside over any hearings or pre-hearing conference in accordance with this Part, or the Chairman may appoint a Board member or an Illinois licensed attorney as a hearing officer to conduct any hearings or pre-hearing conference in accordance with this Part. The hearing officer shall perform such duties as provided in 230 ILCS 5/14(a) and 14a.

History

• Source: Added at 29 Ill. Reg. 20033, effective November 28, 2005

11 Ill. Adm. Code 205.90 Filing and Service of Motions

Any party filing a motion shall serve 15 copies of the motion on the Board and shall also serve a copy on each of the other parties. Service shall be by messenger, overnight delivery, facsimile or in person. Applicants applying for organization licenses at the same race track may file motions to consolidate parties for the purpose of consolidating evidence and testimony. The deadline for filing motions shall be determined by the Board at the pre-hearing conference.

History

• Source: Amended at 29 Ill. Reg. 20033, effective November 28, 2005

11 Ill. Adm. Code 205.95 Evidence

a) Evidence shall be received by way of direct and cross examination of witnesses and introduction of documentary evidence subject to the rules of evidence.

b) The Chairman of the Board, or a Board member appointed by the Chairman, who is a licensed Illinois attorney, shall decide all evidentiary objections and questions of evidence raised at the License Hearing, subject to de novo review by the Board. The Chairman or Board member appointed to rule on matters of evidence may seek the advice of the other members of the Board on evidentiary issues at his/her discretion. Any evidence ruled inadmissible may be submitted as an offer of proof.

c) The rules of evidence shall be applied liberally. Any relevant evidence may be admitted and shall be sufficient in itself to support a finding if it is the sort of evidence on which reasonably prudent persons are accustomed to rely in the conduct of serious affairs. The Board or its appointed hearing officer shall exclude immaterial, irrelevant and repetitious evidence.

d) The rules of evidence shall apply only to the parties. The Board may rely on technical and/or scientific facts within the Board's specialized knowledge. Nothing in this subsection shall be deemed to diminish the ability of the Board to enter documentary or testimonial evidence in its own discretion.

History

• Source: Added at 29 Ill. Reg. 20033, effective November 28, 2005

Chapter I Illinois Racing Board

Subchapter a General Rules

Part 205 Procedures for License Hearings

11 Ill. Adm. Code 205.100 License Hearing

a) The License Hearing shall commence on the date fixed by the Board during the last 15 days of September of the year prior to the applicable racing dates.

b) The Board shall conduct, and the Chairman or the duly appointed hearing officer shall preside over, the License Hearing. Any testimony shall be given under oath or affirmation.

c) Cases shall be presented by category of breed. Applicants for one breed may proceed in alphabetical order, or reverse alphabetical order, as determined by the Chairman.

d) Board members may question any applicant or witness during the course of or following testimony.

e) Each party may conduct adverse examination of witnesses according to the rules of evidence applicable for cross and redirect examination in the Circuit Court of Cook County, Illinois for non-jury trials and as provided in Section 10-40 of the IAPA [5 ILCS 10/10-40].

f) At this meeting, the Board will announce the award of racing dates, live racing schedule and designation of host track to the applicants and its approval or disapproval of each application. [230 ILCS 5/20(e)]

g) The Chairman or hearing officer may limit the time allotted to parties for both direct and cross examination, if the examination of witnesses would unduly obstruct the award of an organization license within the time allotted in Section 20(e) of the Act [230 ILCS 5/20(e)].

History

• Source: Amended at 29 Ill. Reg. 20033, effective November 28, 2005

11 Ill. Adm. Code 205.110 Disqualification of Hearing Officer

a) Whenever any party believes a hearing officer or any Racing Board member should be disqualified, for bias, prejudice, conflict of interest or any other reason, from conducting, or continuing to conduct, a License Hearing, that party may file with the Racing Board a motion to disqualify the hearing officer or Board member, setting forth the alleged grounds for disqualification. A party shall file such a motion promptly upon learning of any grounds for disqualification. The motion shall be filed as provided in Section 205.90. The Board shall enter a written ruling on the motion within 3 days after the date on which the motion is filed.

b) A hearing officer or Board member may recuse himself or herself from presiding at a License Hearing.

History

• Source: Amended at 29 Ill. Reg. 20033, effective November 28, 2005

11 Ill. Adm. Code 205.120 Ex Parte Communications

a) After service of the notice of the License Hearing on the parties, and until such time a formal written Dates Order is executed by the Board, any communication, directly or indirectly, in connection with any matter regarding the award of racing dates, between any Board member, Racing Board employee or hearing officer, with any party or representative of any party to the License Hearing shall be considered ex parte pursuant to Section 10-60(a) of the IAPA.

b) Pursuant to Section 20(e-10) of the Act [230 ILCS 5/20(e-10)], ex parte communication shall be allowed provided that such communications are in the best interest of racing. The phrase "best interest of racing" includes, among other factors, the quality and integrity of racing, public interest, State revenue and the availability of wagering opportunities.

c) Pursuant to Section 10-60(c) of the IAPA, any ex parte communication received by any Board employee, Board member or hearing officer shall be made a part of the record of the License Hearing, including all written communications, all written responses to the communications and a memorandum stating the substance of all oral communications and all responses made, and the identity of each person from whom the ex parte communication was received.

d) Communications between Board employee and the applicants pursuant to Section 21(a) of the Horse Racing Act [230 ILCS 5/21(a)] regarding the correction of deficiencies of the application within the prescribed 21 day time period after submission of the application shall not be considered ex parte communication under this Section.

e) Communications regarding matters of procedure and practice, such as format of applications, number of copies required, manner of service and status of proceedings are not considered ex parte communication under this Section.

f) Ex parte communications pursuant to this Section shall not be exempt from the provisions of the Open Meetings Act [5 ILCS 120].

History

• Source: Amended at 29 Ill. Reg. 20033, effective November 28, 2005

11 Ill. Adm. Code 205.125 Record

a) The transcript made in connection with the hearing shall constitute the official transcript.

b) The record in an administrative hearing shall include:

1. Applications, amended applications and exhibits;

2. All notices, motions, briefs and rulings;

3. Evidence received;

4. A statement of matters officially noticed;

5. Past annual reports;

6. Offers of proof, objections and rulings;

7. Official transcript;

8. Report of Findings of Fact by the hearing officer, if the License Hearing is conducted by a hearing officer; and

9. Ex parte communications pursuant to Section 205.120.

c) The complete record of the License Hearing shall be submitted to the Board. If the decision of the Board is unanimous, the Chairman of the Board, or a member of the Board appointed by the Chairman, shall draft the final Dates Order. If the decision of the Board is split, the majority shall draft the Board's final Dates Order. The majority opinion shall be submitted to all Board members who voted with the minority, and the minority Board members may draft a minority opinion. Any and all minority opinions shall be attached to the final Dates Order and made a part of the record. A formal written Dates Order shall be executed by the Board no later than October 15 of the year prior to the racing schedule.

History

• Source: Added at 29 Ill. Reg. 20033, effective November 28, 2005

11 Ill. Adm. Code 205.130 Incorporation of Part 204

Except as stated herein, or as inconsistent with this Part, the provisions of Sections 204.40 through 204.110, 204.130, and 204.140 of Title 11, Subtitle B, Chapter I of the Illinois Administrative Code shall apply to Licensing Hearings.

11 Ill. Adm. Code 205.140 Notice to and Acceptance by Applicants

a) The Board shall, within 5 days after the date its formal order is executed:

1. Send each applicant a copy of that executed order awarding racing dates by certified mail, return receipt requested, addressed to the applicant at the address stated in its application;

2. Issue letters of acceptance to successful applicants for racing dates no later than 5 days after the date of execution of its formal order. Each applicant shall submit signed acceptance letters to the Board by certified mail, return receipt requested, or by personal delivery at the central office of the Board. Applicants shall furnish signed acceptance letters, together with required fees, to the Board no later than 10 days after receipt of the Board's executed Dates Order. Acceptance letters, mailed or delivered, shall be received at the central office of the Board on or before the expiration of the 10 day limit. Acceptance of dates pursuant to this Section shall not abridge an applicant's right to appeal.

b) In the event an applicant does not submit a signed acceptance letter and/or the required fees in the manner and within the 10 day limit stated in subsection (a)(2) of this Section, the Board may conduct an emergency hearing, as provided in Section 205.150, and may re-award racing dates previously awarded to the applicant. The Board may exercise its discretion not to re-award dates when to do so would not be in the best interest of the sport, industry and/or State of Illinois (instances include, but are not limited to, conflicting meets, failure to maximize State revenue, shortage of horses, inadequate facilities or officials, lack of character or financial fitness of the applicant and inadequate promotional budget).

History

• Source: Amended at 29 Ill. Reg. 20033, effective November 28, 2005

11 Ill. Adm. Code 205.150 Emergency Hearing to Re-Award Dates

a) Pursuant to Section 20(f-5) of the Act [230 ILCS 5/20(f-5)], the Board may conduct an emergency hearing and may re-award dates if acceptance is not received from the applicant in the 10 days prescribed by the Act or a license to conduct a race meeting has been suspended or revoked.

b) The Board shall serve notice personally or by certified or registered mail to all interested parties of the date, time and place of the emergency hearing and dates for filing applications and supporting documentation for the racing dates in question.

c) A re-award of racing dates shall be based on the criteria contained in Section 20(e-5) of the Act [230 ILCS 5/20(e-5)].

d) Article 10 of the Illinois Administrative Procedure Act shall not apply to the conducting of an emergency hearing for the reallocation of racing dates pursuant to this Section (see 230 ILCS 5/20(f-5)).

History

• Source: Amended at 29 Ill. Reg. 20033, effective November 28, 2005

Part 206 Board Meetings

11 Ill. Adm. Code 206.10 Request for Board Action

a) All persons who seek Board action shall submit a request or application to the Board in writing no later than 15 calendar days before the date of the Board meeting at which the request or application is to be heard. To allow for distribution to the Board members and staff, copies of any additional materials must be submitted to the staff at least 7 calendar days prior to the meeting. Materials received after the deadline will not be accepted unless late submission is approved by the Executive Director.

b) This Part shall not apply to requests for hearings under 11 Ill. Adm. Code 204 or to applications for the conduct of race meetings conducted pursuant to 11 Ill. Adm. Code 205.

History

• Source: Amended at 36 Ill. Reg. 8963, effective June 1, 2012

11 Ill. Adm. Code 206.20 Board Meeting Agenda

a) The Board shall prepare for each Board meeting an agenda. The agenda shall constitute notice of the matters to be heard by the Board at that meeting. Copies of the agenda shall be made available free of charge to all interested persons.

b) The Board may take action on matters that do not appear on the agenda only if the Board finds that an emergency exists and that such an emergency could not have been anticipated. However, the Board shall neither amend its Dates Order (e.g., change of dates, change of hours, or matters relating to purses) nor waive the applicability of any of its rules or regulations unless notice of the matter appears on the printed agenda.

History

• Source: Amended at 18 Ill. Reg. 7407, effective April 29, 1994

11 Ill. Adm. Code 206.30 Annual Notice of Monthly Meetings

The Board shall publish on or before January 1 its tentative schedule of monthly Board meetings for that calendar year. This publication, however, shall not preclude the Board from changing the date of a meeting when necessary to achieve the attendance of the maximum number of Board members. The Board will notify all interested parties whenever a meeting date is changed.

History

• Source: Amended at 18 Ill. Reg. 7407, effective April 29, 1994

11 Ill. Adm. Code 206.40 Public Participation

a) Interested parties may submit written materials on any agenda matter in advance of the Board meeting. To allow for distribution to the Board members and staff, copies of all material must be submitted to the staff at least 7 calendar days prior to the meeting. Materials received after the deadline will not be accepted unless late submission is approved by the Executive Director.

b) Interested parties wishing to speak at a Board meeting on a specific agenda matter shall notify Board staff at least 7 calendar days prior to the meeting of their name, address and subject matter. Persons shall have the right to speak before the Board during the specific time specified within the agenda's order of business. Each speaker shall limit his/her discussion to his/her subject and shall keep his/her presentation to five minutes or less, unless extended by the Chairman.

History

• Source: Added at 36 Ill. Reg. 8963, effective June 1, 2012

Chapter I Illinois Racing Board

Subchapter a General Rules

Part 206 Board Meetings

11 Ill. Adm. Code 206.50 Board Members

If a quorum of Board members is physically present at an open meeting, a majority of the Board may allow a Board member to attend the meeting telephonically if the member cannot otherwise attend because of personal illness or disability, employment obligations, other business of the Board, or a family or other emergency. In these instances, the Board member who wishes to attend telephonically will notify the Executive Director before the meeting, unless advance notice is impractical.

History

• Source: Added at 36 Ill. Reg. 8963, effective June 1, 2012

Part 208 Charitable Funds

11 Ill. Adm. Code 208.10 Application

Pursuant to Section 31.1 of the Illinois Horse Racing Act of 1975 [230 ILCS 5/31.1], the Illinois Racing Board (Board) shall annually distribute funds collected from organization licensees pursuant to the Act.

a) Applicants for such funds shall submit a completed application, on a form provided by the Board, no later than October 1 of each year. Incomplete applications shall be returned to the applicant, with a written explanation as to why the materials are incomplete and a date by which the additional materials are to be submitted. Incomplete applications shall not be considered.

b) Any non-profit organization that provides medical and family counseling and similar services to persons who reside or work on the backstretch of Illinois racetracks may apply for funds pursuant to Section 31.1 of the Act [230 ILCS 5/31.1]. Each applicant must be able to document its not-for-profit status with a 501(c)(3) (26 U.S.C. 501(c)(3)) Internal Revenue Service ruling or a letter from the Illinois Attorney General's Charitable Trust Division containing the applicant's current registration number and confirming that the applicant is current in the filing of its financial reports.

History

• Source: Amended at 20 Ill. Reg. 7941, effective June 1, 1996

11 Ill. Adm. Code 208.20 General Program Requirements

a) Recipients of funding shall not deny charitable services or discriminate in the hiring or promotion of staff on the basis of race, sex, age, religion, national origin or handicap.

b) Client intake policies and procedures shall be set forth in writing and shall be available for review by the Board.

c) Personnel policies and volunteer training procedures shall be set forth in writing and be available for review by the Board.

d) Recipients of funding shall have rules to govern conflict of interest situations and shall incorporate such rules in their constitution or by-laws and publish such rules as agency policy. Such rules shall be available to the Board for review.

History

• Source: Amended at 20 Ill. Reg. 7941, effective June 1, 1996

11 Ill. Adm. Code 208.30 Funding Priorities

In considering applications for funds made pursuant to Section 31.1(b) of the Act, the Board shall consider the following factors in determining whether to award funding: the impact of the charitable activities of the charitable organization on the racing industry; the sources of revenue of the charitable organization; the character, reputation, experience and financial integrity of the charitable organization; and, the extent to which there exists a demonstrated need for the proposed services in the charitable organization's proposed service area.

History

• Source: Amended at 18 Ill. Reg. 7410, effective April 29, 1994

11 Ill. Adm. Code 208.40 Award of Charitable Funds

No later than December 31 of each year, the Board shall inform all applicants of the decision made relative to their applications and shall distribute all those funds awarded. All awards are subject to the availability of funds as specified in Section 31.1(a) of the Act.

History

• Source: Amended at 20 Ill. Reg. 7941, effective June 1, 1996

11 Ill. Adm. Code 208.100 Use of Funds

a) All funds awarded by the Board must be used in the manner and for the purposes set forth in the application which served as the basis of the Board's award. The recipient shall not change, modify, revise, alter, amend, or delete any part of the services it has agreed to provide in the application without written consent from the Board.

b) Procedures For a Modification

1. The recipient must notify the Board and identify the modification.

2. The recipient shall submit a written explanation of the circumstances requiring modification with a new proposed budget itemizing the requested modification.

3. The explanation shall be approved by the Board if the request is consistent with the original intent of the application.

4. The Board shall notify the recipient of its approval or denial of the request.

c) Failure to meet the requirements of this Section shall result in the recipient's disqualification from future funding for a period of time as determined by the Board.

History

• Source: Amended at 18 Ill. Reg. 7410, effective April 29, 1994

11 Ill. Adm. Code 208.110 Accounting Requirements

a) Each entity receiving funds shall establish and maintain a formal modified accrual accounting system in accordance with generally accepted accounting principles of the American Institute of Certified Public Accountants (AICPA) including a level of documentation, classification of entries and audit trails sufficient to meet the requirements of this Part.

b) All accounting entries must be supported by source documents, recorded in books of original entry, and posted to a general ledger on a monthly basis.

c) For programs funded by the Board, expenses are to be recorded by specific program. All expenses not funded by the Board may be booked in total.

d) All fiscal records must be maintained by the recipient for five years after the end of the funding period. In instances involving unresolved issues arising from an audit, pending litigation or tax issues, records related to those issues must be retained until the issues are resolved.

History

• Source: Amended at 18 Ill. Reg. 7410, effective April 29, 1994

11 Ill. Adm. Code 208.120 Audits

a) Each recipient shall have an annual audit performed at the close of its fiscal year. This audit is to be performed in accordance with generally accepted auditing standards by an independent certified public accountant registered by the State of Illinois. The resulting audit report is to be prepared in accordance with the American Institute of Certified Public Accountants (AICPA) (2011).

b) Audit Report

1. A copy of the applicant's audited financial statements for the preceding calendar year shall be included in the applicant's application. A request for an extension of time to file an audit report must be submitted in writing 30 days prior to the deadline for filing the application. A request for an extension of time to file an audit report shall only be granted when the auditor submits a signed statement certifying that the audit cannot be completed in the designated time due to circumstances beyond the control of the auditor and the recipient. The auditor's statement must also detail the circumstances that form the basis for this request.

2. The report shall contain the basic financial statements presenting the financial position of the agency, the results of its operations and changes in fund balances.

3. The reports shall contain a schedule of income by source. Individual sources of income should not be combined (e.g., funds received from several State or federal agencies should not be combined into one classification, such as "State of Illinois" or "Federal Government").

4. The report shall contain a schedule of operating expenses by program - operating fund. The term "operating fund" includes all funds a recipient may have in its accounting records except those in a capital fund or contingency fund.

5. The report shall also contain the auditor's opinion regarding the financial statements taken as a whole, or an assertion to the effect that an opinion cannot be expressed. If the auditor expresses a qualified opinion, a disclaimer of opinion, or an adverse opinion, the reason for that opinion must be stated. The auditor shall communicate any material weakness in the recipient's internal controls.

c) Recipients shall also be subject to audit by Board personnel to determine whether the funds awarded by the Board are being used in accordance with proposed budget contained in the application.

History

• Source: Amended at 36 Ill. Reg. 320, effective January 1, 2012

Part 210 Definitions

11 Ill. Adm. Code 210.10 Definitions

"Act" – The Illinois Horse Racing Act of 1975.

"Age" – The age of a horse shall be recognized from the first day of January of the year of foaling.

"Allowance Race" – A race, other than a claiming race, for which certain weights and other conditions of eligibility are established.

"Also Eligible" – A horse that has been entered in a race but is not permitted to start unless the number of entrants is reduced by scratches.

"Appeal" – A request for the Board to investigate, consider or review any decisions or rulings of the officials of a meeting or the decision of the Board itself.

"Applicant" – A person who applies for an organization or occupation license in a specified category or categories.

"Authorized Agent" – A person appointed by an owner or trainer in accordance with Board rules. The appointment to be made in a document signed by the owner or trainer, approved by the Stewards, executed annually and filed with the Board.

"Battery" – Any battery, buzzer, electrical, or mechanical device or other appliance, except for the ordinary whip, that can be used to stimulate or depress a horse or affect its speed in a race or workout.

"Beneficial Interest" – Profit, benefit or advantage resulting from a contract or an ownership interest in an estate as distinct from legal title or ownership, i.e., an interest as a devisee, legatee or donee solely for his or her own use or benefit and not as holder of title for use and benefit of another.

"Betting interest" – Horse, entry or field.

"Bleeder" – A horse that is examined by a licensed veterinarian following a race or workout and sheds blood from one or both nostrils or upon endoscopic examination shows observable amounts of free blood in the respiratory tract.

"Breeder" – (Standardbred) The owner of a horse's dam at the time of breeding. (Thoroughbred) The owner of the horse's dam at the time of foaling.

"Carryover" – The total amount of non-distributed pool money in a pool that is retained and added to a corresponding pool in accordance with this Part.

"Condition Book" – A booklet published by a thoroughbred racing association that sets out the conditions, purses and descriptions of future races.

"Condition Sheet" – A listing written by a standardbred racing association with the conditions a horse must meet in order to enter a particular race.

"Console" – The totalizator status monitor that displays current race pool status information.

"Controlled Substance" – Any substance listed in 21 USC 812.

"Coupled Entry" – Two or more horses in a race that are treated as a single betting interest for pari-mutuel wagering purposes. (Synonymous with "Entry")

"Dead Heat" – A race in which two or more horses cross the finish line in a tie.

"Declaration" – (Standardbred) The process of entering a horse in a particular race. (Thoroughbred) The withdrawal of a horse entered for a race after the closing of entries.

"Entry" – A horse made eligible to participate in a race or two or more horses entered in the same race when owned or trained by the same person or trained in the same stable or by the same management. For thoroughbred racing, entries of separate ownership shall be uncoupled.

"Exclusion" – The act of barring from all or part of the facilities of a licensee under the jurisdiction of the Board. Unless specified in the ruling, an exclusion is unconditional and encompasses all facilities.

"Exhibition Race" – A race on which no wagering is permitted.

"Financial Interest" – An interest that could result in directly or indirectly receiving a pecuniary gain or sustaining a pecuniary loss as a result of ownership or interest in a horse or business entity, or as a result of salary, gratuity or other compensation or remuneration from any person. The lessee and lessor of a horse have financial interests.

"Foreign Substance" – All substances except those that exist naturally in the untreated horse of normal physiological concentrations or substances, or metabolites thereof that are contained in equine feeds or feed supplements but do not contain any pharmacodynamic and/or chemotherapeutic agents or pharmaceutical aids.

"Handicap" – (Standardbred) A race in which starting positions are assigned on the basis of past performance so as to equalize the chance of all horses entered. (Thoroughbred) A race in which the weights carried by the entered horses are assigned by the Racing Secretary for the purpose of equalizing each horse's respective chance of winning.

"Handle" – The aggregate dollar amount of all pari-mutuel pools, excluding refundable wagers.

"Illinois-Bred Colt" or "Illinois-Bred Filly" – A horse sired by a stallion owned by an Illinois resident and standing in the State of Illinois for the season in which the mare was bred.

"Illinois Foaled" – A horse dropped (born) in Illinois.

"Illinois Owned" – A horse owned by a resident of Illinois at the time the horse is declared in to start and at the time of the race.

"Inquiry" – An investigation or examination, conducted by the Board or Stewards, of a possible rule violation.

"Laboratory" – The Board's Laboratory or an independent testing laboratory contracted by the Board.

"Maiden" – (Standardbred) A horse that has never won a heat or race, at the gait it is entered to start, for which a purse was offered. (Thoroughbred) A horse that has never earned a winner's purse in a flat race at a recognized meeting in any country.

"Minus Pool" – A minus pool occurs when the amount of money to be distributed on winning wagers is in excess of the amount of money comprising the net pool.

"Net Pool" – The amount of gross wagers less refundable wagers, purses, pari-mutuel taxes, surcharges, and statutory commissions.

"Nominator" – The person or entity in whose name a horse is nominated for a race or series of races.

"Nomination" – The naming of a horse to a stakes and/or handicap race. In a futurity, the naming of a foal in utero to a certain race or series of races, eligibility to which is conditioned on the payment of a fee at the time of naming and the payment of subsequent sustaining fees and/or starting fees.

"Objection" – A claim of foul lodged with the Stewards or their designee by a jockey of a horse in a race immediately after a race and before the race is made official, or a claim of foul lodged with the patrol judge in a starting car, by a driver of a horse in a race, immediately after the race and before the driver dismounts. (Synonymous with "Foul Claim" or "Claim of Foul")

"Official Order of Finish" – The order of finish of the horses in a race as declared official by the Stewards.

"Official Time" – The elapsed time from the moment the first horse crosses the starting point until the first horse crosses the finish line.

"Outstanding Ticket" – An uncashed winning or refundable pari-mutuel ticket that was not redeemed during the performance for which it was issued and that must be cashed within the statutory time limit.

"Overnight Event" – A race for which entries close at a time set by the racing secretary. (Synonymous with Overnight Race or Overnight)

"Owner" – A person that has property rights in a horse, by ownership, beneficial interest or lease of a horse.

"Paddock" – An enclosed area in which standardbred horses scheduled to compete in a race are confined and thoroughbred horses are saddled prior to racing.

"Payout" – The amount of money payable on winning wagers. (Synonymous with "Payoff")

"Post" – The place on a race course from which the horses start in a race.

"Post Position" – The pre-assigned positions from which the horses leave the starting gate.

"Post Time" – The scheduled starting time of a race.

"Prescription Drugs" – Any chemical substance that is prohibited from being dispensed by any federal or Illinois law without a valid prescription.

"Prima Facie Evidence" – Evidence that, until its effect is overcome by other evidence, will suffice as proof of the fact in issue.

"Profit" – The net pool after deduction of the amount wagered on the winners.

"Profit Split" – A division of profit among separate winning betting interests or winning betting combinations resulting in two or more payout prices.

"Program" – The published listing of all races and horses for a specific day's racing. The races of a particular day, considered together.

"Protest" – An objection lodged with the Stewards of any infringement of the rules of racing.

"Purse" – The amount of money won by the owner of any horse in a race.

"Qualifying Race" – A race for the purpose of viewing horses for speed, racing manners and competitiveness in which no purse money is offered and on which no pari-mutuel wagering is conducted.

"Race" – A contest between horses at a licensed meeting for purse, stakes, prize or reward. (Synonymous with "Contest")

"Restricted Area" – An area on the facilities where admission can be obtained only upon presentation of valid Board credentials. Restricted areas shall include, but are not limited to, the stable areas, detention barn, jockey or driver room, paddock, race course, Stewards' stand, and pari-mutuel department.

"Result" – That part of the official order of finish used to determine the pari-mutuel payout pools for each individual race.

"Retention" – The total amount of money, excluding breakage, withheld from each pari-mutuel pool, as authorized by statute or rule. (Synonymous with "Takeout")

"Scoring" – Preliminary warm-ups by horses.

"Scratch" – The withdrawal of a horse from a race after the closing of entries.

"Scratch Time" – The time designated by the organization licensee as a deadline for an owner or trainer to file a request for a scratch.

"Single Price Pool" – An equal distribution of profit to winning betting interests or winning betting combinations through a single payout price.

"Stable Name" – The assumed name registered with the Board under which a person or stable races horses.

"Stakes Race" – A race that is closed to nominees more than 72 hours before it is run, with a purse that includes all stakes payments in addition to the money added by the organization licensee.

"Starter" –Any horse that starts in a race.

"State Veterinarian" – A veterinarian employed by the Board.

"Totalizator System" – A computerized system that is used to record wagers, transmit wagering data, and calculate payouts.

"Totalizator System Licensee" – Any person, corporation, company, association or any other entity that sells, leases, or operates any portion of a totalizator system and is licensed by the Board.

"Vendor" – A seller of feed, medication, stable supplies, or other merchandise in restricted areas.

"Veterinarian" – A veterinary practitioner licensed by the Illinois Department of Financial and Professional Regulation and the Board.

"Weigh-In" – The presentation of a jockey to the Clerk of Scales for weighing after a race.

"Weigh-Out" – The presentation of a jockey to the Clerk of Scales for weighing prior to a race.

"Weight for Age" – A race in which a fixed scale is used to assign the weight to be carried by individual horses according to age, sex, distance of the race, and season of the year.

"Winner" – The horse whose nose reaches the finish line first or is placed first through disqualification. If there is a dead heat for first, those horses shall be considered winners.

History

• Source: Amended at 43 Ill. Reg. 4176, effective April 1, 2019

Part 213 Purse Recapture

11 Ill. Adm. Code 213.10 General

Pursuant to Section 26(g)(13) of the Illinois Horse Racing Act of 1975 [230 ILCS 5/26(g)(13)], qualified licensed Illinois wagering facilities are permitted to deduct an amount equal to 2% of the difference between the wagering facility's 1994 handle on Illinois races and its handle on Illinois races in the year in question, from amounts allocated or payable to purses in the succeeding year, at the racetrack from which the wagering facility is affiliated. Recapture amounts shall not be taken until after certification by the Board.

History

• Source: Amended at 30 Ill. Reg. 16316, effective October 1, 2006

11 Ill. Adm. Code 213.20 Definitions

"Comparative Handle Calendar Year" – the calendar year that is being analyzed for purposes of determining the recapture amount. The comparative handle calendar year is always compared to calendar year 1994.

"Purse Recapture" – the amounts certified and authorized by the Board to be deducted by each qualified wagering facility from amounts payable to purses at the licensee's affiliated racetrack.

"Purse Recapture Reimbursement" – the amount appropriated by the Illinois General Assembly from the General Revenue Fund to the Department of Agriculture for payment or credit to the racetrack purse accounts, in accordance with the Board's certification of the purse recapture.

"Purse Recapture Certification" – the Board's written notification of the amounts of purse recapture in which qualified wagering facilities are entitled to deduct from amounts payable to purses. The certification shall be issued or published no later than January 31 of the year succeeding the comparative handle calendar year.

11 Ill. Adm. Code 213.30 Estimated Purse Recapture Certification

The Board shall calculate and prepare a written estimate or projection of the purse recapture amounts anticipated in the succeeding year no earlier than December 1 of the comparative handle calendar year. The Board shall provide the Bureau of the Budget, the four legislative leaders, and the Department of Agriculture with the written estimate no later than December 15 of the comparative handle calendar year.

11 Ill. Adm. Code 213.40 Purse Recapture Certification

The Board shall determine and certify in writing the amounts of purse recapture authorized to be deducted from purses no later than January 31 of the year succeeding the comparative handle calendar year.

11 Ill. Adm. Code 213.50 Notice of Purse Recapture Certification

The Board shall notify and provide the purse recapture certification to the Bureau of the Budget, four legislative leaders, Department of Agriculture, organization licensees (including those organization licensees from which wagering facilities derive their license), the thoroughbred and standardbred organizations representing the largest number of horse owners and trainers that has negotiated a contract with an organization licensee, and all Illinois thoroughbred and standardbred breeders organizations. The purse recapture certification shall be provided to the interested parties no later than January 31 of the year succeeding the comparative handle calendar year.

11 Ill. Adm. Code 213.60 Department of Agriculture Grant Agreements

The Department of Agriculture shall administer the purse recapture reimbursement and distribute those funds by an executed grant agreement between the Department of Agriculture and the organization licensees acting as custodian of purse funds payable at each eligible racetrack. The Department of Agriculture may condition the grants with reporting requirements and/or other reasonable standards.

11 Ill. Adm. Code 213.70 Distribution of the Purse Recapture Reimbursement

a) The amounts to be reimbursed to the purse accounts at eligible racetracks shall be those authorized pursuant to the Board's purse recapture certification.

b) The aggregate purse recapture reimbursement shall not exceed the Illinois General Assembly's fiscal year appropriation to the Department of Agriculture intended for this purpose.

c) In the event that the Illinois General Assembly's fiscal year appropriation to the Department of Agriculture for purse recapture reimbursement is less than the aggregate amount of the Board's certification, the purse recapture reimbursement to each eligible racetrack's purse account shall be allocated in proportion to its share of the total purse recapture.

Part 300 Pari-Mutuels

11 Ill. Adm. Code 300.10 General

a) No person shall wager after the start of a race.

b) Each licensee shall provide an information window. A complete and current Board rulebook shall be available for public inspection during racing hours at each information window.

c) No licensee shall permit any minor to purchase or cash pari-mutuel tickets. Minors shall be prohibited from all mutuel windows.

d) Each mutuel department employee shall wear on his/her person, in plain view, a name badge.

e) A summary explanation of pari-mutuel wagering shall be published in the official program for each race program. The official Board rules relative to each type of pari-mutuel pool offered shall be published in the official program on each day that type of pool is offered.

f) Unless expressly noted within specific wagering pool rules, refunds shall be granted on all valid wagers when a race is canceled or declared "no contest".

g) The host track and/or organization licensee shall be responsible for the closing of wagering on each contest after which time no pari-mutuel wagers shall be accepted for that contest. Each licensed facility not utilizing the host track's totalizator vendor shall be responsible for the close of wagering at its own facility.

h) The host track and/or organization licensee shall have a qualified individual representing its pari-mutuel department at its totalizator computer system hub (host) at all times it conducts the pari-mutuel system of wagering.

i) The organization licensee and/or Illinois host track shall provide, electronically within 24 hours, a summary of pari-mutuel operations report, in a format prescribed by the State Director of Mutuels, to the Board as the original record of wagering activities on that race program.

11 Ill. Adm. Code 300.20 Records

Each licensee shall maintain records of all wagering including the opening line, subsequent odds fluctuation, the amounts wagered on each betting interest and such other information as may be required. Such records shall be delivered to the Board upon request.

11 Ill. Adm. Code 300.30 Pari-Mutuel Tickets

a) A valid pari-mutuel ticket shall contain the following imprinted information:

1. the name of the organization or track conducting the races;

2. the name of the licensee issuing the ticket;

3. the name of the Illinois host track;

4. a unique identifying number or code;

5. identification of the terminal at which the ticket was issued;

6. a designation of the performance for which the wagering transaction was issued;

7. the contest number for which the pool is conducted;

8. the type or types of wagers represented;

9. the number or numbers representing the betting interests for which the wager is recorded; and

10. the amount or amounts of the contributions to the pari-mutuel pool or pools for which the ticket is evidence.

b) To prevent re-entry in the pari-mutuel system for duplicate cashing, each cashed or refunded ticket shall be marked or computer records kept to indicate that it has been cashed or refunded. If marked, the manner in which cashed or refunded tickets are marked shall not destroy the identity of the ticket.

c) No claims for lost pari-mutuel tickets shall be considered. Mutilated or altered pari-mutuel tickets shall not be accepted for payment.

History

• Source: Amended at 48 Ill. Reg. 18246, effective December 12, 2024

11 Ill. Adm. Code 300.40 Pari-Mutuel Wagers

a) All organization, intertrack and intertrack wagering location licensees shall offer the same types of pari-mutuel pools and minimum pari-mutuel prices at both manned and unmanned terminals, unless specifically restricted by Board rule (e.g., tickets may not be exchanged at unmanned ticket issuing machines).

b) All intertrack wagering facilities shall establish and maintain minimum purchase prices of pari-mutuel wagers that are the same as those offered by the organization licensee providing the simulcast.

c) All organization licensees shall require out-of-state wagering facilities to maintain the same minimum purchase prices of pari-mutuel wagers established for Illinois licensees. If it is determined that an out-of-state wagering facility has not maintained the same minimum purchase price of pari-mutuel wagers, the organization licensee shall be subject to civil penalties pursuant to Section 5/9(l) of the Act [230 ILCS 5/9(l)]. This Section shall apply only to organization licensees conducting commingled or combined wagering pools with out-of-state wagering facilities.

d) All intertrack wagering facilities shall offer the same pari-mutuel pools as offered by the organization providing the simulcast.

History

• Source: Amended at 23 Ill. Reg. 13935, effective November 2, 1999

11 Ill. Adm. Code 300.50 Pari-Mutuel Races

a) Wagering shall be prohibited on more than 11 live harness races during the course of a single racing program except on Fridays, Saturdays and Sundays when wagering shall be prohibited on more than 12 live harness races, unless permission to wager on additional races has been granted by the Board.

b) Wagering shall be prohibited on more than 10 live thoroughbred races during the course of a single racing program, unless permission to wager on additional races has been granted by the Board.

History

• Source: Amended at 25 Ill. Reg. 15257, effective November 1, 2001

11 Ill. Adm. Code 300.60 Advanced Wagering

a) A licensee may permit advanced wagering on races prior to the day the race occurs.

b) The host track and/or organization licensee shall submit to the State Pari-Mutuel Auditor a totalizator system report reflecting any advanced wagers from previous days to be added to that day's pari-mutuel pools.

History

• Source: Amended at 23 Ill. Reg. 13935, effective November 2, 1999

11 Ill. Adm. Code 300.70 Scratches or Non-Starter

a) In the event a betting interest is scratched, all wagers including the scratched betting interest shall be refunded, unless otherwise provided in Board rules (e.g., second half daily double grants a consolation payoff to wagers which include scratched betting interests).

b) In the event the doors in front of a stall of the starting gate, in thoroughbred or quarter horse racing, should fail to open, thereby preventing a horse from starting, all wagers including the horse shall be refunded. There shall be no refund if the horse is part of a coupled entry or mutuel field.

11 Ill. Adm. Code 300.80 Pools Dependent Upon Betting Interests

Unless otherwise provided in Board rules, the organization licensee may prohibit:

a) show wagering on all contests with five or fewer betting interests.

b) place wagering on any contest with four or fewer betting interests.

c) win, quinella or perfecta wagering on any contest with three or fewer betting interests.

11 Ill. Adm. Code 300.90 Minimum Payoff

a) In the event there is insufficient money available in the net pari-mutuel pool to return $2.20 on each winning $2 wager, the minimum payoff by the organization licensee shall be $2.10.

b) In the event of a minus pool, any deficiencies shall be paid from the commission.

c) The applicable surcharges as established in the Act, imposed on winning wagers and winnings from wagers on pari-mutuel pools shall not be deducted if it would result in a minimum payoff of less than $2.10 on a $2 wager.

11 Ill. Adm. Code 300.100 Pari-Mutuel Complaints

Illinois Racing Board complaint forms shall be made available to the public by all licensees at the information window. Upon receiving any such complaint form, the licensee shall submit a copy to the Board with a statement of the action taken, if any, or proposed action to be taken by the licensee.

History

• Source: Amended at 22 Ill. Reg. 7044, effective May 1, 1998

Part 301 Win, Place and Show Pools

11 Ill. Adm. Code 301.10 General

a) All pari-mutuel pools shall be separately and independently calculated and distributed. Takeout shall be deducted from each gross pool pursuant to the Act [230 ILCS 5]. The remainder of the monies in the pool shall constitute the net pool for distribution as payoff on winning wagers.

b) For each wagering pool, the amount wagered on the winning betting interest or betting combinations is deducted from the pool to determine the profit; the profit is then divided by the amount wagered on the winning betting interest or combinations, such quotient being the profit per dollar.

11 Ill. Adm. Code 301.20 Win Pools

a) The amount wagered on the betting interest which finishes first is deducted from the net pool, the balance remaining being the profit; the profit is divided by the amount wagered on the betting interest finishing first, such quotient being the profit per dollar wagered to win on that betting interest.

b) The net win pool shall be distributed as a single price pool to winning wagers in the following precedence, based upon the official order of finish:

1. To those whose selection finished first; but if there are no such wagers, then

2. To those whose selection finished second; but if there are no such wagers, then

3. To those whose selection finished third; but if there are no such wagers, then

4. The entire pool shall be refunded on win wagers for that contest.

c) If there is a dead heat for first involving:

1. contestants representing the same betting interest, the win pool shall be distributed as if no dead heat occurred.

2. contestants representing two or more betting interests, the win pool shall be distributed as a profit split.

11 Ill. Adm. Code 301.30 Place Pools

a) The amounts wagered to place on the first two betting interests to finish are deducted from the net pool, the balance remaining being the profit; the profit is divided into two equal portions, one being assigned to each winning betting interest and divided by the amount wagered to place on that betting interest, the resulting quotient being the profit per dollar wagered to place on that betting interest.

b) The net place pool shall be distributed to winning wagers in the following precedence, based on the official order of finish:

1. If contestants of a coupled entry or mutuel field finished in the first two places, as a single price pool to those who selected the coupled entry or mutuel field; otherwise

2. As a profit split to those whose selection is included within the first two finishers; but if there are no such wagers, then

3. As a single price pool to those who selected the one covered betting interest included within the first two finishers; but if there are no such wagers, then

4. As a single price pool to those who selected the third place finisher; but if there are no such wagers, then

5. The entire pool shall be refunded on place wagers for that contest.

c) If there is a dead heat for second involving:

1. contestants representing the same betting interest, the place pool shall be distributed as if no dead heat occurred.

2. contestants representing two or more betting interests, the place pool shall be divided with one-half of the profit distributed to place wagers on the betting interest finishing first and the remainder is distributed equally among place wagers on those betting interests involved in the dead heat for second.

11 Ill. Adm. Code 301.40 Show Pools

a) The amounts wagered to show on the first three betting interests to finish are deducted from the net pool, the balance remaining being the profit; the profit is divided into three equal portions, one being assigned to each winning betting interest and divided by the amount wagered to show on that betting interest, the resulting quotient being the profit per dollar wagered to show on that betting interest. The net show pool shall be distributed to winning wagers in the following precedence, based upon the official order of finish:

1. If contestants of a coupled entry or mutuel field finished in the first three places, as a single price pool to those who selected the coupled entry or mutuel field; otherwise

2. If contestants of a coupled entry or mutuel field finished as two of the first three finishers, the profit is divided with two-thirds distributed to those who selected the coupled entry or mutuel field and one-third distributed to those who selected the other betting interest included within the first three finishers; otherwise

3. As a profit split to those whose selection is included within the first three finishers; but if there are no such wagers, then

4. As a profit split to those who selected the two covered betting interests included within the first three finishers; but if there are no such wagers, then

5. As a profit split to those who selected the one covered betting interest included within the first three finishers; but if there are no such wagers, then

6. As a single price pool to those who selected the fourth place finisher; but if there are no such wagers, then

7. The entire pool shall be refunded on show wagers for that contest.

b) If there is a dead heat for first involving:

1. two contestants representing the same betting interest, the profit is divided with two-thirds distributed to those who selected the first place finisher and one-third distributed to those who selected the betting interest finishing third.

2. three contestants representing a single betting interest, the show pool shall be distributed as a single price pool.

3. contestants representing two or more betting interests, the show pool shall be distributed as a profit split.

c) If there is a dead heat for second involving:

1. contestants representing the same betting interest, the profit is divided with one-third distributed to those who selected the betting interest finishing first and two-thirds distributed to those who selected the second place finishers.

2. contestants representing two betting interests, the show pool shall be distributed as a profit split.

3. contestants representing three betting interests, the show pool is divided with one-third of the profit distributed to show wagers on the betting interest finishing first and the remainder is distributed equally among show wagers on those betting interests involved in the dead heat for second.

d) If there is a dead heat for third involving:

1. contestants representing the same betting interest, the show pool shall be distributed as if no dead heat occurred.

2. contestants representing two or more betting interests, the show pool is divided with two-thirds of the profit distributed to show wagers on the betting interest finishing first and second and the remainder is distributed equally amongst show wagers on those betting interests involved in the dead heat for third.

Part 302 Interstate Common Pools

11 Ill. Adm. Code 302.10 General

a) All executed contracts governing participation in interstate common pools shall be submitted to the Board.

b) Individual wagering transactions are made at the point of sale in the state where placed. Pari-mutuel pools are combined for computing odds and calculating payoffs but will be held separate for auditing and all other purposes.

c) Any surcharges or withholding in addition to the takeout shall only be applied in the jurisdiction imposing such surcharges or withholdings.

11 Ill. Adm. Code 302.20 Illinois as the Guest State

a) Pari-mutuel wagering pools may be combined with corresponding wagering pools in the host state, or with corresponding pools established by one or more other jurisdictions.

b) In the event that an organization licensee commingles Illinois pools with the pools of an out-of-state track, Illinois pool data shall be transmitted by each totalizator system used by Illinois licensees, independent and separately from any other totalizator system used by Illinois licensees.

c) In the event that an organization licensee commingles Illinois pools with the pools of an out-of-state track, all rules in effect in the host state shall apply.

d) In the event that an organization licensee commingles Illinois pools with the pools of an out-of-state track, if for any reason it becomes impossible to successfully merge all Illinois wagers into the interstate common pool, the interstate host track prices shall be paid for the following pools: win, place, show, daily double, perfecta/exacta, quinella, trifecta and Pick-3. For all other wagering pools that are unsuccessfully merged, payouts shall be calculated based on the licensees' pools of the totalizator system that failed to merge with the interstate host track. All separately calculated Illinois pools shall not include the interstate host track's guaranteed minimum pool or payout, and/or carryover pool. Each individual licensee shall be responsible for its wagering pool payouts required under this Part. In all cases, the organization licensee and/or Illinois host track shall determine the liabilities for all licensees as agreed upon by the State Director of Mutuels. If a totalizator used by Illinois licensees is unable to successfully merge pools, a representative of that totalizator shall notify both the Illinois host track and the Board auditor by the start of the following race of the affected interstate host track. All Illinois licensees shall publish a copy of this subsection in their official programs.

e) In the event that an organization licensee commingles Illinois pools with the pools of an out-of-state track, where takeout rates in the common pool are not identical to the takeout rate applicable in Illinois, the Illinois organization licensee may adopt the takeout rate of the sending state or utilize the net price calculation method.

f) An interstate commission fee shall exceed 5% only for Grade I thoroughbred races and only for harness races with purses exceeding $200,000.

g) All Illinois licensees shall provide the Board with pari-mutuel data by way of electronic transmission in a Board prescribed format.

History

• Source: Amended at 28 Ill. Reg. 7117, effective May 10, 2004

11 Ill. Adm. Code 302.30 Illinois as Host Track

a) With the approval of the Board, an organization licensee may offer one or more of its pari-mutuel races to guest facilities in other states and participate in a common pool.

b) Where takeout rates in the common pool are not identical, the net price calculation may be utilized.

c) Illinois pari-mutuel rules shall apply.

d) If for any reason it becomes impossible to successfully merge pool data into the interstate common pool of the organization licensee, or a Board representative determines that attempting to effect transfer of pool data from the guest state may endanger the organization licensee's wagering pool, or cause an unreasonable delay of the racing program, the Board's pari-mutuel auditor shall determine under the circumstances whether to manually merge guest pools, exclude guest pools or delay the Illinois program.

11 Ill. Adm. Code 302.40 Shared Carryover Pools

a) With the approval of the State Director of Mutuels and at least 30 days notice, an organization licensee may participate with other Illinois racetracks or out of state racetracks in a shared carryover pool on any wagering pool that provides for a carryover amount.

b) The carryover pools generated by the wagering activity on races conducted by the organization licensee may be carried in to another racetrack's pool, and the carryover pools generated by the wagering activity on races conducted on other racetrack's pools may be carried in to the pools of the organization licensee.

History

• Source: Added at 32 Ill. Reg. 13522, effective August 1, 2008

Part 303 Daily Double

11 Ill. Adm. Code 303.10 Definition

The Daily Double requires selection of the first-place finisher in each of two successive, specified contests. All daily double wagers shall be calculated in an entirely separate pool.

11 Ill. Adm. Code 303.20 Pool Distribution

The net daily double pool shall be distributed to winning wagers in the following manner, based upon the official order of finish:

a) As a single price pool to those whose selection finished first in each of the two contests; but if there are no such wagers, then

b) As a profit split to those who selected the first-place finisher in either of the two contests; but if there are no such wagers, then

c) As a single price pool to those who selected the one covered first-place finisher in either contest; but if there are no such wagers, then

d) As a single price pool to whose selection finished second in each of the two contests; but if there are no such wagers, then

e) The entire pool shall be refunded on daily double wagers for those contests.

11 Ill. Adm. Code 303.30 Dead Heats

If there is a dead heat for first in either of the two contests involving:

a) contestants representing the same betting interest, the daily double pool shall be distributed as if no dead heat occurred.

b) contestants representing two or more betting interests, the daily double shall be distributed as a profit split if there is more than one covered winning combination.

11 Ill. Adm. Code 303.40 Scratches

a) In the event a betting interest in the first half of the daily double is scratched prior to the first double contest being declared official, all money wagered on combinations including the scratched betting interest shall be deducted from the daily double pool and refunded.

b) In the event a betting interest in the second half of the daily double is scratched prior to the close of wagering, all money wagered on combinations including the scratched betting interest shall be deducted from the daily double pool and refunded.

c) In the event a betting interest in the second half of the daily double is scratched after the close of wagering, all wagers combining the winner of the first contest with the scratched betting interest shall receive a consolation payoff.

11 Ill. Adm. Code 303.50 Cancellations

a) If either of the daily double contests are canceled prior to the first double contest, or the first double contest is declared "no contest", the entire double pool shall be refunded on double wagers for those contests.

b) If the second double contest is canceled or declared "no contest" after the close of wagering on the first double contest, the net double pool shall be distributed as a single price pool to wagers selecting the winner of the first double contest. In the event of a dead heat involving separate betting interests, the net double pool shall be distributed as a profit split.

Part 304 Quinella

11 Ill. Adm. Code 304.10 Definition

The Quinella requires selection of the first two finishers, irrespective of order, for a single designated contest. The quinella wager shall be calculated in an entirely separate pool.

11 Ill. Adm. Code 304.20 Pool Distribution

The net quinella pool shall be distributed to winning wagers in the following manner, based upon official order of finish:

a) If the contestants of a coupled entry or mutuel field finish as the first two finishers, as a single price pool to those selecting the coupled entry or mutuel field combined with the next separate betting interest; otherwise

b) As a single price pool to those whose combination finished as the first two betting interests; but if there are no such wagers, then

c) As a profit split to those whose combination included either the first or second place finisher; but if there are no such wagers, then

d) As a single price pool to those whose combination included the one covered betting interest included within the first two finishers; but if there are no such wagers, then

e) The entire pool shall be refunded on quinella wagers for that contest.

11 Ill. Adm. Code 304.30 Dead Heats

a) If there is a dead heat for first involving:

1. contestants representing the same betting interest, the quinella pool shall be distributed to those selecting the coupled entry or mutuel field combined with the next separate betting interest.

2. contestants representing two betting interests, the quinella pool shall be distributed as if no dead heat occurred.

3. contestants representing three or more betting interests, the quinella pool shall be distributed as a profit split.

b) If there is a dead heat for second involving contestants representing the same betting interest, the quinella pool shall be distributed as if no dead heat occurred.

c) If there is a dead heat for second involving contestants representing two or more betting interests, the quinella pool shall be distributed to wagers in the following manner:

1. As a profit split to those combining the winner with any of the betting interests involved in the dead heat for second; but if there is only one covered combination, then

2. As a single price pool to those combining the winner with the one covered betting interest involved in the dead heat for second; but if there are no such wagers, then

3. As a profit split to those combining the betting interests involved in the dead heat for second; but if there are no such wagers, then

4. As a profit split to those whose combination included the winner and any other betting interest and wagers selecting any of the betting interests involved in the dead heat for second; but if there are no such wagers, then

5. The entire pool shall be refunded on quinella wagers for that contest.

11 Ill. Adm. Code 304.40 Scratches

a) In the event any contestant, which is not part of an entry or field, is scratched, all wagers including the scratched betting interests shall be refunded.

b) In the event any contestant in a coupled entry or mutuel field is scratched, the remaining contestant(s) in that coupled entry or mutuel field shall remain valid betting interests and no refunds shall be granted.

c) In the event all contestants within a coupled entry or mutuel field are scratched, all wagers including such betting interests shall be refunded.

Part 305 Perfecta/Exacta

11 Ill. Adm. Code 305.10 Definition

The perfecta/exacta requires the selection of the first two finishers, in their exact order, for a single designated contest. Perfecta/exacta wagers shall be calculated in an entirely separate pool.

11 Ill. Adm. Code 305.20 Pool Distribution

The net perfecta/exacta pool shall be distributed to winning wagers in the following manner, based upon the official order of finish:

a) If contestants of a coupled entry or mutuel field finish as the first two finishers, as a single price pool to those selecting the coupled entry or mutuel field combined with the next separate betting interest; otherwise

b) As a single price pool to those whose combination finished in correct sequence as the first two betting interests; but if there are no such wagers, then

c) As a profit split to those whose combination included either the first place betting interest to finish first or the second place betting interest to finish second; but if there are no such wagers, then

d) As a single price pool to those whose combination included the one covered betting interest to finish first or second in the correct sequence; but if there are no such wagers, then

e) The entire pool shall be refunded on perfecta/exacta wagers for that contest.

11 Ill. Adm. Code 305.30 Dead Heats

a) If there is a dead heat for first involving:

1. contestants representing the same betting interest, the perfecta/exacta pool shall be distributed as a single price pool to those selecting the coupled entry or mutuel field combined with the next separate betting interest.

2. contestants representing two or more betting interests, the perfecta/exacta shall be distributed as a profit split.

b) If there is a dead heat for second involving contestants representing the same betting interests, the perfecta/exacta shall be distributed as if no dead heat occurred.

c) If there is a dead heat for second involving contestants representing two or more betting interests, the perfecta/exacta pool shall be distributed in the following manner:

1. As a profit split to those combining the first place betting interest with any of the betting interests involved in the dead heat for second; but if there are no such wagers, then

2. As a single price pool to those combining the first place betting interest for first place and the one covered betting interest involved in the dead heat for second; but if there are no such wagers, then

3. As a profit split to those wagers correctly selecting the winner for first place and those wagers selecting any of the dead-heated betting interests for second place; but if there are no such wagers, then

4. The entire pool shall be refunded on perfecta/exacta wagers for that contest.

11 Ill. Adm. Code 305.40 Scratches

a) In the event any contestant, which is not part of an entry or field, is scratched, all wagers including the scratched betting interests shall be refunded.

b) In the event any contestant in a coupled entry or mutuel field is scratched, the remaining contestants in that coupled entry or mutuel field shall remain valid betting interests and no refunds shall be granted.

c) In the event all contestants within a coupled entry or mutuel field are scratched, all wagers including such betting interests shall be refunded.

Part 306 Trifecta

11 Ill. Adm. Code 306.10 Definition

The trifecta requires the selection of the first three finishers, in their exact order, for a single designated contest. All trifecta wagers shall be calculated in an entirely separate pool.

11 Ill. Adm. Code 306.20 Entries (repealed)

History

• Source: Repealed at 34 Ill. Reg. 11436, effective July 22, 2010

11 Ill. Adm. Code 306.30 Minimum Fields

Trifecta wagering shall not be scheduled on a thoroughbred or standardbred race unless at least five betting interests are carded. In the event of a scratch, trifecta wagering on a thoroughbred or standardbred race in which four betting interests remain is permissible.

History

• Source: Amended at 39 Ill. Reg. 13710, effective October 5, 2015

11 Ill. Adm. Code 306.40 Pool Distribution

a) The net trifecta pool shall be distributed to winning wagers in the following precedence, based upon the official order of finish:

1. If contestants of a coupled entry or mutuel field finish, in any combination, within the first three finishers, as a single price pool to those selecting the coupled entry or mutuel field combined with the next separate betting interest; otherwise

2. As a single price pool to those whose combination finished in correct sequence as the first three betting interests; but if there are no such wagers, then

3. As a single price pool to those whose combination included, in correct sequence, the first two betting interests; but if there are no such wagers, then

4. As a single price pool to those whose combination correctly selected the first place betting interest only; but if there are no such wagers, then

5. The entire pool shall be refunded on trifecta wagers for that contest.

b) If less than three betting interests finish and the contest is declared official, payoffs will be made based upon the order of finish of those betting interests completing the contest (e.g., 2 horses finish = 1-2-All or 1 horse finishes = 1-All-All).

11 Ill. Adm. Code 306.50 Dead Heats

a) If there is a dead heat for first involving:

1. contestants representing three or more betting interests, all of the wagering combinations selecting the three betting interests which correspond with any of the betting involved in the dead heat shall share in a profit split.

2. contestants representing two betting interests, both of the wagering combinations selecting the two dead-heated betting interests, irrespective of order, along with the third place betting interests shall share in a profit split.

b) If there is a dead heat for second, all of the combinations correctly selecting the winner combined with any of the betting interests involved in the dead heat for second shall share in a profit split.

c) If there is a dead heat for third, all wagering combinations correctly selecting the first two finishers, in correct sequence, along with any of the betting interests involved in the dead heat for third shall share in a profit split.

11 Ill. Adm. Code 306.60 Scratches

a) In the event any contestant that is not part of an entry or field is scratched, all wagers including the scratched betting interests shall be refunded.

b) In the event any contestant in a coupled entry or mutuel field is scratched, the remaining contestants in that coupled entry or mutuel field shall remain valid betting interests and no refunds shall be granted.

c) In the event all contestants within a coupled entry or mutuel field are scratched, all wagers including such betting interests shall be refunded.

Part 307 Twin Trifecta

11 Ill. Adm. Code 307.10 Definition

The twin trifecta requires selection of the first three finishers, in their exact order, in each of two designated contests. Each winning wager for the first twin trifecta contest must be exchanged for a free ticket on the second twin trifecta contest in order to remain eligible for the second half twin trifecta contest. Winning first half twin trifecta wagers will receive both an exchange and a monetary payoff. All twin trifecta wagers shall be calculated in an entirely separate pool.

11 Ill. Adm. Code 307.20 General Provisions

a) Unless expressly noted in this Part, all trifecta rules shall apply.

b) Twin trifecta tickets shall be sold and exchanged by licensed facilities and at attended ticket-issuing machines. The sale, exchange or transfer of twin trifecta tickets by any other facility or person is prohibited.

c) Twin trifecta wagers shall not be sold in denominations of less than $1.

d) The twin trifecta rules shall be prominently displayed in the official program on each day the twin trifecta wager is offered.

e) If a wagering facility is unable to process wagers on the second twin trifecta contest, due to unforeseen problems, including but not limited to totalizator malfunction, natural disaster, electrical failure, holders of winning wagers on the first twin trifecta contest shall be entitled to the monetary value of the winning wager but shall not be eligible for an exchange ticket on the second twin trifecta contest.

f) Any organization licensee who elects to offer a twin trifecta wager shall notify the State Director of Mutuels, in writing, at least 30 days prior to the start of its meet.

11 Ill. Adm. Code 307.30 Pool Distribution

a) An organization shall elect a 50% or 75% carryover method prior to the start of its meet. The remaining 50% or 25% shall be the daily net pool.

b) In the first twin trifecta contest, winning wagers and distribution of the daily net pool shall be determined using the following precedence, based upon the official order of finish for the first twin trifecta contest:

1. As a single price pool to those whose combination finished in correct sequence as the first three betting interests; but if there are no such wagers, then

2. As a single price pool to those whose combination included, in correct sequence, the first two betting interests; but if there are no such wagers, then

3. As a single price pool to those whose combination correctly selected the first place betting interest only; but if there are no such wagers, then

4. The entire twin trifecta pool, for that contest, shall be added to the carryover pool and the second half shall be canceled.

c) If no first half twin trifecta wager selects the first three finishers of that contest in exact order, winning wagers shall not receive any exchange tickets for the second half twin trifecta pool. In such cases, the second twin trifecta pool shall be retained and added to any existing twin trifecta carryover pool.

d) The carryover pool shall be distributed to winning wagers on the second twin trifecta contest according to the following precedence, based upon the official order of finish for the second twin trifecta contest:

1. As a single price pool to those whose combination finished in correct sequence as the first three betting interests; but if there are no such wagers, then

2. The entire carryover pool for that contest shall be added to any existing carryover and retained for the next consecutive second half twin trifecta pool.

e) If a winning first half twin trifecta wager is not presented for payment and exchange prior to the second half twin trifecta contest, the ticket holder shall receive the monetary value associated with the first half twin trifecta pool but forfeits all rights to any distribution of the second half twin trifecta pool.

11 Ill. Adm. Code 307.40 Dead Heats

a) If there is a dead heat or multiple dead heats in either the first or second twin trifecta contest, all twin trifecta wagers selecting the correct order of finish, including any dead-heated contestant, shall be considered winners.

b) If there is a dead heat in the first twin trifecta contest, payoffs shall be calculated as a profit split.

c) If there is a dead heat in the second twin trifecta contest, payoffs shall be calculated as a single price pool.

11 Ill. Adm. Code 307.50 Scratches

a) Should a betting interest in the first twin trifecta contest be scratched, those wagers including the scratched betting interest shall be refunded.

b) Should a betting interest in the second twin trifecta contest be scratched, an announcement concerning the scratch shall be made and a reasonable amount of time shall be provided for exchange of tickets that include the scratched betting interest. If tickets have not been exchanged prior to the close of betting for the second twin trifecta contest, the ticket holder forfeits all rights to the second twin trifecta pool.

c) If, due to a late scratch, the number of betting interests in the second twin trifecta contest is reduced to fewer than the minimum, all exchange tickets and outstanding first half winning wagers shall be entitled to the second half twin trifecta pool for that contest as a single price pool, but not the twin trifecta carryover.

11 Ill. Adm. Code 307.60 Races Canceled

a) If either of the twin trifecta contests are canceled prior to the first twin trifecta contest, the entire twin trifecta pool shall be refunded on twin trifecta wagers for that contest and the second twin trifecta contest shall be canceled.

b) If the second twin trifecta contest is canceled, all exchange tickets and outstanding first half winning twin trifecta tickets shall be entitled to the daily net twin trifecta pool for that contest as a single price pool, but not the twin trifecta carryover.

11 Ill. Adm. Code 307.70 Mandatory Distribution

a) The twin trifecta carryover shall be designated for distribution on the last program of a race meeting or the last program during a consecutive race meeting of the same type of racing at the same track and shall be advertised to the public.

b) In the event a mandatory distribution is required, the following precedence will be followed in determining winning wagers for the second twin trifecta contest, based upon the official order of finish:

1. As a single price pool to those who selected the first three finishers in exact order; but if there are no such wagers, then

2. As a single price pool to those whose combination correctly selected the first and second place finishers in correct order; but if there are no such wagers, then

3. As a single price pool to those whose combination correctly selected the first place betting interest; but if there are no such wagers, then

4. As a single price pool to those whose combination correctly selected the second and third place finishers in exact order; but if there are no such wager, then

5. As a single price pool to those whose combination correctly selected the second place betting interest; but if there are no such wagers, then

6. As a single price pool to those whose combination correctly selected the third place betting interest; but if there are no such wagers, then

7. As a single price pool to holders of valid exchange tickets.

c) In the event no valid exchange tickets are issued the carryover shall be distributed in the following precedence, based upon the official order of finish:

1. As a single price pool to those whose combination correctly selected the first and second place betting interests in the first twin trifecta contest; but if there are no such wagers, then

2. As a single price pool to those whose combination correctly selected the first place finisher in the first twin trifecta contest; but if there are no such wagers, then

3. As a single price pool to those holding first half twin trifecta wagers.

Part 308 Pick (n) Pools

11 Ill. Adm. Code 308.10 Pick (n)

The Pick (n) requires selection of the first-place finisher in each of a designated number of contests. The organization licensee shall designate the number of contests for the Pick (n) and the method for pool calculation prior to the start of its meet. The organization licensee shall submit, in writing, its intent to offer the Pick (n) wager to the State Director of Mutuels no later than 30 days prior to the start of its meet.

11 Ill. Adm. Code 308.20 Pool Calculations

The organization licensee may select one of the following methods for conducting its Pick (n) pool. As used in this Part, "Major pool" is defined as 75% of the daily net pool, and "Minor pool" is defined as 25% of the daily net pool. Any deviation from the major/minor pool percentage division must be approved by the State Director of Mutuels.

a) Method 1, Pick (n) with Carryover: The net Pick (n) pool and carryover, if any, shall be distributed as a single price pool to those who selected the first-place finisher in each of the Pick (n) contests, based upon the official order of finish. If there are no such wagers, then a designated percentage of the net pool shall be distributed as a single price pool to those who selected the first-place finisher in the greatest number of Pick (n) contests, and the remainder shall be added to the carryover.

b) Method 2, Pick (n) with Minor Pool and Carryover: The major share of the net Pick (n) pool and the carryover, if any, shall be distributed to those who selected the first-place finisher in each of the Pick (n) contests, based upon the official order of finish. The minor share of the net Pick (n) pool shall be distributed to those who selected the first-place finisher in the second greatest number of Pick (n) contests, based upon the official order of finish. If there are no wagers selecting the first-place finisher of all Pick (n) contests, the minor share of the net Pick (n) pool shall be distributed as a single price pool to those who selected the first-place finisher in the greatest number of Pick (n) contests, and the major share shall be added to the carryover.

c) Method 3, Pick (n) with No Minor Pool and No Carryover: The net Pick (n) pool shall be distributed as a single price pool to those who selected the first-place finisher in the greatest number of Pick (n) contests, based upon the official order of finish. If there are no winning wagers, the pool is refunded.

d) Method 4, Pick (n) with Minor Pool and No Carryover: The major share of the net Pick (n) pool shall be distributed to those who selected the first place finisher in the greatest number of Pick (n) contests, based upon the official order of finish. The minor share of the net Pick (n) pool shall be distributed to those who selected the first-place finisher in the second greatest number of Pick (n) contests, based upon the official order of finish. If there are no wagers selecting the first-place finisher in a second greatest number of Pick (n) contests, the minor share of the net Pick (n) pool shall be combined with the major share for distribution as a single price pool to those who selected the first-place finisher in the greatest number of Pick (n) contests. If the greatest number of first-place finishers selected is one (1), the major and minor shares are combined for distribution as a single price pool. If there are no winning wagers, the pool is refunded.

e) Method 5, Pick (n) with Minor Pool and No Carryover: The major share of the net Pick (n) pool shall be distributed to those who selected the first-place finisher in each of the Pick (n) contests, based upon the official order of finish. The minor share of the net Pick (n) pool shall be distributed to those who selected the first-place finisher in the second greatest number of Pick (n) contests, based upon the official order of finish. If there are no wagers selecting the first-place finisher in all Pick (n) contests, the entire net Pick (n) pool shall be distributed as a single price pool to those who selected the first-place finisher in the greatest number of Pick (n) contests. If there are no wagers selecting the first-place finisher in a second greatest number of Pick (n) contests, the minor share of the net Pick (n) pool shall be combined with the major share for distribution as a single price pool to those who selected the first-place finisher in each of the Pick (n) contests. If there are no winning wagers, the pool is refunded.

f) Method 6, Pick (n) with Minor Pool and Carryover: The net Pick (n) pool and carryover, if any, shall be distributed to those who selected the first-place finisher in each of the Pick (n) contests, based upon the official order of finish. If there are no wagers selecting the first-place finisher in all Pick (n) contests, two-thirds of the net pool (major pool) or one-half of the total gross pool, whichever is greater, shall be distributed as a single price pool to those who present a valid pari-mutuel wager for that Pick (n) pool and the remaining one-third of the net pool shall be added to the carryover. The minimum pay-off provisions contained in 11 Ill. Adm. Code 405.130 shall not apply when distributing the major pool in this pool calculation.

g) Method 7, Pick (n) with "Unique Winning Ticket" Provision: The net Pick (n) pool and carryover, if any, shall be distributed to the holder of a unique winning ticket that selected the first-place finisher in each of the Pick (n) contests, based upon the official order of finish. The minor share of the net Pick (n) pool shall be distributed to those who selected the first-place finisher in the second greatest number of Pick (n) contests, based upon the official order of finish. If there is no unique winning ticket selecting the first-place finisher in each of the Pick (n) contests, or if there are no wagers selecting the first-place finisher of all Pick (n) contests, the minor share of the net Pick (n) pool shall be distributed as a single price pool to those who selected the first-place finisher in the greatest number of Pick (n) contests, and the major share shall be added to the carryover. Unique winning ticket, as used in this subsection, shall be defined as having occurred when there is one and only one winning ticket that correctly selected the first-place finisher in each of the Pick (n) contests, based upon the official order of finish, to be verified by the unique serial number assigned by the tote company that issued the winning ticket. In the event that there is more than one winning ticket that correctly selected the first-place finisher in each of the Pick (n) contests, based upon the official order of finish, the unique winning ticket shall be deemed to not have occurred.

History

• Source: Amended at 35 Ill. Reg. 13891, effective July 28, 2011

11 Ill. Adm. Code 308.30 Dead Heats

If there is a dead heat for first in any of the Pick (n) contests involving:

a) contestants representing the same betting interest, the Pick (n) pool shall be distributed as if no dead heat occurred.

b) contestants representing two or more betting interests, the Pick (n) pool shall be distributed as a single price pool with each winning wager receiving an equal share of the profit.

11 Ill. Adm. Code 308.40 Scratches

Should a betting interest in any of the Pick (n) contests be scratched, the actual favorite, as evidenced by total amounts wagered in the Win pool at the closing of wagering on that contest, shall be substituted for the scratched betting interest for all purposes, including pool calculations. In the event that the Win pool total for two or more favorites is identical, the substitute selection shall be the betting interest with the lowest program number. The totalizator shall produce reports showing each of the wagering combinations with substituted betting interests that became winners as a result of the substitution, in addition to the normal winning combination.

History

• Source: Amended at 35 Ill. Reg. 13891, effective July 28, 2011

11 Ill. Adm. Code 308.50 Cancellation of Races

a) The Pick (n) pool shall be cancelled and all Pick (n) wagers for the individual performance shall be refunded if:

1. at least two contests included as part of a Pick 3 are cancelled or declared "no contest".

2. at least three contests included as part of a Pick 4 or Pick 5 are cancelled or declared "no contest".

3. at least four contests included as part of a Pick 6 or Pick 7 are cancelled or declared "no contest".

4. at least five contests included as part of a Pick 8 or Pick 9 are cancelled or declared "no contest".

5. at least six contests included as part of a Pick 10 or Pick 11 are cancelled or declared "no contest".

b) If at least one contest included as part of a Pick (n) is cancelled or declared "no contest", but not more than the number specified in subsection (a), the net pool shall be distributed as a single price pool to those whose selection finishes first in the greatest number of Pick (n) contests for that performance. Such distribution shall include the portion ordinarily retained for the Pick (n) carryover but not the carryover from previous performances.

11 Ill. Adm. Code 308.60 Carryover Cap

The Pick (n) carryover may be capped at a designated level approved by the State Director of Mutuels so that if, at the close of any performance, the amount in the Pick (n) carryover equals or exceeds the designated cap, the Pick (n) carryover will be frozen until it is won or distributed under Section 308.70. After the pick (n) carryover is frozen, 100 percent of the net pool, part of which ordinarily would be added to the Pick (n) carryover, shall be distributed to those whose selection finished first in the greatest number of Pick (n) contests for that performance.

11 Ill. Adm. Code 308.70 Mandatory Distribution

a) A written request for permission to distribute the Pick (n) carryover on a specific performance may be submitted to the State Director of Mutuels. The request must contain justification for the distribution, an explanation of the benefit to be derived, and the intended date and performance for the distribution.

b) Should the Pick (n) carryover be designated for distribution on a specified date and performance in which there are no wagers selecting the first-place finisher in each of the Pick (n) contests, the entire pool shall be distributed as a single price pool to those whose selection finished first in the greatest number of Pick (n) contests. The Pick (n) carryover shall be designated for distribution on a specified date and performance only under the following circumstances:

1. Upon written approval from the State Director of Mutuels as provided for in subsection (a).

2. Upon written approval from the State Director of Mutuels when there is a change in the carryover cap, a change from one type of Pick (n) wagering to another, or when the Pick (n) is discontinued.

3. On the closing performance of the meet, split meet or successive or intervening race meeting at the same race track.

c) If, for any reason, the Pick (n) carryover must be held over to the corresponding Pick (n) of a subsequent meet, the carryover shall be deposited in an interest-bearing account approved by the State Director of Mutuels. The Pick (n) carryover plus accrued interest shall then be added to the net Pick (n) pool of the following meet on a date and performance designated by the State Director of Mutuels.

d) With written approval of the Board, the organization licensee may contribute to the Pick (n) carryover a sum of money up to any designated cap.

11 Ill. Adm. Code 308.80 Disclosure

The organization licensee may display potential distribution to ticket holders depending on the outcome of the appropriate Pick (n) contest.

11 Ill. Adm. Code 308.90 Pick 3 Pools

a) The Pick 3 requires selection of the first-place finisher in each of three specified contests.

b) The net Pick 3 pool shall be distributed to winning wagers in the following precedence, based upon the official order of finish:

1. As a single price pool to those whose selection finished first in each of the three contests; but if there are no such wagers, then

2. As a single price pool to those who selected the first-place finisher in any two of the three contests; but if there are no such wagers, then

3. As a single price pool to those who selected the first-place finisher in any one of the three contests; but if there are no such wagers, then

4. The entire pool shall be refunded on Pick 3 wagers for those contests.

c) If there is a dead heat for first in any of the three contests involving:

1. contestants representing the same betting interest, the Pick 3 pool shall be distributed as if no dead heat occurred.

2. contestants representing two or more betting interests, the Pick 3 pool shall be distributed as a single price pool with each winning wager receiving an equal share of the profit.

d) Should a betting interest in any of the Pick 3 contests be scratched, the actual favorite, as evidenced by total amounts wagered in the Win pool at the close of wagering on that contest, shall be substituted for the scratched betting interest for all purposes, including pool calculations. In the event that the Win pool total for two or more favorites is identical, the substitute selection shall be the betting interest with the lowest program number. The totalizator shall produce reports showing each of the wagering combinations with substituted betting interests that became winners as a result of the substitution, in addition to the normal winning combination.

e) If two or three Pick 3 contests are cancelled or declared "no contest", the entire pool shall be refunded on Pick 3 wagers for those contests.

f) If one of the Pick 3 contests is cancelled or declared "no contest", the Pick 3 pool will remain valid and shall be distributed in accordance with subsection (b)(2).

History

• Source: Amended at 35 Ill. Reg. 13891, effective July 28, 2011

Part 309 Supertrifecta

11 Ill. Adm. Code 309.10 Definition

The supertrifecta requires selection of the first three finishers, in their exact order, in the first of two designated contests and the first four finishers, in exact order, in the second of two designated contests. The supertrifecta wager shall be calculated in an entirely separate pool.

11 Ill. Adm. Code 309.20 General Provisions

a) Unless expressly noted in this Part, all trifecta rules apply.

b) Supertrifecta wagers shall not be sold in denominations of less than $1.

c) The supertrifecta rules shall be prominently displayed in the official program on each day the supertrifecta wager is offered.

d) Any organization licensee that elects to offer a supertrifecta wager shall notify the State Director of Mutuels, in writing, at least 30 days prior to the start of its meet.

11 Ill. Adm. Code 309.30 Pool Distribution

The daily net pool and any carryover pool shall be distributed as a single price pool to those whose combination finished in correct sequences as the first three betting interests in the first supertrifecta contest and the first four finishers, in correct sequence, in the second supertrifecta contest; but if there are no such wagers, then the daily net pool shall be combined with the carryover pool and carried forward to the next consecutive supertrifecta wager.

11 Ill. Adm. Code 309.40 Dead Heats

If there is a dead heat or multiple dead heats in either the first or second supertrifecta contest, all supertrifecta wagers selecting the correct order of finish, including any dead-heated contestant, shall be considered winners and the pool shall be distributed as a single price pool.

11 Ill. Adm. Code 309.50 Scratches

a) Should a betting interest in either supertrifecta contest be scratched prior to the first supertrifecta contest, those wagers including the scratched betting interest shall be refunded.

b) Should a betting interest in the second supertrifecta contest be scratched after the first supertrifecta contest, wagers including the scratched betting interest shall be withdrawn from the supertrifecta pool and made part of the consolation pool. The consolation pool shall be distributed to those wagers including the scratched betting interest as a profit split.

c) If, due to a late scratch, the number of betting interests in the second supertrifecta contest is reduced to fewer than the minimum, the daily net supertrifecta pool shall be distributed as a single price pool to those who correctly selected the first supertrifecta contest. In the event there are no wagers correctly selecting the first supertrifecta contest, the supertrifecta pool shall be added to any existing carryover.

11 Ill. Adm. Code 309.60 Races Canceled

a) If either of the supertrifecta contests are canceled prior to the first supertrifecta contest, the entire supertrifecta pool shall be refunded on supertrifecta wagers for that program.

b) If the second supertrifecta contest is canceled after the first supertrifecta contest is run, the supertrifecta pool shall be distributed as a single price pool to those who selected the first three finishers, in correct sequence, in the first supertrifecta contest. In the event there are no wagers correctly selecting the first supertrifecta contest, the supertrifecta pool shall be added to any existing carryover.

11 Ill. Adm. Code 309.70 Mandatory Distribution

a) The supertrifecta carryover shall be designated for distribution on the last program of a race meeting or the last program during a consecutive race meeting of the same type of racing at the same track and shall be advertised to the public.

b) In the event a mandatory distribution is required, the following precedence will be followed in determining winning wagers for the second supertrifecta contest, based upon the official order of finish:

1. As a single price pool to those who selected the first three finishers in exact order; but if there are no such wagers, then

2. As a single price pool to those whose combination correctly selected the first and second place finishers in correct order; but if there are no such wagers, then

3. As a single price pool to those whose combination correctly selected the first place betting interest; but if there are no such wagers, then

4. As a single price pool to those whose combination correctly selected the second and third place finishers in exact order; but if there are no such wager, then

5. As a single price pool to those whose combination correctly selected the second place betting interest; but if there are no such wagers, then

6. As a single price pool to those whose combination correctly selected the third and fourth place betting interest; but if there are no such wagers, then

7. As a single price pool to those whose combination correctly selected the third place betting interest; but if there are no such wagers, then

8. As a single price pool to those whose combination correctly selected the fourth place betting interest; but if there are no such wagers, then

9. As a single price pool to those whose combination correctly selected the first three finishers in the first supertrifecta contest, but if there are no such wagers, then

10. As a single price pool to those whose combination correctly selected the first and second place finishers in the first supertrifecta contest; but if there are no such wagers, then

11. As a single price pool to those whose combination correctly selected the first place finisher in the first supertrifecta contest; but if there are no such wagers, then

12. As a single price pool to holders of valid supertrifecta wagers.

Part 311 Superfecta

11 Ill. Adm. Code 311.10 Superfecta

The Superfecta requires selection of the first four finishers, in their exact order, for a single contest.

11 Ill. Adm. Code 311.20 Pool Distribution

The organization licensee may choose to distribute pools in accordance with subsection (a), (b) or (c). The organization licensee must give the Board 30 days notice if it chooses to distribute pools under subsection (b) or subsection (c), including the exact percentages it will use to determine minor and major pools. The racing program shall indicate when the method described in subsection (b) or subsection (c) is being used for a meet.

a) The net Superfecta pool shall be distributed to winning wagers in the following precedence, based upon the official order of finish:

1. As a single price pool to those whose combination finished in correct sequence as the first four betting interests; but, if there are no such wagers, then

2. As a single price pool to those whose combination included, in correct sequence, the first three betting interests; but, if there are no such wagers, then

3. As a single price pool to those whose combination included, in correct sequence, the first two betting interests; but, if there are no such wagers, then

4. As a single price pool to those whose combination correctly selected the first place betting interest only; but, if there are no such wagers, then

5. The entire pool shall be refunded on Superfecta wagers for that contest.

b) Distribution of Winnings

1. The net Superfecta pool shall be distributed to winning wagers in the following precedence, based on the official order of finish:

A) As a single price pool to those whose combination finished in correct sequence as the first four betting interests; but, if there are no such wagers, then

B) The net pool will be divided into two separate pools. The major pool of the net pool shall be paid as a carryover pool into the next regularly scheduled Superfecta race. The remaining minor pool shall be paid as a Superfecta consolation pool, which will be equally divided among those ticket holders who correctly select the first three betting interests; but, if there are no such wagers, then

C) The Superfecta consolation pool will be divided among those ticket holders who correctly select the first two interests; but, if there are no such wagers, then

D) The Superfecta consolation pool will be divided among those ticket holders who correctly select the first betting interest; but, if there are no such wagers, then

E) The entire net pool shall become a carryover pool into the next regularly scheduled Superfecta race.

2. On the last Superfecta race on the final day of the meeting, the net pool shall be redistributed using the method described in subsection (a).

c) Distribution of Winnings

1. The net superfecta pool shall be distributed to winning wagers in the following precedence, based on the official order of finish:

A) As a single price pool to those whose combination finished in correct sequence as the first four betting interests; but, if there are no such wagers, then

B) The entire pool shall be paid as a carryover pool into the next regularly scheduled superfecta race.

2. On the last superfecta race on the final day of the meeting, the net pool shall be redistributed using the method described in subsection (a).

d) If fewer than four betting interests finish and the contest is declared official, payoffs will be made based upon the order of finish of those betting interests completing the contest. The balance of any selection beyond the number of betting interests completing the contest shall be ignored.

History

• Source: Amended at 32 Ill. Reg. 13525, effective August 1, 2008

11 Ill. Adm. Code 311.25 Scratches

In the event any contestant that is not part of an entry or field is scratched, all wagers, including the scratched betting interest, shall be refunded.

History

• Source: Added at 19 Ill. Reg. 6663, effective May 1, 1995

11 Ill. Adm. Code 311.30 Dead Heats

a) If there is a dead heat for first involving:

1. contestants representing four or more betting interests, all of the wagering combinations selecting four betting interests which correspond with any of the betting interests involved in the dead heat shall share in a profit split.

2. contestants representing three betting interests, all of the wagering combinations selecting the three dead heated betting interests, irrespective of order, along with the fourth place betting interest shall share in a profit split.

3. contestants representing two betting interests, both of the wagering combinations selecting the two dead heated betting interests, irrespective of order, along with the third place and fourth place betting interests shall share in a profit split.

b) If there is a dead heat for second involving:

1. contestants representing four or more betting interests, all of the wagering combinations correctly selecting shall share in a profit split.

2. contestants representing two betting interests, all of the wagering combinations correctly selecting the two dead heated betting interests, irrespective of order, and the fourth place betting interests shall share in a profit split.

3. contestants representing two betting interests, both of the wagering combinations selecting the two dead heated betting interests, irrespective of order, along with the third place and fourth place betting interests shall share in a profit split.

c) If there is a dead heat for third, all wagering combinations correctly selecting the first two finishers, in correct sequence, along with any two of the betting interests involved in the dead heat for third shall share in a profit split.

d) If there is a dead heat for fourth, all wagering combinations correctly selecting the first three finishers, in correct sequence, along with any of the betting interests involved in the dead heat for fourth shall share in a profit split.

11 Ill. Adm. Code 311.35 Minimum Fields

Superfecta wagering shall not be scheduled on a thoroughbred or standardbred race unless at least six betting interests are carded. In the event of a scratch, superfecta wagering on a thoroughbred or standardbred race in which five betting interests remain is permissible.

History

• Source: Amended at 39 Ill. Reg. 13714, effective October 5, 2015

11 Ill. Adm. Code 311.40 Entries (repealed)

History

• Source: Repealed at 34 Ill. Reg. 11440, effective July 22, 2010

Part 312 Place Pick N Pools

11 Ill. Adm. Code 312.10 Place Pick N

The Place Pick N requires selection of the first- or second-place finisher in each of a designated number of contests. The organization licensee shall designate the number of contests for the Place Pick N and the method for pool calculation prior to the start of its meet. The organization licensee shall submit, in writing, its intent to offer the Place Pick N wager to the State Director of Mutuels no later than 30 days prior to the start of its meet.

11 Ill. Adm. Code 312.20 Pool Calculations

The organization licensee may select one of the following methods for conducting its Place Pick N pool. As used in this Part, "Major Pool" is defined as seventy-five percent (75%) of the daily net pool; and "Minor Pool" is defined as twenty-five percent (25%) of the daily net pool. Any deviation from the Major/Minor pool percentage division must be approved by the State Director of Mutuels.

a) Method 1, Place Pick N with Carryover: The net Place Pick N pool and carryover, if any, shall be distributed as a single price pool to those who selected the first- or second-place finisher in each of the Place Pick N contests, based upon the official order of finish. If there are no such wagers, then a designated percentage of the net pool shall be distributed as a single price pool to those who selected the first- or second-place finisher in the greatest number of Place Pick N contests; and the remainder shall be added to the carryover.

b) Method 2, Place Pick N with Minor Pool and Carryover: The major share of the net Place Pick N pool and the carryover, if any, shall be distributed to those who selected the first- or second-place finisher in each of the Place Pick N contests, based upon the official order of finish. The minor share of the net Place Pick N pool shall be distributed to those who selected the first- or second-place finisher in the second greatest number of Place Pick N contests, based upon the official order of finish. If there are no wagers selecting the first- or second-place finisher of all Place Pick N contests, the minor share of the net Place Pick N pool shall be distributed as a single price pool to those who selected the first- or second-place finisher in the greatest number of Place Pick N contests; and the major share shall be added to the carryover.

c) Method 3, Place Pick N with No Minor Pool and No Carryover: The net Place Pick N pool shall be distributed as a single price pool to those who selected the first- or second-place finisher in the greatest number of Place Pick N contests, based upon the official order of finish. If there are no winning wagers, the pool is refunded.

d) Method 4, Place Pick N with Minor Pool and No Carryover: The major share of the net Place Pick N pool shall be distributed to those who selected the first- or second-place finisher in the greatest number of Place Pick N contests, based upon the official order of finish. The minor share of the net Place Pick N pool shall be distributed to those who selected the first- or second-place finisher in the second greatest number of Place Pick N contests, based upon the official order of finish. If there are no wagers selecting the first- or second-place finisher in a second greatest number of Place Pick N contests, the minor share of the net Place Pick N pool shall be combined with the major share for distribution as a single price pool to those who selected the first- or second-place finisher in the greatest number of Place Pick N contests. If the greatest number of first- or second-place finishers selected is one (1), the major and minor shares are combined for distribution as a single price pool. If there are no winning wagers, the pool is refunded.

e) Method 5, Place Pick N with Minor Pool and No Carryover: The major share of net Place Pick N pool shall be distributed to those who selected the first- or second-place finisher in each of the Place Pick N contests, based upon the official order of finish. The minor share of the net Place Pick N pool shall be distributed to those who selected the first- or second-place finisher in the second greatest number of Place Pick N contests, based upon the official order of finish. If there are no wagers selecting the first- or second-place finisher in all Place Pick N contests, the entire net Place Pick N pool shall be distributed as a single price pool to those who selected the first- or second-place finisher in the greatest number of Place Pick N contests. If there are no wagers selecting the first- or second-place finisher in a second greatest number of Place Pick N contests, the minor share of the net Place Pick N pool shall be combined with the major share for distribution as a single price pool to those who selected the first- or second-place finisher in each of the Place Pick N contests. If there are no winning wagers, the pool is refunded.

f) Method 6, Place Pick N with Minor Pool and Carryover: The net Place Pick N pool and carryover, if any, shall be distributed to those who selected the first- or second-place finisher in each of the Place Pick N contests, based upon the official order of finish. If there are no wagers selecting the first- or second-place finisher in all Place Pick N contests, two-thirds of the net pool (major pool) or one-half of the total gross pool, whichever is greater, shall be distributed as a single price pool to those who present a valid pari-mutuel wager for that Place Pick N pool and the remaining one-third of the net pool shall be added to the carryover. The minimum pay-off provisions contained in 11 Ill. Adm. Code 405.130 shall not apply when distributing the major pool in this pool calculation.

11 Ill. Adm. Code 312.30 Dead Heats

a) If there is a dead heat for first in any of the Place Pick N contests involving:

1. contestants representing the same betting interest, the Place Pick N pool shall be distributed as if no dead heat occurred.

2. contestants representing two or more betting interests, the Place Pick N pool shall be distributed as a single price pool with each winning wager including each betting interest participating in the dead heat.

b) If there is a dead heat for second in any of the Place Pick N contests involving:

1. contestants representing the same betting interest, the Place Pick N pool shall be distributed as if no dead heat occurred.

2. contestants representing two or more betting interests, the Place Pick N pool shall be distributed as a single price pool with each winning wager including each betting interest which finished first or any betting interest involved in the dead heat for second.

11 Ill. Adm. Code 312.40 Scratches

Should a betting interest in any of the Place Pick N contests be scratched, the actual favorite, as evidenced by total amounts wagered in the Win pool at the closing of wagering on that contest, shall be substituted for the scratched betting interest for all purposes, including pool calculations. In the event that the Win pool total for two or more favorites is identical, the substitute selection shall be the betting interest with the lowest program number. The totalizator shall produce reports showing each of the wagering combinations with substituted betting interests which became winners as a result of the substitution, in addition to the normal winning combination.

11 Ill. Adm. Code 312.50 Cancellation of Races

a) The Place Pick N Pool shall be canceled and all Place Pick N wagers for the individual performance shall be refunded if:

1. at least two contests included as part of a Pick 3 are canceled or declared "no contest".

2. at least three contests included as part of a Pick 4 or Pick 5 are canceled or declared "no contest".

3. at least four contests included as part of a Pick 6 or Pick 7 are canceled or declared "no contest".

4. at least five contests included as part of a Pick 8 or Pick 9 are canceled or declared "no contest".

5. at least six contests included as part of a Pick 10 or Pick 11 are canceled or declared "no contest".

b) If at least one contest included as part of a Place Pick N is canceled or declared "no contest", but not more than the number specified in subsection (a), the net pool shall be distributed as a single price pool to those whose selection finishes first in the greatest number of Place Pick N contests for that performance. Such distribution shall include the portion ordinarily retained for the Place Pick N carryover but not the carryover from previous performances.

11 Ill. Adm. Code 312.60 Carryover Cap

The Place Pick N carryover may be capped at a designated level approved by the State Director of Mutuels so that if, at the close of any performance, the amount in the Place Pick N carryover equals or exceeds the designated cap, the Place Pick N carryover will be frozen until it is won or distributed under Section 312.70. After the Place Pick N carryover is frozen, 100 percent of the net pool, part of which ordinarily would be added to the Place Pick N carryover, shall be distributed to those whose selection finished first in the greatest number of Place Pick N contests for that performance.

11 Ill. Adm. Code 312.70 Mandatory Distribution

a) A written request for permission to distribute the Place Pick N carryover on a specific performance may be submitted to the State Director of Mutuels. The request must contain justification for the distribution, an explanation of the benefit to be derived, and the intended date and performance for the distribution.

b) Should the Place Pick N carryover be designated for distribution on a specified date and performance in which there are no wagers selecting the first-place finisher in each of the Place Pick N contests, the entire pool shall be distributed as a single price pool to those whose selection finished first in the greatest number of Place Pick N contests. The Place Pick N carryover shall be designated for distribution on a specified date and performance only under the following circumstances:

1. Upon written approval from the State Director of Mutuels as provided for in subsection (a).

2. Upon written approval from the State Director of Mutuels when there is a change in the carryover cap, a change from one type of Place Pick N wagering to another, or when the Place Pick N is discontinued.

3. On the closing performance of the meet, split meet or successive or intervening race meeting at the same race track.

c) If, for any reason, the Place Pick N carryover must be held over to the corresponding Place Pick N of a subsequent meet, the carryover shall be deposited in an interest-bearing account approved by the State Director of Mutuels. The Place Pick N carryover plus accrued interest shall then be added to the net Place Pick N pool of the following meet on a date and performance designated by the State Director of Mutuels.

d) With written approval of the Board, the organization licensee may contribute to the Place Pick N carryover a sum of money up to any designated cap.

11 Ill. Adm. Code 312.80 Disclosure

The organization licensee may display potential distribution to ticket holders depending on the outcome of the appropriate Place Pick N contest.

11 Ill. Adm. Code 312.90 Place Pick Three Pools

a) The Place Pick Three requires selection of the first- or second-place finisher in each of three specified contests.

b) The net Place Pick Three pool shall be distributed to winning wagers in the following precedence, based upon the official order of finish:

1. As a single price pool to those whose selection finished first or second in each of the three contests; but if there are no such wagers, then

2. As a single price pool to those who selected the first- or second-place finisher in any two of the three contests; but if there are no such wagers, then

3. As a single price pool to those who selected the first- or second-place finisher in any one of the three contests; but if there are no such wagers, then

4. The entire pool shall be refunded on Place Pick Three wagers for those contests.

c) If there is a dead heat for first in any of the three contests involving:

1. contestants representing the same betting interest, the Place Pick Three pool shall be distributed as if no dead heat occurred.

2. contestants representing two or more betting interests, the Place Pick Three pool shall be distributed as a single price pool with each winning wager including each betting interest participating in the dead heat.

d) If there is a dead heat for second in any of the three contests involving:

1. contestants representing the same betting interest, the Place Pick Three pool shall be distributed as if no dead heat occurred.

2. contestants representing two or more betting interests, the Place Pick Three pool shall be distributed as a single price pool with each winning wager including the betting interest which finished first or any betting interest involved in the dead heat for second.

e) Should a betting interest in any of the Place Pick Three contests be scratched, the actual favorite, as evidenced by total amounts wagered in the Win pool at the close of wagering on that contest, shall be substituted for the scratched betting interest for all purposes, including pool calculations. In the event that the Win pool total for two or more favorites is identical, the substitute selection shall be the betting interest with the lowest program number. The totalizator shall produce reports showing each of the wagering combinations with substituted betting interests which became winners as a result of the substitution, in addition to the normal winning combination.

f) If two or three Place Pick Three contests are canceled or declared "no contest", the entire pool shall be refunded on Place Pick Three wagers for those contests.

g) If one of the Place Pick Three contests is canceled or declared "no contest", the Place Pick Three pool will remain valid and shall be distributed in accordance with subsection (b)(2).

Part 314 Ppt

11 Ill. Adm. Code 314.10 General

a) The PPT (perfecta, perfecta, trifecta) requires the selection of the first two finishers in each of two designated contests and the first three finishers of a third designated contest, in exact order.

b) PPT wagers shall be calculated in an entirely separate pool.

c) An organization licensee offering the PPT wager may rename the wager so long as the name adopted by the organization licensee remains the same throughout the race meet.

d) Entries and fields shall be allowed in the two designated perfecta contests without restriction. Entries and fields shall be allowed in the designated trifecta contest only in accordance with Section 306.20.

e) The minimum field requirements set forth in Section 306.30 for trifectas shall apply to the designated trifecta contest of the PPT.

f) In the event the organization licensee prohibits perfecta wagering pursuant to 11 Ill. Adm. Code 300.80(c), all PPT wagers shall be refunded.

g) Each PPT contest shall be clearly designated in the official program.

h) An organization licensee may offer only one PPT wager per program.

History

• Source: Amended at 22 Ill. Reg. 2221, effective January 1, 1998

11 Ill. Adm. Code 314.20 Pool Distribution

The organization licensee shall choose one of the following pool distributions:

a) Method 1, PPT with carryover: The net PPT pool and carryover, if any, shall be distributed to those who selected the exact winning PPT combinations.

b) Method 2, PPT with carryover and refund: The net PPT pool and carryover, if any, shall be distributed to those who selected the exact winning PPT combinations. If there are no such wagers selecting the exact winning PPT combinations, 50% of each PPT wager which represents 50% of the daily gross pool shall be refunded to those holding valid PPT wagers and the remaining 50%, excluding takeout, shall be added to the carryover pool.

11 Ill. Adm. Code 314.30 Scratches

a) In the event any contestant that is not part of an entry or field is scratched prior to the first designated PPT contest being declared official, all wagers including the scratched betting interests shall be refunded.

b) In the event any contestant that is part of an entry or field is scratched prior to the first designated PPT contest being declared official, the remaining contestants in that entry or field shall remain valid betting interests and no refunds shall be granted.

c) In the event any contestant is scratched after the first designated PPT contest has been declared official, those holding wagers which contain scratched betting interests with exact winning combinations in two of the three PPT contests shall receive a refund.

1. In the event the organization licensee elects method 1 of the pool distribution (Section 314.20(a)), those whose wagering combination contains a scratched betting interest without any winning combinations in two of the three PPT contests shall not receive a refund.

2. In the event the organization licensee elects method 2 of the pool distribution (Section 314.20(b)), those whose wagering combination contains a scratched betting interest without any winning combinations in two of the three PPT contests shall receive a 50% refund only in the event no wager correctly selects the exact winning combination for the entire PPT wager.

d) In the event of a mandatory distribution, those wagers containing a scratched betting interest with exact winning combinations in two of the three PPT contests shall not be subject to a refund, in the event no wager correctly selects the exact winning combination for the entire PPT wager.

e) In the event scratches reduce the number of betting interests below the minimum field requirement for the trifecta contest of the PPT, the daily net PPT pool shall be distributed as a single price pool to those whose combination contains the winning combinations for the two perfecta contests. If there are no wagers which correctly select the winning combination for both perfecta contests, the daily net pool shall be refunded and the carryover pool, if any, shall be carried to the next racing program.

History

• Source: Amended at 22 Ill. Reg. 2221, effective January 1, 1998

11 Ill. Adm. Code 314.40 Dead Heats

In the event of a dead heat in any of the designated PPT contests, all wagers containing the dead heated horses shall be considered winners. In the event the PPT net and carryover pools are subsequently distributed, those holding wagers containing the winning combinations shall share in a single price pool.

11 Ill. Adm. Code 314.50 Races Cancelled

a) In the event one of the PPT contests is cancelled, the daily net pool shall be distributed to holders of PPT wagers which correctly select the exact winning combinations for the remaining two PPT contests, as a single price pool. The carryover, if any, shall be carried forward to the next racing program.

b) In the event two or more of the PPT contests are cancelled, all valid PPT wagers shall be refunded and the carryover, if any, shall be carried forward to the next racing program.

History

• Source: Amended at 22 Ill. Reg. 2221, effective January 1, 1998

11 Ill. Adm. Code 314.60 Mandatory Distribution

a) A written request for permission to distribute the PPT carryover pool on specific performances may be submitted to the State Director of Mutuels. The request shall contain justification of the distribution, an explanation of the benefit to be derived, and the intended date and performance for the distribution.

b) The PPT carryover shall be designated for distribution on a specified date and performance only under the following circumstances:

1. Upon written approval from the State Director of Mutuels as provided for in subsection (a).

2. Upon written approval from the State Director of Mutuels when there is a change in the carryover cap or when the PPT is discontinued.

3. On the closing performance of the meet, split meet or successive or intervening race meeting at the same race track of the same horse breed.

c) In the event the PPT carryover pool is designated for distribution on a specific date and performance in which there are no wagers selecting the exact winning PPT combination, the entire pool shall be distributed based on the official order of finish:

1. As a single price pool to those whose combination correctly selected the winning betting interests, in exact order, of the first two PPT contests and the first two finishers, in exact order, of the third PPT contest; but if there are no such wagers, then

2. As a single price pool to those whose combination correctly selected the winning betting interests, in exact order, of the first two PPT contests and the first place finisher of the third PPT contest; but if there are no such wagers, then

3. As a single price pool to those whose combination correctly selected the winning betting interests, in exact order, of the first two PPT contests; but if there are no such wagers, then

4. As a single price pool to those whose combination correctly selected the winning betting interests, in exact order, of the first PPT contest and the first place finisher of the second PPT contest; but if there are no such wagers, then

5. As a single price pool to those whose combination correctly selected the winning betting interests, in exact order, of the first PPT contest; but if there are no such wagers, then

6. As a single price pool to those whose combination correctly selected the first place finisher in the first PPT contest; but if there are no such wagers, then

7. As a single price pool to holders of valid PPT wagers.

d) If, for any reason, the PPT carryover must be held over to the corresponding PPT of a subsequent meet, the carryover shall be deposited in an interest-bearing account approved by the State Director of Mutuels. The PPT carryover, plus accrued interest, shall then be added to the net PPT pool of the following meet or second portion of a split meet on a date and performance designated by the State Director of Mutuels.

Part 315 Match Rival

11 Ill. Adm. Code 315.10 General

a) The match rival wager requires the selection of the winning contestant in a competition between two or more equally matched betting interests or based on the sportsmanship and/or skill of the jockeys/drivers and/or trainers in a designated contest or series of contests regardless of the official placing of the other betting interests in that contest or series of contests. The match rival wager shall be calculated in an entirely separate pool.

b) Match rival wagers shall not be sold in denominations of less than $2.

c) The match rival rules shall be prominently displayed in the official program each day the match rival wager is offered.

d) The organization licensee may re-name this wager, but shall notify the State Director of Mutuels of the name that will be used.

e) The Racing Secretary, with the advice and consent of the stewards, shall determine the contestants for each match rival contest. The matching of contestants for the match rival shall be limited to horse versus horse, jockey versus jockey, driver versus driver and/or trainer versus trainer.

f) The contestants chosen for the match rival wager shall be conspicuously identified in the official program.

g) The organization licensee shall deduct the appropriate take-out and taxes as established in the Illinois Horse Racing Act of 1975. Match rival wagers consisting of a single contest shall be considered a single wager. Match rival wagers consisting of two contests shall be considered a feature wager. Match rival wagers consisting of three or more contests shall be considered a multiple wager.

h) The organization licensee may select one of the following methods for conducting its match rival pool. The method selected, as well as the payouts used and points assigned, shall be conspicuously identified in the official program.

1. Method 1, a single contest determined by the first to arrive at the finish line;

2. Method 2, a series of contests determined by the first to arrive at the finish line;

3. Method 3, a series of contests determined by the total accumulated points based on the finish order of the contests; or

4. Method 4, a series of contests determined by the total accumulated points based on the on-track pari-mutuel payoff of the contests. Either the win, win and place, or win, place and show payouts may be used.

History

• Source: Amended at 30 Ill. Reg. 14574, effective September 1, 2006

11 Ill. Adm. Code 315.20 Pool Distribution

The net match rival pool shall be distributed to winning wagers based upon the official order of finish as a single price pool to those whose selection arrives at the finish line first in a single contest or contains the most winners or has accumulated the highest point total in a series of contests.

a) In the event all contestants in this wager fail to finish in a single event contest or the contest is cancelled or declared no contest, the entire match rival pool shall be refunded.

b) In a series of contests of a match rival wager, more than half of the contests must be completed or the entire wager shall be cancelled and the entire match rival pool refunded.

c) In the event there is a dead heat in a single event contest in which there are only two contestants, the entire pool shall be refunded for that wager. In the event there is a dead heat in a single event in which there are three or more contestants, or in one or more races in a series of contests, all contestants involved in the dead heat shall be considered winners.

History

• Source: Amended at 30 Ill. Reg. 14574, effective September 1, 2006

11 Ill. Adm. Code 315.30 Scratches

a) In a single event contest, if any betting contestant is scratched or declared a non-starter by the Stewards, all wagers including the scratched contestant shall be refunded. If less than two valid betting interests remain, the contest shall be cancelled and all wagers refunded.

b) In a series of contests where the method of selecting the first to arrive at the finish line is used, or where the method of total accumulated points based on the finish order of the contests is used, in the event any contestant is scratched or declared a non-starter by the Stewards, then that particular contest in the series shall be cancelled. If fewer than two valid betting interests remain, the contest shall be cancelled and all wagers refunded.

c) In a series of contests where the method of the total accumulated points based on the on-track pari-mutuel payout is used, in the event any contestant is scratched or declared a non-starter by the Stewards that results in the contestants being a valid betting interest in zero contests, all wagers including the scratched contestant shall be refunded. If fewer than two valid betting interests remain, the contest shall be cancelled and all wagers refunded.

d) In a series of contests where the method of the total accumulated points is used based on the pari-mutuel payout and the contestant is a jockey or driver, if there is a jockey or driver change in any contest and that horse wins the contest (in the context of this Section), then that particular contest in the series shall be cancelled.

History

• Source: Added at 30 Ill. Reg. 14574, effective September 1, 2006

Part 318 Future Wager Pool

11 Ill. Adm. Code 318.10 Definition

The Future Wager requires selection of the appropriate winning combination, depending on the type of pool of the Future Wager.

11 Ill. Adm. Code 318.20 General Provisions

a) The organization licensee shall apply in writing to the State Director of Mutuels for approval to offer the Future Wager on a specified contest and shall not offer the wager until approval by the State Director of Mutuels has been granted. The application shall include the date and time for the pool to be opened and closed, a description of the system for compiling the pool and calculating odds and payout prices, and the time interval for displaying the odds.

b) The organization licensee, or, in the case of interjurisdiction common pool wagering, the host track, shall name the contestants included in each betting interest on which Future Wagers may be made and shall assign a program number to each betting interest.

11 Ill. Adm. Code 318.30 Pool Calculations

The appropriate pool calculation shall be used depending on the type of pool of the Future Wager.

11 Ill. Adm. Code 318.40 Dead Heats

The appropriate dead heat rules shall apply depending on the type of pool of the Future Wager.

11 Ill. Adm. Code 318.50 Refunds and Cancellations

a) No refund shall be issued for Future Wager pool wagers on betting interests that do not start or finish the race. No cancellations shall be permitted once the patron has left the window. If the organization licensee is notified that a betting interest is unable to start the race and the pool is still open, the organization licensee shall immediately suspend betting on that betting interest. Horses do not have to be nominated to the race to be included in the Future Wager.

b) The entire Future Wager pool shall be refunded if:

1. the applicable pool calculation rule regarding refunds dictates so; or

2. the specified race is declared no contest by the stewards having jurisdiction over the specified race; or

3. the specified race does not occur; or

4. for whatever reason, the Future Wager pool cannot be determined and the payout price cannot be calculated.

Part 319 Parlay

11 Ill. Adm. Code 319.10 Definition

The Parlay is a series of wagers on one particular program combining betting in win, place, or show pools (when such pools are offered in corresponding races). The wager shall combine at least 2 races (or legs) and have a maximum of 6 races. The parlay shall not combine bets in the same race. The series of wagers shall be bet on races in chronological order but not necessarily on consecutive contests. The Parlay is not a separate pari-mutuel pool.

11 Ill. Adm. Code 319.20 Pool Distribution

a) The initial bet constitutes the wager on the 1st leg. If successful, the payoff from the 1st leg is then bet on the 2nd leg. If successful again and the parlay has at least 3 legs, the payoff is then bet on the 3rd leg. This continues through a possible 6 legs.

b) Parlay amounts shall be included in appropriate pools as soon as possible so amounts of those wagers will be reflected in pools displayed to the public. Parlay wager totals shall be displayed to the lowest dollar.

11 Ill. Adm. Code 319.30 Dead Heats

In case of a dead heat for win, place, or show in a particular Parlay leg, 11 Ill. Adm. Code 301 (Win, Place and Show Pools) shall apply for those pools.

11 Ill. Adm. Code 319.40 Scratches

If any race or pool is cancelled, or a betting interest is scratched, the Parlay wager shall consist of the remaining leg or legs. The Parlay shall terminate when no legs remain in the wager.

11 Ill. Adm. Code 319.50 Cancellations

Parlay wagers may be cancelled in accordance with 11 Ill. Adm. Code 433.120 prior to "stop betting" of the 1st leg of the Parlay. After the 1st leg, a Parlay wager must be completed as required by this Part to be entitled to a payoff. After the 1st leg, the bettor will not have the option of cashing in a Parlay wager prior to completion of all legs included in the Parlay wager.

11 Ill. Adm. Code 319.60 Entries and Fields

In the event any contestant in a coupled entry or field is scratched in the Parlay wager, the remaining contestants in that coupled entry or field shall remain valid betting interests.

Part 320 Exacta Double

11 Ill. Adm. Code 320.10 General

a) The exacta double requires the selection of the first two finishers, in exact order, in each of two specified contests.

b) Exacta double wagers shall be calculated in an entirely separate pool.

c) An organization licensee offering the exacta double wager may rename the wager so long as the name adopted by the organization licensee remains the same throughout the race meet.

d) Entries and fields shall be allowed in the exacta double without restriction.

e) Exacta double wagers shall be considered a feature wager.

11 Ill. Adm. Code 320.20 Pool Distribution

The organization licensee may choose to distribute pools in accordance with either subsection (a) or (b). The organization licensee must notify the Board, 30 days prior to the beginning of its race meet, of which method it will use to distribute pools under this Section.

a) The net exacta double pool shall be distributed to winning wagers in the following precedence, based upon the official order of finish.

1. As a single price pool to those who selected, in exact order, the first two finishers in each of the two exacta double contests; but, if there are no such wagers, then

2. As a profit split pool to those who selected, in exact order, the first two finishers in either of the two exacta double contests; but, if there are no such wagers on one of those contests, then

3. As a single price pool to those who selected, in exact order, the first two finishers in the one covered exacta double contest; but, if there are no such wagers, then

4. The entire pool shall be refunded on exacta double wagers for those contests.

b) The net exacta double pool shall be distributed to winning wagers in the following precedence, based upon the official order of finish:

1. As a single price pool to those who selected, in exact order, the first two finishers in each of the two exacta double contests; but, if there are no such wagers, then

2. The entire net pool shall be paid as a carryover pool into the next regularly scheduled exacta double race.

History

• Source: Amended at 32 Ill. Reg. 13530, effective August 1, 2008

11 Ill. Adm. Code 320.30 Dead Heats

a) If there is a dead heat for first in either of the two contests involving:

1. Contestants representing the same betting interest, the exacta double pool shall be distributed as a single price pool to those selecting the coupled entry or mutuel field combined with the next separate betting interest in the official order of finish for that contest.

2. Contestants representing two or more separate betting interests, the exacta double pool shall be distributed as a profit split.

b) If there is a dead heat for second in either of the two contests involving:

1. Contestants representing the same betting interest, the exacta double pool shall be distributed as if no dead heat occurred.

2. Contestants representing two or more betting interests, the exacta double pool shall be distributed as a profit split.

11 Ill. Adm. Code 320.40 Scratches

a) Should a betting interest in the first half of the exacta double contest be scratched prior to the first exacta double contest being declared official, all money wagered on combinations including the scratched betting interest shall be deducted from the exacta double pool and refunded.

b) Should a betting interest in the second half of the exacta double contest be scratched prior to the close of wagering on the first exacta double contest, all money wagered on combinations including the scratched betting interest shall be deducted from the exacta double pool and refunded.

c) Should a betting interest in the second exacta double contest be scratched after the close of wagering on the first exacta double contest, all wagers combining the winning combination in the first exacta double contest with a combination including the scratched betting interest in the second exacta double contest shall be allocated a consolation payoff. In calculating the consolation payoff, the net exacta double pool shall be divided by the total amount wagered on the winning combination in the first exacta double contest and an unbroken consolation price obtained. The unbroken consolation price is multiplied by the dollar value of wagers on the winning combination in the first exacta double contest combined with a combination including then scratched betting interest in the second exacta double contest to obtain the consolation payout. Breakage is not declared in this calculation. The consolation payout is deducted from the net exacta double pool before calculation and distribution of the winning exacta double payout. In the event of a dead heat, the net exacta double pool shall be distributed as a profit.

Chapter I Illinois Racing Board

Subchapter a General Rules

Part 320 Exacta Double

11 Ill. Adm. Code 320.50 Races Cancelled

a) If either of the exacta double contests is cancelled prior to the first exacta double contest, or the first exacta double contest is declared "no contest", the entire exacta double pool shall be refunded on exacta double wagers for those contests.

b) If the second exacta double contest is cancelled or declared "no contest" after the conclusion of the first exacta double contest, the net exacta double pool shall be distributed as a single price pool to wagers selecting, in exact order, the first two finishers in the first exacta double contest. If there are no wagers selecting the winning combination in the first exacta double contest, the entire exacta double pool shall be refunded on exacta double wagers for those contests.

Part 321 Account Wagering

11 Ill. Adm. Code 321.10 General

a) A licensee may offer a system of account wagering to its patrons whereby wagers are debited and payouts are credited to a sum, deposited in an account by the patron, and held by the licensee. The licensee shall request authorization from the State Director of Mutuels before a system of account wagering is offered.

b) The licensee shall notify the patron, at the time of opening the account, of any rules the licensee has made concerning deposits, withdrawals, cancellations, average daily balance, user fees, interest payments, provisions for closing accounts and any other aspect of the operation of the account. The licensee shall notify the State Director of Mutuels and the patron whenever rules governing the account are changed, such notification occurring before the new rules are applied to the account and including the opportunity for the patron to close or cash in the account.

History

• Source: Amended at 32 Ill. Reg. 10147, effective July 1, 2008

11 Ill. Adm. Code 321.20 Account Opening

a) The licensee may offer to open for its patrons:

1. daily, anonymous accounts, where balances are purged at the end of the day and any remaining balance is available as a voucher;

2. permanent, named accounts that remain open at the end of the day, and that require the patron to provide all pertinent data;

3. permanent, anonymous accounts (i.e., the new type of Cash Card account) that remain open at the end of the day, and for which no customer data is known; and

4. voucher accounts, where the patron cashes a winning ticket and has the winnings placed on a voucher in lieu of cash. A voucher is the same as cash but payouts are not automatically credited to a sum.

b) The patron may choose to credit winning payouts in cash and may choose to close or cash-in the account at any time.

History

• Source: Amended at 32 Ill. Reg. 10147, effective July 1, 2008

11 Ill. Adm. Code 321.30 Refusals

The licensee may reserve the right at any time to refuse to open an account, to accept a wager, or to accept a deposit.

11 Ill. Adm. Code 321.40 Patron Information

Each named account holder shall provide such personal information as the licensee and the State Director of Mutuels require, including an address to which communications are to be delivered. The licensee shall provide, for each account holder, a confidential account number and password to be used by the patron to confirm validity of every account transaction.

History

• Source: Amended at 32 Ill. Reg. 10147, effective July 1, 2008

11 Ill. Adm. Code 321.50 Deposits

Deposits may be made in cash or by check. The check may first need banker's clearance. Holding periods shall be determined by the licensee and advised to the account holder. A receipt for the deposit shall be issued to the account holder, but does not need to reflect the current account balance.

11 Ill. Adm. Code 321.60 Sufficient Account Balance

Each account holder shall be deemed to be aware of the status of that account at all times. Wagers shall not be accepted which would exceed the available balance of that account. Any account not updated when a transaction is completed shall be inoperable until the transaction is posted and the account balance updated.

11 Ill. Adm. Code 321.70 Account Credits

When an account holder is entitled to a payout or refund, the monies shall be credited to that account, thus increasing the credit balance. It is the responsibility of the account holder to verify proper credits and, if in doubt, notify the licensee. Unresolved disputes shall be forwarded to the State Director of Mutuels by the licensee or account holder.

11 Ill. Adm. Code 321.80 Account Operation

a) The licensee shall maintain complete records of every deposit, withdrawal, wager, cancellation and winning payout for each account. Voucher accounts shall be recorded in a manner similar to a ticket. These records shall be made available to the Board upon request. The Board shall request the records when there is probable cause for such a request. Examples of instances when probable cause exists include, but are not limited to, allegations of race-fixing or wagering schemes.

b) Any account wagering system shall provide for the account holder's review and finalization of a wager before it is accepted by the licensee.

c) Cancellation of wagers shall be permitted at unmanned wagering terminals. Any cancellation of wager shall conform to the provisions of 11 Ill. Adm. Code 433.120. Licensees shall review wagering accounts daily to monitor for compliance. Violations shall be reported to the State Director of Mutuels within 48 hours after the occurrence.

History

• Source: Amended at 32 Ill. Reg. 10147, effective July 1, 2008

11 Ill. Adm. Code 321.90 Account Closure

The licensee may close any account when the holder thereof attempts to operate with an insufficient balance or when the account is dormant for a period pursuant to the Consumer Fraud and Deceptive Business Practices Act [815 ILCS 505/2SS], that is 5 years after the date of issuance. In either case, the licensee shall refund the remaining balance of the account whenever possible.

History

• Source: Amended at 32 Ill. Reg. 10147, effective July 1, 2008

Part 322 Simulcast Requirements

11 Ill. Adm. Code 322.10 General

a) All executed contracts governing participation in any intrastate and/or interstate simulcasting programs shall be submitted to the Board within 48 hours of the first simulcast.

b) Each Illinois host track and non-host track conducting a supplemental simulcast shall notify the State Director of Mutuels and the on-site State pari-mutuel auditor, in writing, of its designated simulcast program. Notification shall be made at least 48 hours prior to any wagers being accepted on such simulcast program. Notification shall include:

1. each racetrack providing a race or races for the simulcast program.

2. the number of races provided by each racetrack.

3. the official scheduled post time of each race in Central Time Zone (CST or CDT).

4. the method of conducting a pari-mutuel system of wagering on each race (i.e., interstate common pool, separate Illinois pool, net pool pricing).

11 Ill. Adm. Code 322.20 Duties of the Organization Licensee

a) Every organization licensee simulcasting its performance, if requested, may contract with an authorized receiver for the purpose of providing authorized users its simulcast.

b) An organization licensee is responsible for content of the simulcast and shall use all reasonable effort to present a simulcast which offers the viewers an exemplary depiction of each performance.

c) Each simulcast shall contain in its video content a digital display of actual time of day, the name of the host facility from where it emanates, the number of the contest being displayed, and any other relevant information available to patrons at the host facility.

d) The host association shall maintain such security controls, including encryption over its uplink and communications systems, as directed or approved by the Board.

11 Ill. Adm. Code 322.30 Duties of the Wagering Licensee

a) A wagering licensee shall provide:

1. adequate transmitting and receiving equipment of acceptable broadcast quality, which shall not interfere with the closed circuit TV system of the host association for providing any host facility patron information.

2. pari-mutuel terminals, pari-mutuel odds displays, modems and switching units enabling pari-mutuel data transmissions, and data communications between the host and guest sites.

3. a voice communication system between guest site and the Illinois host site providing timely voice contact among the Board designees, stewards and pari-mutuel departments.

b) The host track and all licensees shall conduct pari-mutuel wagering pursuant to applicable Board rules.

c) Not less than 30 minutes prior to the commencement of transmission of each simulcast, the guest site shall initiate a test program of its downlink, decoder and tote data communications to assure proper operation of the system.

Part 324 Pentafecta

11 Ill. Adm. Code 324.10 Pentafecta

a) The Pentafecta requires selection of the first five finishers, in their exact order, for a single contest.

b) The organization licensee may re-name this wager, but shall notify the State Director of Mutuels of the name that will be used.

11 Ill. Adm. Code 324.20 Pool Distribution

The organization licensee may choose to distribute pools in accordance with subsection (a), (b), (c) or (d). The organization licensee must give the Board 30 days notice if it chooses to distribute pools under subsection (b), subsection (c) or subsection (d), including the exact percentages it will use to determine the minor and major pools if subsection (b) is used. The racing program shall indicate when the method described in subsection (b), subsection (c) or subsection (d) is being used for a meet.

a) Distribution of Winnings − Option 1

The net Pentafecta pool shall be distributed to winning wagers in the following precedence, based upon the official order of finish:

1. As a single price pool to those whose combination finished in correct sequence as the first five betting interests, but if there are no such wagers, then

2. As a single price pool to those whose combination included, in correct sequence, the first four betting interests, but if there are no such wagers, then

3. As a single price pool to those whose combination included, in correct sequence, the first three betting interests, but if there are no such wagers, then

4. As a single price pool to those whose combination included, in correct sequence, the first two betting interests, but if there are no such wagers, then

5. As a single price pool to those whose combination correctly selected the first place betting interest only, but if there are no such wagers, then

6. The entire pool shall be refunded on Pentafecta wagers for that contest.

b) Distribution of Winnings − Option 2

1. The net Pentafecta pool shall be distributed to winning wagers in the following precedence, based on the official order of finish:

A) As a single price pool to those whose combination finished in correct sequence as the first five betting interests, but if there are no such wagers, then

B) The net pool will be divided into two separate pools. The major pool of the net pool shall be paid as a carryover pool into the next regularly scheduled Pentafecta race. The remaining minor pool shall be paid as a Pentafecta consolation pool, which will be equally divided among those ticket holders who correctly select the first four betting interests, but if there are no such wagers, then

C) The Pentafecta consolation pool will be divided among those ticket holders who correctly select the first three interests, but if there are no such wagers, then

D) The Pentafecta consolation pool will be divided among those ticket holders who correctly select the first two interests, but if there are no such wagers, then

E) The Pentafecta consolation pool will be divided among those ticket holders who correctly select the first betting interest, but if there are no such wagers, then

F) The entire net pool shall become a carryover pool into the next regularly scheduled Pentafecta race.

2. On the last Pentafecta race on the final day of the meeting, the net pool shall be redistributed using the method described in subsection (a).

c) Distribution of Winnings − Option 3

1. The net Pentafecta pool shall be distributed to winning wagers in the following precedence, based on the official order of finish:

A) As a single price pool to those whose combination finished in correct sequence as the first five betting interests, but if there are no such wagers, then

B) The entire net pool shall be paid as a carryover pool into the next regularly scheduled Pentafecta race.

2. On the last Pentafecta race on the final day of the meeting, the net pool shall be redistributed using the method described in subsection (a).

d) Distribution of Winnings – Option 4

1. The net Pentafecta pool shall be distributed to winning wagers in the following precedence, based on the official order of finish:

A) As a single price pool to the holder of a unique winning ticket whose combination finished in correct sequence as the first five betting interests, but if there is no such unique winning ticket, then

B) The net pool will be divided into two separate pools. The major pool of the net pool shall be paid as a carryover pool into the next regularly scheduled Pentafecta race. The remaining minor pool shall be paid as a Pentafecta consolation pool, which will be equally divided among those ticket holders who correctly select the first five interests, but if there are no such wagers, then

C) The entire net pool shall become a carryover pool into the next regularly scheduled Pentafecta race.

2. Unique winning ticket, as used in subsection (d)(1), shall be defined as having occurred when there is one and only one winning ticket whose combination finished in correct sequence as the first five betting interests, to be verified by the unique serial number assigned by the tote company that issued the winning ticket. In the event that there is more than one winning ticket whose combination finished in correct sequence as the first five betting interests, the unique winning ticket shall be deemed to not have occurred.

3. On the last Pentafecta race on the final day of the meeting, the net pool shall be redistributed using the method described in subsection (a).

e) If fewer than five betting interests finish and the contest is declared official, payoffs will be made based upon the order of finish of those betting interests completing the contest. The balance of any selection beyond the number of betting interests completing the contest shall be ignored. If the pools are being distributed under either subsection (b) or subsection (c), any previous Pentafecta contest's carryover will not be included in the payoff and will be retained for the next contest's carryover, and this contest's net Pentafecta pool will be distributed using the method described in subsection (a).

History

• Source: Amended at 35 Ill. Reg. 13898, effective July 28, 2011

11 Ill. Adm. Code 324.30 Scratches

In the event any contestant that is not part of an entry or field is scratched, all wagers, including the scratched betting interest, shall be refunded.

11 Ill. Adm. Code 324.40 Dead Heats

a) If there is a dead heat for first involving:

1. contestants representing five or more betting interests, all of the wagering combinations selecting five betting interests that correspond with any of the betting interests involved in the dead heat shall share in a profit split.

2. contestants representing four betting interests, all of the wagering combinations selecting the four dead heated betting interests, irrespective of order, along with the fifth place betting interest shall share in a profit split.

3. contestants representing three betting interests, all of the wagering combinations selecting the three dead heated betting interests, irrespective of order, along with the fourth place and fifth place betting interests shall share in a profit split.

4. contestants representing two betting interests, both of the wagering combinations selecting the two dead heated betting interests, irrespective of order, along with the third place, fourth place and fifth place betting interests shall share in a profit split.

b) If there is a dead heat for second involving:

1. contestants representing four or more betting interests, all of the wagering combinations correctly selecting the four dead heated betting interests shall share in a profit split.

2. contestants representing three betting interests, all of the wagering combinations correctly selecting the three dead heated betting interests, irrespective of order, and the fifth place betting interests shall share in a profit split.

3. contestants representing two betting interests, all of the wagering combinations correctly selecting the two dead heated betting interests, irrespective of order, and the fourth place and fifth place betting interests shall share in a profit split.

c) If there is a dead heat for third involving:

1. contestants representing three or more betting interests, all of the wagering combinations correctly selecting the three dead heated betting interests shall share in a profit split.

2. contestants representing two betting interests, both of the wagering combinations selecting the two dead heated betting interests, irrespective of order, along with the fifth place betting interest shall share in a profit split.

d) If there is a dead heat for fourth, all wagering combinations correctly selecting the first three finishers, in correct sequence, along with any two of the betting interests involved in the dead heat for fourth shall share in a profit split.

e) If there is a dead heat for fifth, all wagering combinations correctly selecting the first four finishers, in correct sequence, along with any of the betting interests involved in the dead heat for fifth shall share in a profit split.

11 Ill. Adm. Code 324.50 Minimum Fields

a) Pentafecta wagering shall not be scheduled on a thoroughbred or standardbred race unless at least eight betting interests are carded. In the event of a scratch, Pentafecta wagering on a race in which seven betting interests remain is permissible.

b) This Section shall not be applicable to stakes races.

c) Upon the approval of the Stewards, this Section shall not be applicable on the closing day of a meet to ensure the payout of the carryover.

History

• Source: Amended at 39 Ill. Reg. 13718, effective October 5, 2015

11 Ill. Adm. Code 324.60 Entries (repealed)

History

• Source: Repealed at 35 Ill. Reg. 13898, effective July 28, 2011

11 Ill. Adm. Code 324.70 Mandatory Distribution

a) A written request for permission to distribute a Pentafecta pool that includes a carryover on a specific race date may be submitted to the State Director of Mutuels. The request shall contain justification for the distribution, an explanation of the benefit to be derived, and the intended date for the distribution.

b) Should the Pentafecta carryover be designated for distribution on a specified date in which there are no wagers whose combination finished in correct sequence as the first five betting interests, then the entire pool shall be distributed using the method described in Section 324.20(a).

c) The Pentafecta carryover shall be designated for distribution on a specified race date only under the following circumstances:

1. Upon written approval from the State Director of Mutuels as provided for in subsection (a); or

2. On the closing date of the meet, split meet or successive or intervening race meeting at the same race track.

d) If, for any reason, the designated Pentafecta pool distribution does not take place on the last day of the race meet, the Pentafecta carryover must be held over to the corresponding Pentafecta of a subsequent meet, and the carryover shall be deposited in an interest-bearing account approved by the State Director of Mutuels. The Pentafecta carryover plus accrued interest shall then be added to the net Pentafecta pool of the following meet on a date designated by the State Director of Mutuels.

e) With written approval of the Board, the organization licensee may contribute to the Pentafecta carryover a sum of money up to the cap designated by the Board.

History

• Source: Added at 36 Ill. Reg. 15144, effective October 1, 2012

Chapter I Illinois Racing Board

Subchapter a General Rules

Part 325 Advance Deposit Wagering (adw)

11 Ill. Adm. Code 325.10 Definitions

"Account" means an account for advance deposit wagering with a specific identifiable record of deposits, wagers and withdrawals established by an account holder and managed by the advance deposit wagering licensee.

"Account holder" means an individual who successfully completed an application and for whom the advance deposit wagering licensee has opened an account.

"Advance deposit wagering" or "ADW" means a method of pari-mutuel wagering that is permissible under the Interstate Horseracing Act (15 USC 3001 et seq.) and in which an individual may establish an account with an entity licensed by the Board, deposit money into the account, and use the account balance to pay for pari-mutuel wagers in person, by telephone or through other electronic media, including, but not limited to, the internet.

"Advance deposit wagering licensee" or "ADW licensee" means a person licensed by the Board to conduct advance deposit wagering. An advance deposit wagering licensee shall be an organization licensee or a person or third party who contracts with an organization licensee in order to conduct advance deposit wagering.

"Applicant" means an individual who has submitted an application to establish an ADW account with an ADW licensee.

"Confidential information" includes, but is not limited to:

The amount of money credited to, debited from, withdrawn from, or present in any particular account holder's account;

The amount of money wagered by a particular account holder on any race or series of races;

The account number and secure personal identification code of a particular account holder;

The identities of particular entries on which the account holder is wagering or has wagered; and

Unless otherwise authorized by the account holder, the name, address and other personal information in the possession of the ADW licensee or organization licensee that would identify the account holder to anyone other than the Board or the advance deposit wagering licensee.

"Credits" means all inflow of money to an account.

"Debits" means all outflow of money from an account.

"Deposit" means a payment of money by cash, check, money order, credit card, debit card or other electronic funds transfers made by an account holder to the account holder's account.

"Individual" means any natural person at least 18 years of age, but does not include any corporation, partnership, limited liability company, trust, estate or other legal entity.

"Licensee" means an individual organization licensee, an inter-track wagering licensee, an inter-track wagering location licensee, or an advance deposit wagering licensee, as this Part requires.

"Principal residence address" means the street address identified by an applicant or a current account holder as that individual's residential address, as that address may be verified by the advance deposit wagering licensee.

"Proper identification" means a form of identification accepted in the normal course of business to establish that the person making a transaction is an account holder.

"Terms of agreement" means the agreement, approved by the Board, between an advance deposit wagering licensee and an account holder that includes but is not limited to the terms and conditions for deposits, credits, debits, withdrawals and the opening and closing of accounts.

"Withdrawal" means a payment of money from an account by the ADW licensee to the account holder when properly requested by the account holder.

History

• Source: Amended at 35 Ill. Reg. 522, effective January 1, 2011

11 Ill. Adm. Code 325.20 License to Conduct Advance Deposit Wagering

An organization licensee or a person or third party who contracts with an organization licensee in order to conduct ADW shall be licensed by the Board prior to accepting advance deposit wagers from Illinois residents.

a) No ADW licensee or organization licensee may place or cause to be placed any wagering terminal or electronic device that facilitates the placement of an advance deposit wager anywhere other than in a licensed wagering facility as authorized in Section 26(g) of the Illinois Horse Racing Act of 1975 [230 ILCS 5/26(g)].

b) The advance deposit wagering license application shall include:

1. If a third party is utilized, a copy of the contracts, including the consent of the horsemen's association, to provide ADW services by an ADW operator licensed by the Board to an organization licensee licensed by the Board;

2. A copy of all current ADW, pari-mutuel wagering and gaming licenses, regardless of jurisdiction;

3. A list of all totalisator hub and ADW personnel processing Illinois wagers containing the name, position, job location and licensed jurisdiction for each person (if applicable);

4. A list of all officers, directors, partners and shareholders with a 5% or greater share of ownership or beneficial interest;

5. Full disclosure of all fees and other financial considerations relating to the contract with the organization licensee;

6. A detailed description of procedures to allow the Board prompt access to reports, logs, wagering transaction detail, and customer account detail, in printed form or standard electronic format approved by the Board;

7. A detailed description of systems and procedures used to validate the identity, age and legal residency of account holders and procedures validating the legality of wagers accepted;

8. A detailed description of procedures to allow the Board prompt access to all records relating to customer identification, age and residency in hard copy or standard electronic format acceptable to the Board;

9. A detailed description of procedures to allow the Board prompt access to customer account detail in hard copy or an electronic format acceptable to the Board for customers who are Illinois residents;

10. A description of the secure retention procedures of all records related to wagering and customers accounts for a period of not less than three years or a period specified by the Board;

11. A copy of account holder rules/terms governing the acceptance and management of accounts, and a copy of any amendments in the rules at least 10 days prior to the effective date of those amendments;

12. A bond from a surety company admitted in the State of Illinois or other form of financial security in the amount of $500,000; and

13. A chart illustrating the organizational structure, including reporting lines.

c) All employees working on behalf of the ADW licensee shall either be licensed by the Board or licensed by the state where the ADW center is located. In addition, key personnel (persons that have the authority to develop or administer policy or to make discretionary decisions) shall be licensed by the Board.

d) An ADW licensee shall utilize or contract with a Board approved and licensed totalisator system.

e) An ADW licensee must operate and communicate with the totalisator system in such a way as not to provide or facilitate a wagering advantage based on access to wagering information and methods of processing wagers by ADW account holders relative to persons who wager at racetracks or off track wagering facilities.

Chapter I Illinois Racing Board

Subchapter a General Rules

Part 325 Advance Deposit Wagering (adw)

11 Ill. Adm. Code 325.30 Advance Deposit Wagering Rules

a) The ADW licensee shall notify the patron, at the time of opening the account, of any rules the ADW licensee has made concerning deposits, withdrawals, average daily balance, user fees, interest payments and any other aspect of the operation of the account. The ADW licensee shall notify the patron, whenever the rules governing the account are changed, before the new rules are applied to the account and shall include the opportunity for the patron to close or cash-in the account. The patron shall be deemed to have accepted the rules of account operation upon establishing and maintaining a balance on the account.

b) The ADW licensee reserves the right at any time and for any reason to refuse to open a patron account, to accept a wager, to accept a deposit, or to close an account.

c) Each account holder shall provide such personal information as the ADW licensee and the Board require by mail, email or on-line application, including an address to which communications are to be delivered. The ADW licensee shall provide each account holder an account number, username and password to be used by the patron to confirm the validity of every account transaction. Each account holder shall be responsible for keeping his or her username and password confidential and shall be deemed to be aware of the status of that account at all times and responsible for all activity on the account. Wagers shall not be accepted that would exceed the available balance of that account. Any account not updated when a transaction is completed shall be inoperable until the transaction is posted and the account balance updated.

d) Account deposits may be made in cash, check, money order, credit card, debit card, other electronic fund transfers, or any other means if permitted by the ADW licensee. As allowable by State and federal law, deposit holding periods will be permitted by the ADW licensee. A receipt for the deposit, in hard copy or electronic format, shall be issued to the account holder, but does not need to reflect the current account balance.

e) When a customer account is entitled to a payout or refund, monies shall be credited promptly to the respective accounts. The account holder shall verify proper credits and notify the ADW licensee pursuant to the terms of the customer agreement. Unresolved disputes may be forwarded to the Board by the ADW licensee or the account holder. No claim shall be considered by the Board unless submitted in writing and accompanied by supporting evidence.

f) Account Operation

1. The ADW licensee must maintain complete records of every deposit, withdrawal, wager and winning payout. These records shall be made available to the Board upon request.

2. For account wagers made by telephone, the ADW licensee shall make a voice or data recording of the entire transaction and shall not accept any wager if the voice or data recording system is inoperable. Voice and data recordings shall be retained for not less than 6 months and shall be made available to the Board upon request. In the case of a wager made by telephone, the voice or data recording of the confirmation of the transaction shall be deemed to be the actual wager, regardless of what was recorded by the pari-mutuel system.

3. The ADW licensee shall provide for the account holder's review and verification of a wager before it is accepted by the ADW licensee. Neither the account holder nor the ADW licensee shall change a wager after the account holder has reviewed and verified the wager. All wagering cancellation policies shall be approved by the State Director of Mutuels.

g) The ADW licensee may close any account with an insufficient balance or dormancy pursuant to the terms of the customer agreement. The ADW licensee shall refund the remaining balance of the closed account to the account holder.

11 Ill. Adm. Code 325.40 Requirements to Establish an Advance Deposit Wagering Account

a) Accounts shall be established in person or by mail, telephone or electronic media before any wagering shall be conducted. An account shall only be established in the name of an individual and is non-transferable.

b) Any individual prohibited from wagering by the Board shall be prohibited from establishing an account or placing a wager.

c) The information required to establish an account shall include:

1. Account holder's full legal name.

2. Principal residence address.

3. Telephone number.

4. Social security number.

5. Identification or certification to prove the account holder is at least 18 years of age.

6. Any other information required by the ADW licensee.

d) The ADW licensee shall employ electronic verification with respect to each account holder's name, principal residence address, date of birth and social security number at the time of account establishment by a Board-approved, independent, credit reference service or other verification service as approved by the Board. If the verification process fails, using procedures approved by the Board, the ADW licensee may accept physical proof of age, identity and residency through actual documentation.

e) The ADW licensee may refuse to establish an account if it is found that any of the information supplied is false or incomplete or for any other reason the ADW deems appropriate. An ADW licensee may close accounts for violation of its terms of agreement or any other reason it deems appropriate.

f) An ADW licensee may cease wagering on any particular race or racetrack.

g) The account holder shall designate a means of personal identification verification to use to access his or her account.

h) An ADW licensee shall designate an account number for each account. The ADW licensee shall inform the account holder of the assigned account number and provide a copy of its ADW procedures, terms and conditions, as well as any information that pertains to the operation of the account.

i) The ADW licensee shall comply with Internal Revenue Service requirements for reporting and withholding proceeds from advance deposit wagers by account holders and shall send to account holders subject to IRS reporting or withholding a Form W2-G summarizing the information for tax purposes following a winning wager being deposited into an account. Upon written request, the ADW licensee shall provide account holders with summarized tax information on advance deposit wagering activities.

j) Only Illinois residents who have accounts with an ADW licensee licensed by the Board may engage in advance deposit wagering.

11 Ill. Adm. Code 325.50 Powers of the Board

a) The Board shall have unrestricted access to all records and financial information of the ADW licensee, including all account information. This information shall be made available to the Board, by the ADW licensee, upon notice from the Board to the extent that disclosure is not expressly prohibited by law. Board access to and use of information concerning wager transactions and ADW customers shall be considered proprietary and shall not be disclosed publicly, except as may be required by law. This information may be shared for multi-jurisdiction investigative purposes. An ADW licensee shall report to the Board any known or suspected rule violations by any person involving ADW and cooperate in any subsequent investigations.

b) The following reports shall be available for inspection by the Board upon request:

1. ADW handle;

2. Reports for taxation purposes;

3. Customer complaints;

4. List of active accounts;

5. List of excluded persons;

6. List of account holders;

7. Log of all system accesses; and

8. List of all deposits, withdrawals, wagers and winning payouts.

Chapter I Illinois Racing Board

Subchapter a General Rules

Part 325 Advance Deposit Wagering (adw)

11 Ill. Adm. Code 325.60 Organization Licensee Simulcast Signals and Commission Fees

a) All advance deposit wagering licensees shall televise or broadcast or display via the internet the simulcast signal of the live racing of all organization licensees and accept wagers on the live racing of all organization licensees.

b) Advance deposit wagering licensees shall not be permitted to accept out-of-state wagers on any organization licensee's live racing signal without the approval and consent of the organization licensee providing the signal.

c) The Board finds that, as a means to maximize and support the highest simulcast commission rates charged to out-of-state entities by all organization licensees and therefore maximize revenues to horsemen's purse accounts and organization licensees, and to establish commission and purse splits consistent with existing wagering facility revenue divisions, all organization licensees shall provide their live racing simulcast signal to all advance deposit wagering licensees for a simulcast commission fee not to exceed 8%.

d) An advance deposit wagering licensee's interstate commission fee shall not exceed 9% except for Grade 1 thoroughbred races and harness races with purses of $200,000 or more.

History

• Source: Amended at 35 Ill. Reg. 522, effective January 1, 2011

11 Ill. Adm. Code 325.70 Interstate Simulcast Signals

The Board finds that, as a means of maximizing revenues to the State, horsemen's purses, and organization licensees, the Board may prohibit any advance deposit wagering licensee from receiving a signal from any out-of-state racetrack if it finds that another Illinois advance deposit wagering licensee has been unreasonably denied the same interstate simulcast signal.

History

• Source: Added at 34 Ill. Reg. 10517, effective July 12, 2010

11 Ill. Adm. Code 325.80 Anti-Competitive Practices

a) No licensee shall engage in any anti-competitive practices in the process of contracting for the right to receive or send any interstate simulcast signal or wagering on such signal. For the purpose of this Part, anti-competitive practices shall include, but not be limited to:

1. any agreement to pay excessive or unreasonable fees for the right to receive an interstate signal. In determining whether a fee is excessive or unreasonable, the Board shall consider prevailing rates paid for comparable signals in the past, and whether any commonality of ownership or revenue sharing exists, partially or wholly, between the Illinois licensee and the entity receiving the fees; or

2. any agreement, combination, trust or joint enterprise with any other track or entity in which multiple interstate signals are bundled together for the purpose of securing an excessive or unreasonable fee for one or more signals in the group in exchange for the right to receive any of the signals in the group; or

3. any other activity designed to artificially inflate prices beyond reasonable market rates.

b) Licensees in violation of this Part shall be subject to civil penalties up to $10,000 per occurrence and/or license suspension or revocation.

History

• Source: Added at 35 Ill. Reg. 522, effective January 1, 2011

Part 326 Quinella Double

11 Ill. Adm. Code 326.10 General

The Quinella Double requires selection of the first two finishers, irrespective of order, in each of two specified contests.

11 Ill. Adm. Code 326.20 Pool Distribution

The net Quinella Double pool shall be distributed to winning wagers in the following precedence, based upon the official order of finish:

a) If a coupled entry or mutuel field finishes as the first two contestants in either contest, as a single price pool to those selecting the coupled entry or mutuel field combined with the next separate betting interest in the official order of finish for that contest, as well as the first two finishers in the alternate Quinella Double contest; otherwise

b) As a single price pool to those who selected the first two finishers in each of the two Quinella Double contests; but if there are no such wagers, then

c) As a profit split to those who selected the first two finishers in either of the two Quinella Double contests; but if there are no such wagers on one of those contests, then

d) As a single price pool to those who selected the first two finishers in the one covered Quinella Double contest; but if there were no such wagers, then

e) The entire pool shall be refunded on Quinella Double wagers for those contests.

Chapter I Illinois Racing Board

Subchapter a General Rules

Part 326 Quinella Double

11 Ill. Adm. Code 326.30 Dead Heats

a) If there is a dead heat for first in either of the two Quinella Double contests involving:

1. contestants representing the same betting interest, the Quinella Double pool shall be distributed to those selecting the coupled entry or mutuel field combined with the next separate betting interest in the official order of finish for that contest.

2. contestants representing two betting interests, the Quinella Double pool shall be distributed as if no dead heat occurred.

3. contestants representing three or more betting interests, the Quinella Double pool shall be distributed as a profit split.

b) If there is a dead heat for second in either of the Quinella Double contests involving contestants representing the same betting interest, the Quinella Double pool shall be distributed as if no dead heat occurred.

c) If there is a dead heat for second in either of the Quinella Double contests involving contestants representing two or more betting interests, the Quinella Double pool shall be distributed as a profit split.

11 Ill. Adm. Code 326.40 Scratches

a) Should a betting interest in the first half of the Quinella Double be scratched prior to the first Quinella Double contest being declared official, all money wagered on combinations including the scratched betting interest shall be deducted from the Quinella Double pool and refunded.

b) Should a betting interest in the second-half of the Quinella Double be scratched prior to the close of wagering on the first Quinella Double contest, all money wagered on combinations including the scratched betting interest shall be deducted from the Quinella Double pool and refunded.

c) Should a betting interest in the second half of the Quinella Double be scratched after the close of wagering on the first Quinella Double contest, all wagers combining the winning combination in the first contest with a combination including the scratched betting interest in the second contest shall be allocated a consolation payout. In calculating the consolation payout, the net Quinella Double pool shall be divided by the total amount wagered on the winning combination in the first contest and an unbroken consolation price obtained. The unbroken consolation price is multiplied by the dollar value of wagers on the winning combination in the first contest combined with a combination including the scratched betting interest in the second contest to obtain the consolation payout. Breakage is not declared in this calculation. The consolation payout is deducted from the net Quinella Double pool before calculation and distribution of the winning Quinella Double payout. In the event of a dead heat involving separate betting interests, the net Quinella Double pool shall be distributed as a profit split.

11 Ill. Adm. Code 326.50 Race Cancelled

a) If either of the Quinella Double contests is cancelled prior to the first Quinella Double contest, or the first Quinella Double contest is declared "no contest", the entire Quinella Double pool shall be refunded on Quinella Double wagers for those contests.

b) If the second Quinella Double contest is cancelled or declared "no contest" after the conclusion of the first Quinella Double contest, the net Quinella Double pool shall be distributed as a single price pool to wagers selecting the winning combination in the first Quinella Double contest. If there are no wagers selecting the winning combination in the first Quinella Double contest, the entire Quinella Double pool shall be refunded on Quinella Double wagers for those contests.

Subchapter b Rules Applicable to Organization Licensees

Part 402 Concessionaire Rules

11 Ill. Adm. Code 402.10 Definitions

The term "concessionaire" shall include an individual, firm, partnership, corporation, trustee or legal representative licensed to operate as a concessionaire to sell or provide food, beverages, programs, tip sheets or parking to the public at any race track in Illinois or intertrack wagering facility as defined in 11 Ill. Adm. Code 210.10.

History

• Source: Amended at 37 Ill. Reg. 832, effective January 14, 2013

11 Ill. Adm. Code 402.20 Occupation License

No concessionaire shall operate at any race track or intertrack wagering facility in Illinois without an occupational license duly issued by the Board.

History

• Source: Amended at 37 Ill. Reg. 832, effective January 14, 2013

11 Ill. Adm. Code 402.30 License Application

a) An application for a license to operate as a concessionaire shall be made on forms furnished by the Board and shall be verified.

b) One original and one executed copy of the application shall be filed with the Board.

c) The applicant shall submit with the application all relevant contracts, including but not limited to contracts with suppliers, contracts with any and all racing associations, and instruments evidencing any indebtedness between the applicant or the owner of any beneficial interest in the applicant and any and all racing associations.

d) If circumstances change or events occur after the application is filed so that the application no longer presents the actual facts, the applicant shall submit an amended application correcting any incorrect statements.

History

• Source: Amended at 37 Ill. Reg. 832, effective January 14, 2013

11 Ill. Adm. Code 402.40 Time of Filing

a) Application for an occupation license as a concessionaire shall be filed on or before 60 days prior to the opening of the racing meet at the race track or the intertrack wagering facility at which the concession is to be operated.

b) The Board, in its discretion, upon good cause shown, may act upon applications for an occupation license to operate as a concessionaire received subsequent to the dates specified in subsection (a).

History

• Source: Amended at 37 Ill. Reg. 832, effective January 14, 2013

11 Ill. Adm. Code 402.50 Necessity of License

No person shall conduct or operate a concession upon any race track grounds or intertrack wagering facility within the State of Illinois during any racing meet without first obtaining an occupation license from the Board.

History

• Source: Amended at 37 Ill. Reg. 832, effective January 14, 2013

11 Ill. Adm. Code 402.60 Application Contents, Substantial Owners

a) Each application for an occupation license as a concessionaire shall be on forms prescribed by the Board. If the applicant is a corporation, the application shall disclose, among other things, the names and addresses of its directors, officers, and owners of substantial beneficial interest and shall state whether any of these individuals:

1. has been convicted of a crime;

2. has been found guilty of a violation of the Illinois Horse Racing Act of 1975 or the rules and regulations of the Board; or

3. has had a permit or license to operate as a concessionaire at any race track or intertrack wagering facility in any other state suspended, revoked or denied.

b) A person owning 5% or more of the equity of an applicant shall be considered a substantial owner for the purposes of this Section.

History

• Source: Amended at 37 Ill. Reg. 832, effective January 14, 2013

11 Ill. Adm. Code 402.70 Grounds for Denial

The Board may, in its discretion, refuse an occupation license to any person seeking to operate as a concessionaire:

a) Who has been convicted of a crime;

b) Who is unqualified to perform the duties required of such applicant;

c) Who fails to disclose or states falsely any information called for in the application;

d) Who has been found guilty of a violation of the Act or of the rules and regulations of the Board; or

e) Whose license or permit has been suspended, revoked or denied for just cause in any other state.

11 Ill. Adm. Code 402.80 Concession Prices (repealed)

History

• Source: Repealed at 37 Ill. Reg. 832, effective January 14, 2013

11 Ill. Adm. Code 402.90 Disclosure Statements, of Whom Required

On or before the date an application for an occupation license is required to be filed, all officers, directors, creditors and substantial owners of any beneficial interest in any concessionaire desiring to operate at any race track within the State of Illinois shall make written disclosure, on forms prescribed by the Board, for approval of their participation in racing in the State of Illinois. These forms shall be submitted under oath as prescribed in the form and shall be considered as part of the application for occupation license to operate as a concessionaire. A person owning 5% or more of the equity of an applicant to operate as a concessionaire shall be considered a substantial owner for the purpose of this Section. A person extending credit for more than one year or extending credit in excess of $10,000 for less than one year but more than 30 days shall be considered a creditor for the purposes of this Section.

History

• Source: Amended at 37 Ill. Reg. 832, effective January 14, 2013

11 Ill. Adm. Code 402.100 Disclosure by Corporations

Where a corporation owns 25% or more of the equity of an applicant to operate as a concessionaire, holders of 10% or more of its capital stock shall make written disclosure under these rules and regulations on the forms prescribed. However, this rule shall not apply to any corporation, the securities of which are registered with the Securities and Exchange Commission pursuant to the Securities Act of 1933 and the rules and regulations issued thereunder. Corporations qualifying under this exemption shall file with the Board copies of all papers filed with the Securities and Exchange Commission.

11 Ill. Adm. Code 402.110 Change of Owners, Directors, Etc.

Within 15 days after election, appointment, acquisition of substantial ownership, or extending of credit, the Board shall be notified of the identity of each new officer, director, substantial owner, or creditor of a concessionaire. Each new officer, director, substantial owner, or creditor shall make a written disclosure to the Board on forms prescribed by the Board for approval of their participation in racing in Illinois.

11 Ill. Adm. Code 402.120 Observe Rules

Imposed on each concessionaire is the duty of obeying the applicable rules and regulations imposed by the Board under which the licenses are granted, the Board reserving the right to amend, alter or repeal any rule, regulation or condition herein imposed or to supplement said rules and regulations.

11 Ill. Adm. Code 402.130 Financial Statements (repealed)

History

• Source: Repealed at 37 Ill. Reg. 832, effective January 14, 2013

11 Ill. Adm. Code 402.140 License Deemed Personal

Licenses to operate as a concessionaire are deemed personal in nature and non-transferable, and will terminate upon a substantial change of ownership of the concessionaire, unless the Board has granted prior approval. The sale or transfer of 25% or more of the equity of a concessionaire shall be considered a substantial change of ownership. In acting upon a request for approval of a substantial change in ownership, the Board shall consider the same factors as it considers in the initial grant of an occupation license to a concessionaire.

11 Ill. Adm. Code 402.150 Penalties

a) The Board may suspend or revoke any occupation license of any concessionaire:

1. for violation of any of the provisions of the Illinois Horse Racing Act of 1975; or

2. for violation of any of the rules or regulations of the Board; or

3. for any cause which, if known to the Board, would have justified the Board in refusing to issue such occupation license; or.

4. for any other just cause. [230 ILCS 5/15(d)]

b) The Board is vested with the power to impose civil penalties of up to $5,000 against an individual and up to $10,000 against a licensee for each violation of any provision of the Act, any rules adopted by the Board, any order of the Board or any other action which, in the Board's discretion, is a detriment or impediment to horse racing. [230 ILCS 5/9(l)]

History

• Source: Amended at 37 Ill. Reg. 832, effective January 14, 2013

11 Ill. Adm. Code 402.160 Political Contributions Prohibited

No organization licensee or concessionaire or officer, director or holder or controller of 5% or more legal or beneficial interest in any organization licensee or concession shall make any sort of gift or contribution that is prohibited under Article 10 of the State Officials and Employees Ethics Act or pay or give any money or other thing of value to any person who is a public official or a candidate or nominee for public office if that payment or gift is prohibited under Article 10 of the State Officials and Employees Ethics Act. [230 ILCS 5/24(f)].

History

• Source: Amended at 48 Ill. Reg. 18250, effective December 12, 2024

11 Ill. Adm. Code 402.170 Remedies

Any concessionaire aggrieved by any order of the Board may pursue any remedies before the Board available by law or rule to any other licensee.

Part 403 Illinois Race Track Rules for Fire Safety

11 Ill. Adm. Code 403.10 Purpose

These rules have been established to enforce a reasonable level of fire safety at race tracks to reduce the potential for loss of human life, horses, and track operation.

11 Ill. Adm. Code 403.20 Scope

These rules shall apply to all facilities which are part of a race track complex where the complex is utilized primarily for the purpose of conducting a horse racing meet where pari-mutuel wagering is authorized.

11 Ill. Adm. Code 403.30 Enforcement

a) The enforcement of these rules shall be under the jurisdiction of the Office of the State Fire Marshal of the Division of Fire Prevention, Illinois Department of Law Enforcement.

b) New buildings constructed after the adoption of these rules shall comply fully with all provisions of these rules.

c) Buildings already in existence at the time of the adoption of these rules shall be made to comply immediately with the rules under any one of the following circumstances:

1. If, in the opinion of the State Fire Marshal, lack of compliance presents an imminent danger to human life, horses, or continued operation of the race track.

2. If additions, alterations or repairs are made in any period of 12 months, costing in excess of 25% of the current replacement cost of the building.

3. If a building is increased in floor area by more than 10% or if the building is increased in the number of stories.

4. If the basic occupancy classification of a building is changed in such a manner as to increase the fire hazard.

d) Existing track facilities shall meet the following minimum fire safety requirements within the times indicated from the date of adoption of these rules:

1. Provide adequate exits, exit signs, and emergency lighting for grandstand structures within one year in compliance with Sections 5.11 through 5.13. (11 Ill. Adm. Code Sections 403.50(a)(1) through (3).

2. Provide a complete system of manual fire reporting stations within one year for all buildings as provided in Section 7.81. (11 Ill. Adm. Code Section 403.70(h)(1)).

3. Provide permanent type identification or signs above each fire extinguisher, fire hose station, and fire reporting station within ninety days.

4. Install automatic sprinklers within two years in grandstands as required in Sections 5.14 and 5.15. (11 Ill. Adm. Code Sections 403.50(a)(4) and (5))

5. Combustible barns shall either be replaced with noncombustible barns in accordance with these rules at a rate of not less than 20% per year of the total number of existing combustible barns or shall be equipped with automatic sprinklers at a rate of not less than 20% per year of the total number of existing combustible barns.

6. Combustible structures other than barns and grandstands shall be protected by automatic sprinklers if their size, type of construction, and occupancy are deemed hazardous.

7. Fire hydrants shall be provided as required in Section 7.21 (11 Ill. Adm. Code Section 403.70(b)(1)). Standpipes shall be installed in grandstands as provided in Section 7.41. (11 Ill. Adm. Code Section 403.70(d)(1)). Class B and C barns not protected by automatic sprinklers shall be provided with hose stations in accordance with Sections 7.51 through 7.53. (11 Ill. Adm. Code Sections 403.70(e)(1) through (3)) All installations shall be completed within two years.

8. Compliance with hay storage Sections 6.41 (11 Ill. Adm. Code Sections 403.60(d)(1) through (3)) through 6.43 shall be required within one year.

e) Within one year, unsprinklered dormitories shall be equipped with automatic fire alarm systems with automatic fire detectors in every apartment or room, (or the equivalent in terms of fire alarm and fire detection effectiveness if approved by the Fire Marshal) unless the apartments or rooms are separated by at least 3/4-hour fire resistant construction and each apartment or sleeping room has a direct exit to the outside.

f)

1. The Board and the State Fire Marshal shall be notified in writing, prior to construction of structures, additions, alterations or occupancy changes covered under Section 3.3. (11 Ill. Adm. Code Section 403.30(c)) Construction shall not start until approved by the Board and the State Fire Marshal.

2. These rules shall not nullify any local codes or regulations. If a conflict exists, the more stringent requirement shall be applicable. In areas not specified and not covered by these rules or by local codes, compliance with the provisions of one of the nationally recognized model building codes shall be acceptable.

g) It is the intent of the State Fire Marshal that if any section, paragraph, sentence or word of these rules be declared invalid for any reason, all other portions of the rules shall still apply.

h) The owner of the facility or his designated agent shall be responsible for compliance with these rules and other recognized good practices and applicable regulations in order to maintain fire safe conditions. The omission of such recognized good practices or applicable regulations from these rules shall not be considered reason for noncompliance.

i) The specific requirements of these rules may be modified by the State Fire Marshal to allow alternative arrangements that will secure as nearly equivalent safety from fire as practical; but in no case shall the modification afford less safety from fire than compliance with the corresponding provisions contained in these rules.

11 Ill. Adm. Code 403.40 Definitions

"Automatic": As applied to fire protection shall mean a device or system activated by a fire and performing its intended function without the necessity of human intervention.

"Barn": A building used primarily for horses which may or may not have sleeping rooms.

"Building": A structure covered by a roof, separated from other structures by space or fire walls and designed for housing people, animals or equipment.

"Building Area": The maximum horizontal projected area of the building at or above grade.

"Building Construction": Types of building construction such as fire resistive, heavy timber, noncombustible, ordinary and wood frame, shall be as defined in NFPA Standard No. 220-1961, Standard Types of Building Construction.

"Combustible": A material which does not comply with the definition of noncombustible.

"Combustible Wall": A wall constructed of combustible structural elements.

"Dormitory": A building or a portion of a building containing sleeping rooms, rest rooms, laundries and other normal housekeeping facilities.

"Emergency Lighting": Lighting designed to come on automatically in the event of failure of the primary electric power supply.

"Exit": An opening in an exterior wall or an access to a protected way of travel to allow occupants to escape from a building with reasonable safety.

"Fire Detection System": A system designed to automatically detect a fire and alert those responsible for taking emergency action.

"Fire Door": A listed door, frame, hardware, and accessories designed to provide protection against passage of fire for a specified period of time.

"Fire Hose Station": A cabinet, rack, or reel where the fire hose is stored for use in manual fire fighting.

"Fire Alarm or Notification System": A system designed to alert building occupants to a fire.

"Fire Patrols": Patrols by track personnel assigned specifically to check building areas for fires or fire hazards. Supervised patrols utilize portable clocks or other means to assure that the patrolman covers all areas on a regular basis. Freelance patrols leave the route and areas covered to the discretion of the patrolman.

"Fire Reporting System": A communications system for public use designed to notify those responsible for taking emergency action that a fire is in progress.

"Fire Wall": A self supporting noncombustible wall having at least two hour fire resistance.

"Flammable Liquid": A liquid having a flash point below 100ºF and other properties as defined in NFPA Standard No. 30-1973, Flammable and Combustible Liquids Code.

"Grandstand": The structure for seating spectators, including communicating areas used for betting, club rooms, restaurants, concession stands, rest rooms, and other related facilities.

"Hay Storage": Areas used for the storage of hay or straw.

"Heating System": A system which provides comfort heating for building occupants.

"Hood and Exhaust Ventilation System": A system for exhausting heat and fumes from ranges, grills, and other cooking equipment.

"Listed": Equipment or materials included in a list published by a nationally recognized testing laboratory inspection agency, or other organization concerned with product evaluation, that maintains periodic inspections of production of listed equipment or materials, and whose listing states either that the equipment or material meets nationally recognized standards or has been tested and found suitable for use in specified manner.

"Manual": As applied to fire protection shall mean a device or system which requires human operation to perform its intended function.

"Masonry Wall": A wall constructed of brick, adobe, concrete, hollow blocks, solid blocks, or stone.

"NFPA": National Fire Protection Association, 470 Atlantic Avenue, Boston, Massachusetts 02210

"Noncombustible": A material that will not ignite or flame when inserted for five minutes in a furnace heated to 1380ºF.

"Noncombustible Wall": A wall constructed of masonry, concrete, metal, metal lath and plaster, gypsum board, glass block, or similar noncombustible materials.

"Protected Combustible Construction": As defined in NFPA Standard No. 220-1961, for protected ordinary construction and protected wood frame construction.

"Protected Non-Combustible Construction": As defined in NFPA Standard No. 220-1961.

"Recognized Standards": Standards of performance testing utilized by a nationally recognized testing agency such as Underwriters Laboratories, Inc., or the Factory Mutuel System, or standards of good practice as promulgated by agencies such as the National Fire Protection Association.

"Roof Covering": The covering applied to a building roof for weather resistance, fire resistance, or appearance.

"Self Closing": As applied to a fire door, a door that is normally closed and is equipped with an approved listed device to automatically re-close the door after opening.

"Sleeping Room": Any room in which occupant(s) is permitted to have sleeping facilities.

11 Ill. Adm. Code 403.50 General Construction Requirements

a) Grandstands

1. Grandstands shall comply with the requirements of NFPA Standard No. 102-1972, Tents, Grandstands and Air Supported Structures Used for Places of Assembly, and NFPA Standard No. 101-1973, Life Safety Code, except as modified in Sections 5.12 through 5.13. (11 Ill. Adm. Code Sections 403.50(a)(2) and (3))

2. Exits from enclosed grandstand spaces which empty into open grandstand spaces from which occupants can make their way to a safe location or which are a safe area of refuge can be counted as part of the required exit capacity for the enclosed spaces.

3. The occupant load of enclosed grandstand spaces shall be based on the seating capacities of these spaces plus an allowance for standees' floor area, if any, based on one person for every 10 sq. ft. of net standing floor area. Required aisle space serving the fixed seats shall not be used when computing net standing floor area.

4. Automatic sprinklers shall be installed in accordance with Section 7.3 (11 Ill. Adm. Code Section 403.70(c)) throughout all enclosed grandstand areas of unprotected combustible construction. If the roof structure alone is combustible, sprinklers shall be required only in all concealed roof spaces.

5. Automatic sprinklers shall be installed in all grandstands in the following locations:

A) All spaces used for storage and maintenance having an area of over 100 sq. ft. and that are not enclosed with at least 1-hour fire resistive construction and fire doors. Automatic sprinklers may be supplied by the domestic water system up to a limit of 20 sprinklers per space provided that a density of at least .15 gallons per minute (GPM) per sq. ft. in the space can be provided. Such space shall also be enclosed with at least 1-hour fire resistive construction and an approved self-closing fire door when deemed necessary by the Fire Marshal.

B) Inside combustible concealed spaces of over 2500 sq. ft. fire area.

C) All spaces used for displays or exhibitions or storage of display or exhibition materials.

D) All kitchens with interior finish having a flame spread rating over 25.

E) All interior spaces with an occupancy load of 200 persons or over 4000 sq. ft. in area, which have interior wall and ceiling finish having a flame spread over 75, unless the interior wall finish is of solid lumber at least 1 inch thick.

F) All interior spaces and rooms under 4000 sq. ft. having wall or ceiling finish with a flame spread rating of more than 100.

G) All interior exitways, including corridors, stairwells, and other paths to the exterior which have interior wall or ceiling finish with a flame spread of over 25.

6. Emergency fire escape provisions shall be provided from the stewards stand and press areas where required, and subject to the State Fire Marshal's approval.

b) Barns

1. Construction Classification Structures used as barns shall be classified as follows:

A) Class A – Walls and roof of noncombustible materials. Stall dividers of noncombustible material or two inch dimension hardwood lumber. Use of combustible kick boards shall not cause otherwise noncombustible stall dividers to be classed as combustible.

B) Class B – Walls masonry; roof of combustible materials.

C) Class C – Walls and roof of combustible material.

2. Size Limitations:

A) Buildings used as barns constructed after the adoption of these rules shall not exceed in area the values in the following table:

Barn Size Limitations

Maximum Building Area in Square Feet

Construction Class

Non-Sprinklered

Sprinklered

A

Unlimited

Unlimited

B

Not Permitted

18,000

C

Not Permitted

12,000

B) Class B and Class C construction without sprinkler protection shall not be permitted.

3. Height Limitations: The height of barns used primarily for horses shall not exceed one story. Where dormitory rooms are located above the barn structure the structure shall not exceed 2 stories in height.

4. Spacing Requirements:

A) Structures enumerated in Section 5.2 (11 Ill. Adm. Code Section 403.50(b)) constructed after the adoption of these rules shall be separated by the following minimum distances:

Spacing Between Barns in Feet

Types of Facing-Walls

Masonry

Masonry

25

Noncombustible

Noncombustible

25

35

Combustible

Combustible

35

50

75

B) A reduction in spacing of 50% shall be permitted for a masonry wall without openings and with a parapet extending at least 18" above any combustible roof construction within 10 ft. of the parapet and a reduction of spacing of 33⅓% shall be permitted for sprinklered combustible barns in accordance with Section 7.3 (11 Ill. Adm. Code Section 403.70(c))

5. Fire Walls: Barns divided by a fire wall having at least two-hour fire resistance shall be considered as separate buildings in applying the size limitations of Section 5.22 (11 Ill. Adm. Code Section 403.50(b)(2))

A) Fire walls when required shall extend through combustible roofs and walls. The height of the wall shall be at least 32" above the roof and the side shall extend at least 24" beyond combustible exterior walls.

B) All openings in fire walls separating barns shall be protected by self-closing 1½-hour B label fire doors.

6. Exits: Barns shall be designed so that there is a doorway leading directly outside within 100 ft. travel distance of all portions of the building. It shall be possible to exit from any point in the building in at least two directions; dead ends longer than 30 ft. shall not be permitted. Travel distance may be increased to 150 ft. when the barn is of masonry or masonry veneer construction and is protected by an automatic sprinkler system.

A) Doorways provided to meet the requirements of Section 5.26 (11 Ill. Adm. Code Section 403.50(b)(6)) shall be at least 8 ft. high and 6 ft. in width.

B) All latches on exterior barn doors shall be operable from inside the building.

7. Smoke Relief Venting: Stall areas in unsprinklered barns shall be provided with exterior openings for smoke relief, located at a high level to permit natural removal of heat and combustion products. Vent openings shall be provided on the basis of 1 sq. ft. of venting area for each 60 sq. ft. of stall floor area.

c) Sleeping Facilities

1. Dormitories, tack rooms, and other facilities used for sleeping purposes shall be of at least ¾-hour fire resistant protected construction and shall comply with applicable provisions of NFPA Standard No. 101-1973, Life Safety Code.

2. Fire Separation: Individual sleeping rooms shall be separated from each other and from barns, stalls, laundry rooms, rest rooms, storage rooms, and similar occupancies by walls, floors, and ceilings having at least a ¾-hour fire resistive rating. Any wall openings shall be protected by a self-closing solid core wood or hollow metal door, 1¾" thick.

3. Fire Detection: An automatic fire alarm and detection system complying with Section 7.7 (11 Ill. Adm. Code Section 403.70(g)) shall be provided in all sleeping rooms, heating rooms, kitchens, laundry and storage rooms. A fire detection system shall not be required in sleeping facilities protected by an automatic sprinkler system complying with Section 7.3, (11 Ill. Adm. Code Section 403.70(c)) or in sleeping rooms of at least ¾-hour fire resistant construction with a direct exit to the exterior.

d) Roof Coverings

All track buildings shall have roof coverings meeting Underwriters Laboratories, Inc. requirements for Class C roofing or better.

e) Insulation

Track buildings shall not use combustible insulating materials installed so that the surface of the insulation is exposed.

11 Ill. Adm. Code 403.60 General Occupancy Requirements

a) Heating and Cooking Equipment

1. Heating and cooking equipment shall be listed by Underwriters Laboratories, Inc. or the American Gas Association. Installation of the equipment and related fuel storage and piping facilities shall be in accordance with recognized standards and good practices as found in the following standards: NFPA Standard No. 54-1974, National Fuel Gas Code; NFPA Standard No. 58-1974, Storage and Handling of Liquefied Petroleum Gases and NFPA Standard No. 70-1975, National Electrical Code.

2. Cylinders or tanks of compressed fuel gases shall not be permitted in grandstands or in buildings except as provided in NFPA pamphlet 58, 1974.

3. Sleeping rooms shall be heated by steam, hot water, warm air, electricity or approved individual gas-fired heating units.

4. Steam and hot water boilers and furnaces shall be located in a separate building or enclosure with fire resistive floors, walls, ceilings and doors. Enclosures around high pressure boilers (operating at over 15 per square inch (psi) gauge pressure) shall have two-hour fire resistance with openings protected by 1½-hour fire doors; enclosures around low pressure boilers (operating below 15 per square inch (psi) gauge pressure for steam and 30 per square inch (psi) gauge pressure for hot water) and furnaces shall have ¾-hour fire resistance with openings protected by ¾-hour fire doors.

5. Ranges, deep fat fryers and grills shall have a hood and exhaust ventilation system to the outside as outlined in NFPA Standard No. 96-1973, Ventilation of Commercial Cooking Equipment.

6. Hood and Vent Systems: All hood and vent systems over cooking equipment shall be protected by a listed automatic fire extinguishing system installed according to NFPA Standard No. 96-1973, Ventilation of Commercial Cooking Equipment. Actuation of the system shall transmit an alarm to a constantly attended location.

b) Electrical System

1. New electrical systems shall be installed by qualified electricians in accordance with NFPA Standard No. 70-1975, the National Electric Code. Existing electrical systems installed in accordance with the requirements of the National Electric Code in effect at the time of installation will not be required to be replaced provided they are properly maintained, and provided that electrical systems shall be updated to conform to NFPA Standard No. 70-1975 as buildings are updated in accordance with Section 3.3 of these rules (11 Ill. Adm. Code Section 403.30(c))

2. Plug receptacles in electrical systems in barns are permitted provided that the receptacles are at least 4 ft. above floor level (centered between stalls) and of grounded type. In addition, electrical equipment (unless double insulated) shall be of the 3 wire (grounded) type.

3. Electrical systems in sleeping rooms shall be provided with at least one double plug receptacle having two standard outlets.

c) Flammable Liquids

1. Flammable liquids shall be stored and handled in accordance with recognized standards and good practices as found in NFPA Standard No. 30-1973, Flammable and Combustible Liquids Code.

2. No flammable liquids shall be stored in the grandstand structure. Beverage containers of one gallon or less shall be exempt.

3. Bulk supplies of flammable liquids over 55 gallons shall be stored in buried tanks.

4. Bulk supplies of flammable liquids in containers of 55 gallons or less shall be stored outside of and at least 50 feet from all buildings. Outside storage under this section shall be limited to 550 gallons in aggregate stored in any one location. Storage areas shall be enclosed by either a masonry wall or non-combustible fence not less than six (6) feet in height with entrance kept locked when not in use.

5. Listed safety cans shall be used for handling flammable liquids in less than drum quantities. (Paints, insecticides, and veterinary medicines in original containers of 5 gallons or less shall be exempt from this requirement.)

d) Hay Storage

1. Facilities for the storage of hay or straw may be located either within or detached from the barn structure. Hay Storage shall not be permitted in barn lofts.

2. Hay storage rooms located within the barn shall be:

A) Separated from the rest of the stalls and sleeping rooms by walls extending to roof deck having at least one-hour fire resistance rating with doorways protected by self-closing ¾-hour fire door.

B) Provided with smoke relief venting of at least 1 sq. ft. for each 25 sq. ft. of hay storage area unless the area is sprinklered.

3. Detached hay storage buildings having an area of less than 200 sq. ft., shall be located at least 10 ft. from Class A or B barns, and 20 ft. from Class C barns, provided however, that detached hay storage buildings with exterior walls of masonry, masonry veneer, or one-hour fire resistive protected construction and having an area of less than 200 sq. ft. shall be located at least 10 ft. from buildings with combustible exterior walls. Hay storage buildings having an area greater than 200 sq. ft. shall comply with the spacing provisions of Section 5.24 (11 Ill. Adm. Code Section 403.50(b)(4))

11 Ill. Adm. Code 403.70 Fire Protection Requirements

a) Water Supply

The track shall have a water system capable of providing an adequate and reliable water supply for fire fighting purposes. Grandstands, barns and dormitories and other facilities shall have a water supply capable of providing at least 1000 gallons per minute (gpm) at 20 per square inch (psi) residual pressure for a period of two hours.

b) Fire Hydrants

1. All portions of major track structures such as barns, dormitories, kitchens and maintenance buildings shall be within 400 ft. of a fire hydrant. Grandstands shall comply with Section 7.41. (11 Ill. Adm. Code Section 403.70(d)(1))

2. To allow access, new fire hydrants shall be located at least 25 ft. away from masonry and noncombustible walls and 50 ft. away from combustible walls.

3. Fire hydrants shall be located so that a fire department pumper can approach to within 10 ft. of the outlet.

4. Fire hydrants adjacent to doorways, parking lots or other areas where subject to vehicular damage shall be protected to prevent such damage.

5. Fire hydrants shall be approved by the local fire department. All hose connections shall have threads matching those of the public fire department serving the track.

c) Automatic Sprinklers

1. Automatic sprinkler systems shall be installed in accordance with NFPA Standard No. 13-1975, Installation of Sprinkler Systems.

2. Automatic sprinklers protecting grandstands and dormitories shall be designed for Light Hazard Occupancies, except those areas containing combustible storage or that are used as exhibition halls shall be designed for Ordinary Hazard (Group 3) Occupancies. Sprinklers for barns shall be designed for Ordinary Hazard Occupancies (Group 2).

3. Automatic sprinklers shall have a waterflow alarm device, value supervision and air pressure supervision transmitting a signal to a constantly attended location. The signaling system shall be installed in accordance with the general requirements of Section 7.7 (11 Ill. Adm. Code Section 403.70(g)) covering fire detection systems.

d) Standpipes

Grandstand structures shall be provided with Class III standpipes. Standpipes shall be designed and installed in accordance with NFPA Standard No. 14-1975, Standpipe and Hose Systems. A 1½" rubber lined hose connected to the standpipe shall be provided in all non-sprinklered areas. Each standpipe shall be equipped with a valved 2½" hose connection to conform with the local fire department thread. All portions of the grandstand shall be within 125 ft. of a standpipe or within 400 ft. of a fire hydrant, except for open seating spaces of noncombustible constructions. All fire department standpipe connections shall be within 100 ft. of a fire hydrant.

e) Fire Hose

1. Class B and C barns not protected by automatic sprinklers shall be provided with hose stations containing not more than 150 ft. of 1" hard rubber hose secured in a wall-mounted reel and equipped with an adjustable nozzle. Such hose stations are acceptable provided they are in compliance with Section 7.52. (11 Ill. Adm. Code Section 403.70(e)(2)) Until such hose stations are installed, 50 gallon water drums shall be provided 50 ft. apart in barn aisles with two buckets per drum. Drums shall be kept filled with water.

2. Hose stations shall be located so that all portions of the structures are within reach of at least one hose stream.

3. Each fire hose station shall be marked with a sign(s) visible from each direction of approach saying "FIRE HOSE."

f) Fire Extinguishers

1. Enclosed grandstand areas, barns, and sleeping room buildings shall be provided with a basic complement of approved fire extinguishers having a minimum Underwriters Laboratories, Inc. rating of Class 2-A, within 75 ft. of travel distance from any point in the building. Non-freeze type units shall be used in areas subject to temperatures below 40°F. Exception: Hoses may be substituted in barns in lieu of the above requirements for fire extinguishers. Such hose substitutes shall contain not more than 100 ft. of ¾" hard rubber or synthetic hose on a wall-mounted reel and be equipped with an adjustable nozzle. These hose substitutes must comply with Sections 7.52 and Sections 7.53. (11 Ill. Adm. Code Sections 403.70(e)(2) and (3))

2. Kitchens, concession booths and maintenance areas shall have at least one multipurpose type extinguisher with a minimum Underwriters Laboratories, Inc. rating of 20-BC. Additional extinguishers shall be provided, if necessary, so that an extinguisher is within 50 ft. travel distance of any point in these areas.

3. Totalisator rooms, main electrical panels, and other locations containing significant amounts of electrical equipment shall have at least one liquefied gas type extinguisher having a minimum Underwriters Laboratories, Inc. rating of 10-BC. Additional extinguishers shall be provided, if necessary, so that an extinguisher is within 50 ft. travel distance of any point in these areas.

g) Fire Detection Systems

1. The performance, location, mounting and testing of automatic fire detectors shall comply with NFPA Standard No. 72E-1974, Automatic Fire Detectors. Fire detectors shall be of the combination rate-of-rise/fixed temperature type, or equivalent in performance under the conditions of use.

2. The interconnection of detectors and control equipment shall comply with the applicable portions of NFPA Standards No. 71-1974, Central Station Signaling Systems; No. 72A-1974, Local Protective Signaling Systems; No. 72B-1974, Auxiliary Signaling Systems; No. 72C-1974, Remote Station Signaling Systems; No. 72D-1974, Proprietary Signaling Systems and No. 70-1975, National Electrical Code.

3. Fire alarm and detection systems shall have standby power supplies capable of operating the system, including audible warning devices, for a period of 2 hours in the event of primary electrical power outage.

4. Fire alarm control equipment such as relays, rectifiers, transformers, batteries and trouble alarm devices shall not be located inside sleeping rooms, or outside where exposed to weather conditions unless in a weather-proof cabinet. All such control equipment that is accessible to the public shall be in cabinets equipped with sturdy locks.

5. Fire detection systems shall transmit alarm and trouble signals to a constantly attended location. The system shall be designed so that the specific building from which the alarm or trouble signals originate can be identified.

h) Fire Reporting and Notification Systems

1. Fire Reporting System: The grandstands, barns, dormitories, track kitchens, maintenance buildings and other buildings normally occupied during track operations shall be provided with manual fire reporting stations.

A) Manual fire reporting stations shall be located so that the normal horizontal travel distance from any building area to a stations does not exceed 200 ft. in grandstands and 300 ft. in barn and other areas.

B) Manual fire reporting stations shall transmit an alarm signal to a central location manned by trained personnel.

C) Non-voice manual fire reporting stations shall be arranged in zones to provide signals that will identify to the central receiving locations the general area served without need of voice communication.

D) If voice or telephone type manual fire reporting stations are utilized, each station shall be provided with a sign indicating its location or zone so that the user can give this information readily to the central receiving location.

E) Every manual fire reporting station shall be marked with an overhead sign(s) visible from all directions of approach saying "FIRE ALARM." Stations located in outdoor areas that are poorly lit shall be provided with a 40-watt overhead red light.

2. Fire Notification System: An audible fire notification system shall be provided to alert building occupants to a fire emergency.

A) The track public address system may be considered an acceptable means of performing this function when fire reports are received directly by a person with a microphone connected to the public address system.

B) For buildings not covered by a public address system outlined in Section 7.821, (11 Ill. Adm. Code Section 403.70(h)(2)(A) or during periods that buildings are occupied and the public address system is not in operation, other audible means shall be provided to alert occupants. Such a system may either be manually actuated from a central location manned at all times the buildings are occupied, or automatically actuated by a fire detection system.

C) Fire notification systems shall be designed to awaken occupants of sleeping rooms.

11 Ill. Adm. Code 403.80 Operating Requirements

a) Track Fire and Security Personnel

1. When grandstands are open to the public, at least one trained fireman shall be assigned to freelance patrol duty in the grandstand at all times. Additional firemen may be required depending upon the size of the facility and the nature of the activities.

2. When grandstands are closed to the public, supervised fire patrols shall be conducted every three hours.

3. Barns and other major track buildings shall have supervised fire patrols every three hours when the facilities are unoccupied.

4. Fire patrols shall not be required in track facilities which are protected by properly functioning automatic sprinklers or automatic fire detection systems installed in accordance with Sections 7.3 and 7.7 (11 Ill. Adm. Code Sections 403.70(c) and (g))

b) Employee Fire Training

1. Security and other track and concessionaire employees shall receive training in the operation of the fire reporting system, fire extinguishers, standpipe hoses and in elementary fire fighting techniques. Training shall be given by a qualified fire department instructor.

2. During the racing meets, occupants of each barn, kitchen and other major buildings shall receive instructions by a qualified fire department instructor on fire prevention rules, fire reporting methods, and proper use of fire extinguishers and small hand hose. Instruction shall be given at least twice during each licensed meet with one session during the first two weeks of the meet.

c) Housekeeping

1. Good housekeeping standards shall be maintained in all track facilities.

2. During the racing meets, trash shall be removed from the premises daily or more often if necessary. Trash containers shall be constructed of noncombustible materials.

3. At the close of the racing meet, trash shall be removed from all buildings and yard areas, and good housekeeping maintained until the track reopens.

d) Maintenance Practices

1. Track management shall establish the following maintenance practices; every licensee shall keep such records and make such reports as the State Fire Marshal shall prescribe. All such records shall be open to inspection by the State Fire Marshal.

A) All heating and cooking equipment shall be inspected by qualified service personnel at least annually, preferably immediately before the start of the racing season to determine that it is in safe working order.

B) When in use, hood and vent systems over cooking equipment shall be inspected daily and cleaned as necessary to prevent the build-up of combustible grease and residue.

C) The electrical system shall be inspected by a qualified electrician at least annually, preferably immediately before the start of the racing season to determine that the system is in reliable condition.

D) All emergency lighting units shall be tested weekly during the racing meets. If an emergency generator is provided, it shall be started each week.

E) An up-to-date map of the fire protection water system shall be maintained, showing the location and size of pipes, valves, hydrants and other portions of the system. A copy of this map shall be provided to the local fire department.

F) Track water supply systems shall be flow tested annually to determine the adequacy and reliability of the basic water supply. Tests shall be witnessed by the fire department. Water control valves shall be inspected weekly during the racing meets and monthly during the balance of the year to assure that they are open. Fire pumps shall be started each week and subjected to a complete operational test on an annual basis.

G) Fire hydrants shall be inspected and serviced in the spring and fall. Servicing shall include flushing the hydrant, lubricating the hose outlet threads with a dry lubricant such as graphite, and providing any other service necessary to maintain the hydrant in good operating condition. Weeds shall be removed from around hydrants and painting shall be provided to assure good visibility. The fall inspection shall include checking for proper drainage to prevent freezing.

H) Sprinkler control valves shall be inspected, drain tests conducted and water flow alarms tested on a weekly basis during the racing meets and monthly during the balance of the year. Dry pipe sprinkler valves shall be tripped annually during nonfreezing weather.

I) Rubber lined fire hoses shall be inspected annually.

i) Fire extinguishers shall be inspected and serviced annually as required by NFPA Standard No. 10-1974, Portable Fire Extinguishers.

ii) Fire detection and notification systems shall be tested at least every two weeks during the racing meets and monthly during the balance of the year. The entire system shall be inspected and serviced by a qualified contractor at least annually. A record of tests and inspections shall be kept available for inspection by the State Fire Marshal.

iii) Automatic fire extinguishing systems for hood and vent installations shall be inspected and serviced on an annual basis by a qualified contractor.

e) Off Season Periods

1. All automatic fire detection, sprinkler and other protective systems shall be maintained operational throughout the year.

2. Fire extinguishers shall be maintained in all occupied buildings throughout the year.

3. Fire hose stations subject to freezing may be shut off and drained during periods that the buildings which they service are unoccupied.

f) Fire Protection Rules

1. The following track fire protection rules shall be prominently posted at each exit in all barn and dormitory areas and strictly enforced by security and other track personnel.

2. Fire protection rules shall include the following:

A) Smoking shall be prohibited in barns, hay storage buildings and in bed.

B) Electrical extension cords shall be heavy duty 3 wire cord. Multiple plugs are prohibited.

C) Portable heating appliances shall be prohibited in barns and sleeping rooms.

D) Cooking shall be prohibited in barns and sleeping rooms.

E) Sleeping shall be prohibited in stalls or hay storage areas.

F) Good housekeeping shall be maintained in all areas.

G) Flammable liquids, except as provided in Sections 6.32 and 6.35, (11 Ill. Adm. Code Sections 403.60(c)(2) and (5)) shall be prohibited in the grandstand structure, barns, and sleeping rooms.

H) Aisles shall be maintained clear of obstruction at all times and access to fire equipment shall not be blocked.

I) A halter shall be worn by each horse in accordance with Illinois Racing Board rules.

J) Vehicles shall not be parked within 15 ft. of fire hydrants, fire hose stations, fire reporting stations, or building doors.

K) Vehicles shall not be parked in fire lanes provided to give fire department vehicles access to buildings.

L) Appropriate signs as prescribed by the State Fire Marshal shall be posted in keeping with rules a, h, j, and k. (11 Ill. Adm. Code Sections 403.80(f)(2)(A), (H), (J), and (K))

Part 412 Uniform System of Accounts

11 Ill. Adm. Code 412.10 Definitions

When used in this chapter:

a) "Accounts" means the accounts prescribed in this system of accounts.

b)

1. "Affiliated companies" means companies of persons that, directly or indirectly, through one or more intermediary companies, or alone, control, or are controlled by, or are under common control with the reporting licensee.

2. "Control" means the possession of the power to direct or cause the direction of the management and policies of a company or licensee. Such power may be established through a majority or minority ownership or voting of securities, common directors, officers, or stockholders, voting trusts, holding trusts, associated companies, contract or agreement or any other direct or indirect means.

c) "Act" means the Illinois Horse Racing Act of 1975, Ill. Rev. Stat., Ch. 8, Section 37-1 et seq., as now or hereinafter amended.

d) "Board" means the Illinois Racing Board.

e) "Book cost" means the amount at which property is recorded in these accounts without deduction or related provisions for accrued depreciation, amortization, or for other purposes.

f) "Cost" means the amount of money actually paid for property or services. When the consideration given is other than cash, the fair value of the consideration surrendered or the fair value of the asset received, whichever is more clearly evident, should be used to determine cost.

g) "Current assets" is used to designate cash and other assets or resources commonly identified as those which are reasonably expected to be realized in cash or sold or consumed within one year.

h) "Current liabilities" is used to designate those obligations whose liquidation is reasonably expected to require the use of existing current assets, or the creation of other current liabilities within one year.

i) "Financial statements," as used herein, includes all notes to the statements and all related schedules.

j) "Licensee" means "organization licensee" as defined in Section 3.11 of the Act.

11 Ill. Adm. Code 412.20 Application of Regulation

a) All licensees shall keep their financial records in the manner prescribed by these rules. In addition, this uniform system of accounts shall also apply to the form and content of all financial statements to be filed as a part of the Application for a license to conduct any racing meeting.

b) These rules are adopted pursuant to the authority granted to the Board in Sections 9(b), 9(c), 9(g), 20(a), 20(a)(5), and 21(c) of the Act (Ill. Rev. Stat., Chapter 8, Section 37-1 et seq.)

11 Ill. Adm. Code 412.30 Rules of General Application

a) All money amounts required to be shown in financial statements may be expressed in whole dollars.

b) The information required with respect to any statement shall be furnished as a minimum requirement. Further material information shall be added whenever necessary to make the required statements not misleading in the light of the circumstances under which they are made. Conversely, if any amount required to be shown with respect to any caption note or schedule is not material, it need not be shown.

c)

1. Each licensee shall maintain its books of account and all other records and supporting documentation in order to be able to readily furnish to the Board full disclosure of any item included in any account.

2. No licensee shall destroy any such books or records unless prior permission to do so is obtained from the Board. The Board will grant such permission if the books and records are more than five years old.

3. In addition to the prescribed accounts, clearing accounts, temporary accounts and subdivisions of any account may be utilized, provided the integrity of the prescribed accounts is not impaired.

4. Any questions regarding the accounting for a specific item should be submitted to the Board for an interpretation.

d)

1. The account numbering framework used herein consists of a system of three- and four-digit numbers as follows:

100.0 – 199.9 Assets and Other Debits

200.0 – 299.9 Liabilities and Other Credits

300.0 – 399.9 Income Accounts

400.0 – 499.9 Expense Accounts

2. In many instances, numbers have been skipped in order to allow for possible later expansion or to permit better coordination of the accounts by the licensees.

3. Each licensee may adopt such scheme of account numbers as it deems appropriate, provided however, that it shall keep readily available to the Board the information required by the Application form.

e) All applications for racing dates shall contain:

1. A copy of the audited certified public financial statements for the most recently completed fiscal year; and

2. Financial statements for the most recently completed race meeting accompanied by a review by a Certified Public Accountant expressing limited assurance that no significant changes are required in the financial statements.

f) Income and expenses are required by type of operation. If any item not specifically provided for can be identified with a type of operation, such item should be allocated in the income statement. An example of this would be if real estate taxes could be identified for the parking lot, such taxes should be allocated to the parking operation. Items of revenue, cost or expense which are not properly identifiable with any operating department as defined in the system of accounts shall be accounted for in the "Other" column on the Income Statement. Supplementary listings explaining any such material items shall be submitted along with the application.

11 Ill. Adm. Code 412.40 General Notes to Financial Statements

The following notes shall be included in each application filed. This information may be set forth on the face of the application statement, in a supporting schedule or in notes appropriately captioned.

a) Summary of significant accounting policies.

1. Principles of consolidation including accounting for investments in subsidiaries not consolidated. A brief description of the principles followed in consolidating the separate financials. If there has been a change in the entities included or excluded from the previous fiscal year, state the entities and the effect.

2. Depreciation and amortization methods. State the policy followed in computing the provision for depreciation of physical property and leasehold improvements, including the method and rates used.

3. Pension and retirement plan accounting. State a brief description of the essential provisions of the plan and the related accounting and funding policies, including the cost of the plan for the year. Also state whether or not the plan has been submitted to and/or approved by the Internal Revenue Service.

4. Recognition and deferral of income taxes.

A) The following components of income tax expense shall be disclosed in the income statement or a note thereto:

i) taxes currently payable,

ii) tax effects of timing differences, and

iii) tax effects of operating losses and the net deferred investment tax credits.

B) Include a brief description of the nature of such timing differences. Include a brief statement as to the policy for accounting for investment credit.

5. Amortization of intangible assets. Include a brief statement as to the policy and method of amortization.

6. Intercompany profits and losses. Include a brief description as to the amounts and the policy for the accounting for intercompany items.

7. Deferred charges and credits. State the nature and the write-off period of any significant deferred charges.

8. Any other accounting policies that materially affect the determination of financial position, results of operation and changes in financial position.

b) Assets subject to lien. Briefly identify assets mortgaged, pledged or in any other way subject to lien.

c) Defaults. Briefly describe the nature and effect of any defaults of security agreements, indentures and loan agreements.

d) Restrictions on retained earnings. Briefly describe and give the amount of the most restrictive of any such restrictions.

e) Commitments and contingent liabilities. Disclose the amounts and nature of any significant commitments and contingent liabilities.

f) Capital stock. Describe the pertinent facts regarding any stock options, warrants or rights outstanding.

g) Any other footnotes essential to an understanding of the financial statements.

11 Ill. Adm. Code 412.50 Balance Sheet Accounts

100 Cash

This account shall include the amount of cash on hand and demand deposits in banks which are immediately available for general business purposes.

Typical Items

Working funds

Petty cash funds

Undeposited receipts

General checking accounts

Payroll checking accounts

101 Cash – Restricted, Outstanding Mutuel Tickets

This account shall include the amount of cash on hand and time and demand deposits in banks which are restricted in use, as required by the Act, for payment of outstanding mutuel tickets.

102 Special Funds

Cash on deposit in banks which is not readily available for normal business disbursements because of specific legal withdrawal restrictions (i.e., provisions of loan agreements, etc.) shall be included in this account.

110 Temporary Cash Investments

This account shall reflect the book cost of interest-bearing cash deposits and marketable securities acquired for the purpose of temporarily investing cash. Separate sub-accounts shall be maintained as described below for this account:

Accounts

Typical Items

Interest-bearing cash deposits

#111

Savings accounts, time deposits and certificates of deposit

Marketable securities

#112

U.S. Treasury bills and notes State and municipal bonds Corporate bonds, notes and stock Promissory and demand notes

120 Receivables

This account shall include amounts due from individuals or organizations, including other licensees, for sales, claims, loans and advances or other debtor obligations, but only to the extent that such amounts are expected to be realized within one year's time.

Typical Items

Uncollected rents

Overpayment of current year's income tax liability or other obligation

Accrued interest on investments

Uncollected billings or accruals under occupancy agreements or other obligation from other licensees

Substantiated claims against suppliers or public carriers

Claims against NSF checks

Loans and advances due from the licensee's officers and employees, but not expense advances (see Account #130), affiliated companies or others

Obligations in the form of notes receivable

Uncollected proceeds from property sales

Dividends receivable

This account shall be maintained in such a manner as to permit segregation and separate reporting of any component item or items in order to facilitate the more accurate identification of the aggregate of receivables where the amount(s) associated with such item(s) make up a majority of the total balance in this account.

120.1 Reserve for Doubtful Accounts

This account shall include an amount equal to anticipated collection losses and other adjustments or allowances which, in the normal course of events, will reduce the gross charge to the debtor.

Accounts which are determined to be uncollectible should be written off against the reserve, and the recoveries of accounts previously written off should be credited to the reserve.

The corresponding charge relating to the establishment of this reserve shall be made to the Other Expense Account. (See account #469 in 11 Ill. Adm. Code Section 412.70)

130 Prepayments

This account shall include the costs incurred for benefits or services not yet received, but only to the extent that such costs are expected to be realized substantially within the next year.

Typical Items

Rent

Insurance

Racing License fees

Commissions

Taxes

Inventories of supplies (i.e., office and concession supplies)

Expense advances to employees in the ordinary course of business

This account shall be maintained in such a manner as to permit segregation and separate reporting of any component item or items in order to facilitate the more accurate identification of the aggregate of "prepayments" where the amount(s) associated with such item(s) make up a majority of the total balance in this account.

140 Other Current Assets

This account shall include the amounts of all other current and accrued assets which are expected to be realized within the following year and which are not properly includable in any of the other current asset accounts as defined herein.

This account shall be maintained in such a manner as to permit segregation and separate reporting of any component item or items in order to facilitate the more accurate identification of the aggregate of "other current assets" where the amount(s) associated with such item(s) make up a majority of the total balance in this account.

150 Investments in Affiliated Companies

This account shall include the cost of capital stocks of affiliates acquired by the licensee.

In addition, such investments shall be adjusted periodically to reflect the company's proportionate share of subsequent increases or decreases in the underlying book values of such affiliates acquired. (Accounting for investments on the equity method.)

The following sub-accounts shall be maintained to provide for the accounting in this area:

Account

Underlying book value of investment

#150.1

Cost in excess of underlying book value at date of investment

#150.2

The underlying book value account shall reflect the initial cost of the acquisition as recorded on the affiliates books plus any subsequent adjustments by the association to record its share of any increases or decreases to this initial book value.

The cost in excess of underlying book value at date of acquisition account shall reflect that portion of the licensee's total cost of acquisition which exceeded the book value of the affiliate at the initial date of investment.

151 Loans and Advances Receivable From Affiliated Company

This account shall include the book amount of loans and advances made to affiliated companies but only to the extent that such loans and advances are expected to be realized after one year's time. See Account #120 for recording of loans and advances receivable within one year.

160 Property, Plant and Equipment

Sub-accounts as described below shall be maintained to reflect the cost of acquisition or construction of the licensee's owned tangible property.

Main Facilities – Plant and Track

Account

Typical Items

Land

#161

All land

Ground improvements

#162

Parking lots, walkways, landscaping, track improvements, etc.

Buildings and improvements

#163

Main plant (grandstand and mutuels building) paddock building, patrol judge towers, etc.

Machinery and equipment

#164

Trucks, tractors, office equipment, heating and cooling equipment, etc.

Furniture and fixtures

#165

Office furniture, etc.

Backstretch Facilities

Buildings and improvements

#166

Stables, barns, tack rooms, training sheds, track kitchen, detention building, recreation building, etc.

Machinery and equipment

#167

The cost of machinery and equipment used exclusively in the backstretch area.

Furniture and fixtures

#168

The cost of furniture and fixtures located in the backstretch area.

160.1 Accumulated Depreciation

This account shall reflect the accumulated provisions made for depreciation upon the licensee's owned tangible property and shall be the sum of the amounts contained in the sub-accounts shown below. See Exhibit B for reporting of applicable useful lives and method(s) of computing provisions for depreciation.

Main Facilities – Plant and Track

Account

Accumulated depreciation – ground improvements

#162.1

Accumulated depreciation – buildings and improvements

#163.1

Accumulated depreciation – machinery and equipment

#164.1

Accumulated depreciation – furniture and fixtures

#165.1

Backstretch Facilities

Accumulated depreciation – buildings and improvements

#166.1

Accumulated depreciation – machinery and equipment

#167.1

Accumulated depreciation – furniture and fixtures

#168.1

170 Leasehold Improvements

This account shall include the costs of acquisition or construction of improvements made to facilities leased by the licensee.

170.1 Accumulated Amortization of Leasehold Improvements

This account shall reflect the accumulated provisions made for amortization of leasehold improvement costs. Such provisions shall be determined on the shorter of the expected useful lives of the improvements or the remaining term of the lease.

180 Other Noncurrent Assets

This account shall include the amounts of all other noncurrent and accrued assets which are expected to be realized over the period following one year's time and which are not properly includable in any of the other noncurrent asset accounts as defined herein. For example, cash held by a licensee for payment in future years of race purses such as the purse for American National races shall be reflected in this account. Other items properly accounted for in this account shall include deferred charges and other miscellaneous assets which are unusual in nature or the proper final disposition of which is uncertain. Deferred charges is defined as the amount of charges and expenses to be assigned to future periods. Organizations expense is an example. Items in this account are distinguished from similar items classified as prepayments (see Account #130) by the reason that such charges are generally applicable over longer periods of time. Another distinction between a prepayment and a deferred charge is that a prepayment (i.e., insurance) is an amount incurred or paid for services not yet received or the benefit of which has not been fully realized – whereas a deferred charge is a cost of service or goods already received but the income against which such costs are to be matched will not be received until a future period. The write-off of deferred charges is therefore made according to recognition of income from the related projects.

200 Accounts Payable

This account shall include amounts payable to individuals or organizations, including other licensees and affiliates for receipt of an asset, service, expense incurred or other obligation, but only to the extent that such amounts are expected to be liquidated within one year.

Typical Items

Unpaid rents

Trade payables to suppliers

Unpaid billings under occupancy agreements or other obligation with other licensees or affiliates

Deposits or loans and advances payable to affiliated companies or others

Unpaid amounts on property purchases

Dividends declared but unpaid

Withholdings from employees for income and social security taxes

This account shall be maintained in such a manner as to permit segregation and separate reporting of any component item or items in order to facilitate the more accurate identification of the aggregate of "payables" where the amount(s) associated with such item(s) make up a majority of the total balance in this account.

201 Notes Payable

This account shall include amounts payable for current maturities of debt obligations for borrowed funds, such as notes or mortgages payable to banks and others, bonds or debentures.

202 Special Purse and Reward Fund

This account shall reflect the aggregate utilization of monies from the Special Purse and Reward Fund for payment of purses and awards.

203 Entry and Nomination Fees

This account shall reflect the aggregate utilization of monies from entry and nomination fee escrow accounts for payment of purses.

204 Admissions Tax

This account shall reflect the amount of state and local taxes paid relating to admissions.

205 Parking Tax

This account shall reflect the amount of local taxes paid relating to parking.

210 Accruals

This account shall reflect the total estimated liability for costs that are not immediately payable although the benefit thereon has been received in the current period. Separate sub-accounts shall be maintained as described below for this account:

Account

Typical Items

Taxes

#211

Real estate, personal property, income and other taxes

Interest

#212

Interest liability on borrowed funds

Other

#213

Salaries, vacation and holiday pay, social security

If Federal and state income taxes are significantly overpaid, the classification of such overpayment should be as a current asset. (See Account #120.)

220 Liability for Outstanding Mutuel Tickets

This account shall include the amount of outstanding mutuel tickets for which the licensee has the liability of redemption. (See Account #101.)

221 Purse Underpayment Liability

This account shall include the amount of the licensee's liability for the underpayment of purses as determined by contract with the horsemen. This account shall also include the licensee's liability for the underpayment of purses provided by the Special Purse and Reward Fund. Any purse overpayment should be recorded as an account receivable in Account #120.

230 Loans and Advances Payable to Affiliates

This account shall include the face amount of loans and advances made to the licensee by affiliated companies but only to the extent that such loans and advances are expected to be liquidated after one year's time. See Account #200 for recording of loans and advances payable within one year.

231 Long-Term Debt

This account shall include the face amount of debt obligations for borrowed funds such as notes or mortgages payable to banks and others, bonds or debentures but only to the extent that such obligations are expected to be liquidated in the period following one year's time. See Account #201 for recording of debt obligations payable within one year.

240 Deferred Income Taxes

This account shall include an amount equal to the tax differences which result from differences in timing or reporting certain transactions for income tax purposes as compared with financial reporting purposes.

For example, the application of accelerated depreciation for tax purposes and straight-line depreciation for financial reporting purposes will result in deferred income taxes equal to the tax effect of the difference in the depreciation provision resulting from the use of these two methods.

250 Other Long-Term Liabilities

This account shall include the amounts of all other noncurrent and accrued liabilities which are expected to be liquidated over the period following one year's time and which are not properly includable in any of the other noncurrent liability accounts as defined herein.

This account shall be maintained in such a manner as to permit segregation and separate reporting of any component item or items in order to facilitate the more accurate identification of the aggregate of "other noncurrent liabilities" where the amount(s) associated with such item(s) make up a majority of the total balance in this account.

260 Preferred Stock

This account shall include the par value of the state value of stock without par value.

261 Common Stock

This account shall include the par value or the stated value of stock without par value.

262 Additional Paid-In Capital

This account shall include the excess of the actual cash value of the consideration received on issues of preferred and/or common stock over the par or stated value of such stock.

263 Retained Earnings

This account shall include the balance, either debit or credit, of retained earnings arising from earnings.

263.1 Equity in Undistributed Earnings (Loss) of Affiliates

This account shall include the amount of the periodic adjustments made by the licensee to reflect its proportionate share of increases or decreases in the underlying book value of investments in affiliates.

11 Ill. Adm. Code 412.60 Income Accounts

301 Mutuel Commissions

This account shall reflect the monies legally retainable by the licensee under the applicable statute, with the exception that such commissions are to be recorded net of those monies retained due to breaks. This account shall not include applicable state privilege taxes or Special Purse and Reward Fund requirements. When minus pools occur, the payment made by the licensee to meet the public pool requirements shall be recorded as deduction from this account.

302 Race Track Improvement Fund

This account shall include only those monies deposited with the State Treasurer in the licensee's account pursuant to Section 32(b) of the Act. The state's share of the breakage generated from the racing meet is not to be recorded in this account.

303 Admissions

This account shall reflect the gross receipts from all admission sources, excluding that portion of receipts applicable to local and state taxes.

Typical Items

Grandstand and clubhouse gate receipts

Reserved seat and box seat sales and rentals

Club membership receipts

Special guest receipts

304 Concession Receipts

This account shall include all receipts from sales of food and drink as well as other concessions, such as cigarettes, novelties, field glasses rental, etc., which have occurred at the racing meeting being reported upon. Similar income received from other licensees while they are conducting racing meetings shall be recorded as "other income." (See Account #470 in 11 Ill. Adm. Code Section 412.70)

In those instances where the licensee conducting the racing meeting does not operate its own restaurant, bar or concession services, the income recorded in this account shall be equal to any commission or contract income received from the outside operators of such facilities.

305 Program Receipts

This account shall include all receipts from sales of daily race programs and pencils.

When this operation is performed by individuals or organizations other than the licensee conducting the race meet, the income recorded in this account shall be equal to any commission or contract income received from such other individuals or organizations.

306 Newspapers and Publication Receipts

This account shall include all receipts from sales of newspapers, racing publications (other than daily race programs) and tip sheets.

When this operation is performed by individuals or organizations other than the the licensee conducting the racing meet, the income recorded in this account shall be equal to any commission or contract income received from such other individuals or organizations.

307 Parking Receipts

This account shall include all receipts generated from the operation of parking facilites by the licensee conducting the racing meeting being reported upon. Similar income received from other licensees while they are conducting racing meetings shall be recorded as "other income." (See Account #470 in 11 Ill. Adm. Code Section 412.70)

In those instances where the licensee conducting the racing meeting does not operate its own parking facilities, any income received under terms of the agreement with the outside operator of such facilities shall be recorded in this account.

Typical Items

General parking lot entrance fees

Preferred parking fees

11 Ill. Adm. Code 412.70 Expense Accounts

401 Purses

This account shall reflect the aggregate actual purse distributions payable pursuant to the Act during the period of the race meeting. Separate accounts shall be maintained hereunder to identify the amounts of monies used in the payment of purses which were received from sources other than the revenues of the licensee conducting the race meeting. (See Accounts #202 and #203 in 11 Ill. Adm. Code Section 412.50)

402 Salaries and Wages – Racing

This account shall include the compensation (gross salaries and wages) to employees of the licensee in departmental areas other than concessions, programs, newspapers and publications and parking. In addition, salaries and wages which can be specifically identified as being attributable to repair and maintenance services shall not be recorded in this account. In this latter respect, the compensation of track superintendents, plant directors, etc., shall be allocated to this account unless the time spent by such individuals on supervision and direction of specific repair and maintenance projects can be identified.

Typical Items

Mutuel Department:

General Office:

Director

Controller and assistants

Manager

Clerks

Supervisors

Secretaries

Calculators

Receptionist

Sellers

Season retention employees

Cashiers

Runners

Tracks and Grounds:

Clerks

Track Superintendent

Physical plant Director

Executive Officers:

Association directors

Promotion:

President

Director of publicity and assistants

Vice president

Public relations personnel

Secretary

Treasurer

403 Salaries and Wages – Concessions

This account shall include the compensation to employees of the licensee for their services in operating restaurant, bar and concession facilities.

404 Salaries and Wagers – Programs

This account shall include the compensation to employees of the licensee for their services in selling daily race programs.

405 Salaries and Wages – Newspapers and Publications

This account shall include compensation to employees of the licensee for their services in selling newspapers, racing publications and tip sheets.

406 Salaries and Wages – Parking

This account shall include compensation to employees of the licensee for their services in operating parking lot facilities.

410 Payroll Taxes

Separate accounts shall be maintained as described below to reflect the licensee's share of social security and Federal and state unemployment compensation expense. The allocation to such accounts shall be the same as that described for Salaries and Wages.

Account

#410.1 Payroll Taxes – Racing

#410.2 Payroll Taxes – Concessions

#410.3 Payroll Taxes – Programs

#410.4 Payroll Taxes – Newspapers and Publications

#410.5 Payroll Taxes – Parking

415 Employee Benefits

Separate accounts shall be maintained as described below to reflect all costs other than salaries and wages and payroll taxes incurred by the licensee on behalf and to the benefit of its employees. The allocation to such accounts shall be the same as that described for Salaries and Wages.

Account

#415.1 Employee Benefits – Racing

#415.2 Employee Benefits – Concessions

#415.3 Employee Benefits – Programs

#415.4 Employee Benefits – Newspapers and Publications

#415.5 Employee Benefits – Parking

Typical Items

Workmen's Compensation

Pensions*

Group and life insurance

Medical, hospital, accident, sickness and death benefits or insurance*

• Includes payments to the Electrical Insurance Trustees for mutuel employees' pension and welfare funds.

420 Horsemen Welfare, Pension and General Funds

This account shall include all costs incurred by the licensee on behalf and for the benefit of horsemen operating at the racing meeting as a result of agreements and understandings with the Horsemen's Benevolent and Protective Association or the Illinois Harness Horsemen's Association.

421 Repairs and Maintenance – Racing

This account shall include the cost of labor, materials used and expenses incurred in the repair and maintenance of the race track and all the race track and backstretch structures, fixtures and general grounds other than those associated with concession (i.e., restaurant and bar) and parking lot operations. As a general rule, maintenance operations shall be construed as those operations required year-round, as opposed to those operations limited to the period of the racing meeting. For example, the cost of cleaning race track stands is not properly includable in this account as a maintenance expense because the incurrence of such cost is limited to the period of the racing meeting. Therefore, if the cleaning was performed by an employee of the licensee, the related labor cost would be accounted for either as wages of the racing operation or as contractual services of the racing operation if the work was performed by a labor force outside the employ of the licensee. However, if an outside labor force was contracted with to perform a service on a year-round basis, such as the upkeep of the general grounds, the associated cost would be properly accounted for in this account rather than as outside service. (See Account #440.)

If total costs of labor, materials used or expenses incurred under certain circumstances require allocation as to amounts applicable to repairs and maintenance, such allocation must be valid and accurate. If the accounting required for such allocation is not reasonable under the circumstances, then the costs in question shall be included in other appropriate accounts herein identified as relating to racing operations.

422 Repairs and Maintenance – Concessions

This account shall include the cost of labor, materials used and expenses incurred which are specifically identifiable as repairs and maintenance to food- and drink-related facilities (e.g., restaurant, bar and concession structures and fixtures).

423 Repairs and Maintenance – Parking

This account shall include the cost of labor, materials used and expenses incurred which are specifically identifiable as repairs and maintenance to parking lot facilities.

425 Depreciation

The accounts described below shall include the amount of depreciation expense which has been incurred during the year as determined by the nature and estimated useful life and salvage value of the property involved. Such accounts shall only be utilized by those licensees who own the land and plant facilities used in the conduct of their racing meetings.

Account

Items

#425.1

All race track buildings, structures, equipment, furniture and fixtures except as set forth below

Depreciation – Racing

#425.2

Restaurant, bar and concession equipment, furniture and fixtures

Depreciation – Concessions

#425.3

Parking lot structures and improvements.

Depreciation – Parking

430 Amortization of Leasehold Improvements

The accounts described below shall include the amount of amortization expense incurred during the year on facilities erected or installed by licensees on leased facilities used in the conduct of their racing meetings. Useful lives used in the determination of such expense shall be the shorter of the expected useful life of the facilities or the remaining term of the lease.

Account

Amortization of Leasehold Improvements

Items

#430.1

Racing

All race track buildings, structures, equipment, furniture and fixtures except as set forth below

#430.2

Concessions

Restaurant, bar and concession equipment, furniture and fixtures

#430.3

Parking

Parking lot structures and improvements.

435 Track Rental

This account shall include all costs incurred under terms of a lease agreement or contract for the use of land or facilities necessary to the conduct of the race meeting being reported upon. However if, for example, the lessee is required to pay real estate taxes under terms of the lease, such expenses shall be accounted for as "Other Taxes" (see Account #455) rather than as components of this account.

436 Equipment Rental

This account shall include all equipment rent expenses.

Typical Items

Totalisator

Closed-circuit monitoring

Starting gate

Electronic timer

Photo-finish

Automatic transcribing equipment

Money counters

Office equipment

440 Outside Services

Separate accounts shall be maintained by the operating areas described below to reflect the expense incurred by the licensee for services rendered by others.

Account

Typical Items

#440.1

Outside Services – Racing

Consulting services

Legal and audit

Ambulance service

Race patrol services

Illinois Department of Law Enforcement – Investigative Services Division

Burn security services

Andy Frain ushers

Armored-car services

Computer services

Tameling and disposal services

Radio and TV coverage

#440.2

Outside Services – Concessions

Expenses under lease with outside operators

#440.3

Outside Services – Programs

Expenses under lease with outside operators

#440.4

Outside Services – Newspapers and Publications

Expenses under lease with outside operators

#440.5

Outside Services – Parking

Expenses under lease with outside operators

445 Costs of Items Sold

Accounts shall be maintained for the operating areas described below to reflect the costs of items sold by the licensee during the operation of its racing meeting.

Account

Typical Items

#445.1

Cost of Concessions Sold

Cost of food, drink, cigarettes and novelties

#445.2

Cost of Programs Sold

Cost of programs

#445.3

Cost of Newspapers and Publications Sold

Cost of newspapers, racing publications and tip sheets

450 Licenses

Separate accounts shall be maintained by the operating areas described below to reflect the license fee expense incurred.

Account

Items

#450.1

Licenses – Racing

License fees required by statute to accompany the application for racing dates and for racing days granted.

#450.2

Concessions

License fees (if any) paid by the licensee for the privilege of operating restaurant and bar facilities

455 Other Taxes

Separate accounts shall be maintained by the operating areas described below to reflect all tax expenses which were incurred by the licensee in addition to payroll and income tax expenses.

Account

Items

#455.1

Other Taxes – Racing

Real estate, personal property and other advalorem taxes.

#455.2

Other Taxes – Concessions

Sales taxes on sales of food and drink.

460 Utilities

This account shall include the cost incurred by the comsumption/utilization of heat, light, power and water as well as telephone and telegraph costs.

461 Insurance

This account shall include all insurance expenses incurred by the licensee in addition to those insurance expenses accounted for a "Employee Benefits."

462 Advertising

This account shall include all advertising and publicity costs incurred in addition to those accounted for as "Salaries and Wages" or "Contractual Services."

Typical Items

Newspaper, television, radio and magazine costs

Photography and artwork

Public relations fees

Pass and special promotions

463 Contributions

This account shall include the amount of all contributions or donations made by the licensee for charitable, social or community welfare purposes.

464 Subscriptions and Dues

This account shall be used to account for all disbursements made in payment of membership dues.

Typical Items

Harness Tracks of America

Racing Association of Illinois

465 Breeders Awards and Trophies

This account shall reflect the total of all awards and trophies distributed by the licensee to breeders of horses.

466 Travel and Entertainment

This account shall include all expenses incurred by the licensee during the fiscal reporting period for transportation of its officers and employees and for the entertainment of individuals in connection with the business of making application for conducting and operating the racing meeting.

467 Printing and Stationery

This account shall include the cost and expense incurred for publications and pamphlets used by the licensee in it operations.

Typical Items

Condition books

Notices to horsemen

468 General Supplies

This account shall reflect the expense incurred for those supplies normally consumed in the administration and operation of the licensee's operations.

Account

Typical Item

#468.1

Racing

Office Supplies

Clean Supplies

Gas, oil, grease, etc.

Badges and tickets

Postage

#468.2

Concessions

Miscellaneous supplies (e.g., ice, laundry, etc.)

469 Other

This account shall include all other costs of labor, materials supplied or expenses incurred in connection with the operation of the racing meeting which are not properly accounted for elsewhere in the accounts.

Account

Typical Items

#469.1

Racing

Uncollectible checks

Cash over and short

Jockey Guild assessment

Bad debts

Amortization of organization expense

470 Other Income

This account shall include those revenues which by their nature are not identifiable as being the direct result or benefit of the business of conducting a racing meeting.

Typical Items

Rental income –

Race Track

Equipment

Stable areas

Outdoor billboards

Stalls

Interest income –

On advances made to affiliated companies

Investments

Gain on sales –

Equipment

Marketable securities

Insurance recoveries

Dividends

Equity in undistributed earnings of subsidiaries

Refunds

476 Other Expense

This account shall include those costs and expenses which by their nature are not identifiable as being directly related to the operation of racing meetings.

Typical Items

Interest charges –

Parent company

Affiliated companies

Loss on sales –

Equipment

Marketable securities

Trustees' fees and expenses

480

and

481 Federal and State Income Taxes

Accounts shall be maintained for the operating areas listed below to reflect the amount of Federal or state income taxes necessary to meet the actual liability for such taxes incurred as a result of operations in these specific areas for the period covered by the income statement. Such taxes should be computed on a basis from which the income and deductions originated.

Account

#480.1

Federal Income Taxes – Racing

#480.2

Federal Income Taxes – Concessions

#480.3

Federal Income Taxes – Programs

#480.4

Federal Income Taxes – Newspapers and Publications

#480.5

Federal Income Taxes – Parking

#481.1

State Income Taxes – Racing

#481.2

State Income Taxes – Concessions

#481.3

State Income Taxes – Programs

#481.4

State Income Taxes – Newspapers and Publications

#481.5

State Income Taxes – Parking

482 Provision for Deferred Income Taxes

Accounts shall be maintained for the operating areas listed below to reflect an amount equal to that by which income taxes payable on book income for the current year are decreased because of the current deduction for income tax purposes of accelerated depreciation, amortization and other timing differences. Reference should be made to the instructions for Account #240 in 11 Ill. Adm. Code Section 412.50

Account

#482.1

Provisions for Deferred Federal and State Income Taxes – Racing

#482.2

Provisions for Deferred Federal and State Income Taxes – Concessions

#482.3

Provisions for Deferred Federal and State Income Taxes – Programs

#482.4

Provisions for Deferred Federal and State Income Taxes – Newspaper and Publications

#482.5

Provisions for Deferred Federal and State Income Taxes –Parking

483 Income Taxes Deferred in Prior Years

Accounts shall be maintained for the operating areas listed below to reflect an amount equal to that by which income taxes payable for the current year are attributable to a deferral of taxes on income in a prior year. (See Account #240 in 11 Ill. Adm. Code Section 412.50)

Account

#483.1

Federal and State Income Taxes Deferred in Prior Years – Racing

#483.2

Federal and State Income Taxes Deferred in Prior Years – Concessions

#483.3

Federal and State Income Taxes Deferred in Prior Years – Programs

#483.4

Federal and State Income Taxes Deferred in Prior Years – Newspaper and Publications

#483.5

Federal and State Income Taxes Deferred in Prior Years

485 Extraordinary Gains and Losses

This account shall include those material gains and losses associated with events and transactions which by their underlying nature are of a character significantly different from the normal business activities of the licensee. Such events and transactions are, by definition, non-recurring factors not to be considered in the evaluation of normal business operations.

Typical Items

Sale of significant segment of the business

Sale of an investment not acquired for resale

Significant uninsured losses due to fires, floods, etc.

Significant lawsuit losses, etc.

Part 415 Programs

11 Ill. Adm. Code 415.10 Required Information

Programs shall contain the following information:

a) A statement that the race meeting is conducted pursuant to a license issued by the Board and pursuant to the rules and regulations of the Board.

b) The address and telephone number of the central office of the Board.

c) The names of the Board members, the officers and directors of the organization licensee, and Board and track racing officials.

d) The post time of the first pari-mutuel race of each program.

e) A symbol identifying the horses that have been administered furosemide prior to each race and a statement identifying horses that have been administered furosemide for the first time.

f) A notice specifying the exact location of information and/or complaint window or windows for the convenience of the patrons. A statement that the Illinois Racing Board rules and complaint forms are available at the information and/or complaint window and at the office of the Illinois Racing Board.

g) A clear, conspicuous statement of the racing organization's election to impose a surcharge under Section 26.3 of the Horse Racing Act of 1975.

h) A brief description of the pari-mutuel wagering system.

i) A statement that wagers are to be made by program number and not by post position.

j) A statement that pay-offs are not permitted until the stewards have notified the pari-mutuel department of the official order of finish. A statement that tickets should be retained until the official results have been posted.

History

• Source: Amended at 41 Ill. Reg. 4337, effective April 7, 2017

11 Ill. Adm. Code 415.20 Supply Information for Patrons (Repealed)

History

• Source: Repealed at 18 Ill. Reg. 17756, effective November 28, 1994

Chapter I Illinois Racing Board

Subchapter b Rules Applicable to Organization Licensees

Part 415 Programs

11 Ill. Adm. Code 415.30 Thoroughbred Programs

a) At all thoroughbred meetings, the program shall contain at least the following information for each horse: name, sex, color, and age or year foaled; sire and dam; owner's name and colors; trainer's name; post position and program number; jockey's name and the weight to be carried. For each race, the purse and the conditions of the race, including the distance, shall be specified.

b) The program shall describe any change with respect to blinker equipment from that carried in the horse's previous race, or if any horse races without whip.

c) In the event an organization licensee elects to provide past performance or chart lines in its program, and if any horse entered to race has competed in an "optional claiming race", that chart line shall appear in the published past performance.

History

• Source: Amended at 18 Ill. Reg. 17756, effective November 28, 1994

11 Ill. Adm. Code 415.40 Harness Programs

a) At all harness meetings, the program shall contain at least the following information for each horse: name, sex, color and age; sire and dam; owner's name and trainer's name; driver's name and colors. For each race, the purse and the conditions of the race, including the distance, shall be specified.

b) The following additional information will be furnished:

1. Six performance lines of the current year if the horse has started six times at that gait.

2. Identification of drivers racing with a provisional license.

3. Identification of pacers racing without hopples.

4. A summary of starts in purse races, earnings, and best win time for the current and preceding year, whether earned in a purse or non-purse race but not in a time trial.

5. Accurate performance or chart lines, including qualifying races, shall show: date of race; race track; size of the track if other than a half-mile; symbol for free-legged pacer; track condition; type of race; distance; the fractional times of the leading horse including finish time; post position; position at one-quarter; one-half; three-quarters; stretch with lengths behind leader; finish with lengths behind leader; individual time of the horse; closing odds; name of the driver; names of the horses placed first, second and third; and, where appropriate, workouts ordered by the stewards or judges. The standard symbols for "breaks" and horses "parked out" shall be used where applicable.

History

• Source: Amended at 18 Ill. Reg. 17756, effective November 28, 1994

Chapter I Illinois Racing Board

Subchapter b Rules Applicable to Organization Licensees

Part 415 Programs

11 Ill. Adm. Code 415.50 Quarterhorse Programs

a) At all quarterhorse meetings the program shall contain at least the following information for each horse: name, sex, color, and age or year foaled; sire and dam; owner's name and trainer's name; post position and program number; jockey's name and, the weight to be carried; the purse and the conditions of each race, including the distance.

b) The following additional information will be furnished:

1. The five most recent performance lines including: date of race; race track; number of race; distance of race; winning time; track condition; closing odds; weight carried; order of finish; jockey; type of race; speed rating; horse's time; names of the horses placed first; second and third; number of horses in race.

2. Summary of starts in purse races and earnings in present and previous year.

3. The program shall describe any change with respect to blinker equipment from that carried in the horse's previous race.

History

• Source: Amended at 18 Ill. Reg. 17756, effective November 28, 1994

11 Ill. Adm. Code 415.60 Availability of Programs

Every licensee shall provide programs for each day of operation. In the event the supply of programs for any day of operation becomes depleted, the licensee shall provide photocopies, free of charge, to those patrons requesting programs. Failure to supply photocopies of the programs may result in a civil penalty, not to exceed $1,000. For subsequent violations of this rule, the civil penalty shall be double the amount of the preceding penalty. Civil penalties shall not be assessed when extenuating circumstances exist (e.g., breakdown of equipment). This Section shall be prominently displayed at each location where programs are sold.

History

• Source: Added at 16 Ill. Reg. 7486, effective April 24, 1992

11 Ill. Adm. Code 415.70 Distribution of Programs

Each organization licensee shall provide electronic transmission of program information to all intertrack licensees and intertrack location licensees at least 24 hours before the scheduled post of the first race of its racing program.

History

• Source: Amended at 21 Ill. Reg. 12208, effective September 1, 1997

Part 420 Sanitation Rules

11 Ill. Adm. Code 420.5 Compliance with Standards

The tackrooms and sanitary facilities for backstretch personnel at every race track shall comply with the standards set forth in the Illinois Migrant Labor Camp Law and the revised rules and regulations of the Illinois Department of Public Health where applicable and where local laws affecting the backstretch and its personnel are silent or less stringent than the aforementioned standards.

11 Ill. Adm. Code 420.10 Cleaning of Facilities

Each sanitary facility, toilet, sink, and shower shall be thoroughly cleaned twice daily. All sanitary facilities shall be maintained in operable condition. Inoperable facilities shall be made operable within 48 hours. The schedule of cleaning and the contractor or supervisory employee by whom such cleaning is to be performed shall be furnished to the Board at least 30 days prior to the commencement of a racing meet.

11 Ill. Adm. Code 420.20 Equipment Requirements

Sanitary facilities shall include shower curtains, mirrors, adequate lighting, and a continuous supply of toilet tissue.

11 Ill. Adm. Code 420.30 Cleaning and Inspection Requirements

Tenants shall be instructed by the association to clean their rooms daily and to have them available for inspection upon demand by an appropriate official of the association, municipality, or a duly appointed representative of the Board.

11 Ill. Adm. Code 420.40 Separate Compartments for Toilets

Each toilet (closet) shall occupy a separate compartment which shall be equipped with a door, a latch, and a clothes hanger.

11 Ill. Adm. Code 420.50 Closing Devices for Toilet Doors

The door to every toilet room shall be fitted with an effective self-closing device.

11 Ill. Adm. Code 420.60 Shower Compartments

Shower compartments shall have walls constructed of smooth, noncorrosive, and nonabsorbent waterproof material to a height of not less than 6 feet above the floor.

11 Ill. Adm. Code 420.70 Records for Inspection

Each association shall have at the stable gate and security office for inspection by proper authorities the following information:

a) Total number of tackrooms per barn;

b) Total number of persons of each sex per barn occupying such tackrooms, including the names of the occupants;

c) Total number of rooms per barn for feed and equipment.

Part 422 Approval of Racing Officials

11 Ill. Adm. Code 422.10 Racing Officials

a) Each organization licensee shall submit to the Board for its approval or disapproval the names of all persons whom the licensee has selected as racing officials or employees whose duties relate to the actual running of the races. The list shall include, when applicable, the following thoroughbred and harness racing officials:

Association Steward

Marshal or Outrider

Racing Secretary

Timer

Assistant Racing Secretary

Clerk of the Scales

Patrol Judges

Clerk of Course

Placing Judges

Track Veterinarian

Paddock Judges

Track Superintendent

Starter

Mutuel Manager

Program Director

Director of Security

General Manager

b) The list of names shall be submitted to the Board in writing at least 20 days prior to the opening of any race meeting and the list shall indicate whether the nominee has previously been employed at any Illinois race track. No racing official shall participate in a race meeting without an occupation license.

c) The organization licensee shall file a completed application and resume for each nominee who was not previously approved by the Board as a racing official.

d) The Board's approval or disapproval of the racing officials selected by the organization licensee shall be based on the standards and guidelines set forth in Section 15(c) and (d) of the Act for denial, suspension and revocation of an occupation license.

e) The Board shall act on the organization licensee's list of officials at a meeting of the Board. If Board staff recommends disapproval of an official, the organization licensee shall be notified of the recommendation in advance of the Board meeting.

History

• Source: Amended at 42 Ill. Reg. 20115, effective November 1, 2018

11 Ill. Adm. Code 422.20 Approval of New Officials (repealed)

History

• Source: Repealed at 42 Ill. Reg. 20115, effective November 1, 2018

11 Ill. Adm. Code 422.30 Standards for Approval and Disapproval of Officials (repealed)

History

• Source: Repealed at 42 Ill. Reg. 20115, effective November 1, 2018

11 Ill. Adm. Code 422.40 Recommendation of Board (repealed)

History

• Source: Repealed at 42 Ill. Reg. 20115, effective November 1, 2018

11 Ill. Adm. Code 422.50 Suspension and Removal of Officials

The Board may suspend or remove a racing official. The Board's action in the suspension or removal of a racing official shall be based on the standards and guidelines set forth in Sections 37-15(c) and (d) of the Act for denial, suspension, and revocation of an occupation license.

11 Ill. Adm. Code 422.60 Conflict of Interest Provisions

No person shall serve or act as a racing official of a race meeting if that person holds an occupation license at that same meeting as an owner, trainer, jockey, driver, blacksmith, veterinarian, or vender, except that the disqualification, as an owner, shall not apply to the general manager where there is full disclosure of such ownership to the Board.

11 Ill. Adm. Code 422.70 Emergency Approval

If a racing official approved by the Board becomes incapacitated or is unable to perform his/her duties, the stewards shall approve an emergency appointment. Such approval shall be based on the standards set forth in Section 422.30 and shall be immediately reported to the Board for consideration at the next Board meeting. If the emergency appointee has not previously been considered by the Board, the organization licensee shall comply with Section 422.20.

History

• Source: Amended at 16 Ill. Reg. 13069, effective August 10, 1992

11 Ill. Adm. Code 422.80 Physical Examination

The Board may request any person whose name is proposed as a racing official to submit to a physical examination and to forward the results of said examination to the Board. The request will be made only where there is a reasonable basis for suggesting that the person's physical condition would hinder or prevent him/her from performing his/her duties as a racing official.

11 Ill. Adm. Code 422.90 Officials Approved by the Stewards

a) The organization licensee shall submit to the stewards for their approval or disapproval the names and complete license applications of all persons whom the organization licensee has selected as racing officials or employees whose duties relate to the actual running of the races.

b) Stewards shall approve or disapprove the nominees based on the standards set forth in Section 422.30.

History

• Source: Amended at 16 Ill. Reg. 13069, effective August 10, 1992

11 Ill. Adm. Code 422.100 Occupation License (repealed)

History

• Source: Repealed at 42 Ill. Reg. 20115, effective November 1, 2018

11 Ill. Adm. Code 422.110 Penalties

For each violation of this Part 422, the Board shall impose a civil penalty of up to $1,000 against individuals and up to $10,000 against organizations. When imposing penalties, the Board shall consider all factors in aggravation or mitigation of the offense including, but not limited to, the degree of culpability; the offender's record, if any, of previous violations, and the damage to the state.

History

• Source: Amended at 16 Ill. Reg. 13069, effective August 10, 1992

Part 423 Prohibited Conduct

11 Ill. Adm. Code 423.10 Dishonored Check

A licensee who pays a license fee, fine or other claim to the Board with a check, cashier's check or money order that is returned unpaid or dishonored shall be suspended until the amount of the check, cashier's check or money order is paid in full.

History

• Source: Added at 38 Ill. Reg. 21232, effective November 1, 2014

11 Ill. Adm. Code 423.20 Sale of Products

a) No Board member, employee or appointee of the Board or racing official approved by the Board (see 11 Ill. Adm. Code 422) shall directly or indirectly, upon the grounds of any organization licensee, offer to sell, solicit sales for, or distribute any product in which such person has a beneficial interest, or who may receive compensation from the promotion, sale or distribution of such product. For the purpose of this Section, a horse shall not be considered a product.

b) The prohibitions in subsection (a) of this Section shall not apply to ownership interests in concessionaires (defined in 11 Ill. Adm. Code 402.10) by racing officials so long as such ownership interests are disclosed to the Board in the application for a concessionaire's license.

11 Ill. Adm. Code 423.30 Political Contributions

No organization licensee or concessionaire or officer, director or holder or controller of 5% or more legal or beneficial interest in any organization licensee or concession shall make any sort of gift or contribution of any kind or pay or give any money or other thing of value to any person who is a public official, or a candidate or nominee for public office. [230 ILCS 5/24] Violation of this Section shall be grounds for revocation or suspension of license, revocation or denial of racing dates, or any other appropriate remedy.

History

• Source: Added at 29 Ill. Reg. 8409, effective June 1, 2005

Part 425 Race Track Security and Contracting Goals

11 Ill. Adm. Code 425.10 Jockey Room and Driver Room Security

The organization licensee shall station a security guard at the entrance and exit of all jockey rooms and drivers rooms one hour prior to the first race of each racing program continuously until ½ hour after the end of the final race of that program has been made official. Where the physical location of the buildings permits the guard to observe both the paddock and the jockeys room or drivers room, the organization licensee will not be required to hire an additional guard in order to comply with this Section.

History

• Source: Section 425.10 renumbered from Section 425.150 and amended at 41 Ill. Reg. 12853, effective October 1, 2017

11 Ill. Adm. Code 425.20 Contracting Goals for Organization Licensee or Inter-Track Wagering Licensee

a) Definitions. For purposes of this Section:

1. "Act" means the Illinois Horse Racing Act of 1975 [235 ILCS 5].

2. "Contract" is an agreement for the provision of goods and services.

3. "Dollar Percentage" is the percentage of the total dollar value of an organization licensee's or inter-track wagering licensee's vendor contracts with minority owned businesses, female owned businesses, or businesses owned by a person with a disability during a calendar year, compared to the total dollar amount of all vendor contracts entered into during that calendar year, except for contracts covered under subsection (b)(2).

4. "Emergency" is a situation in which one or more of the following have occurred or are at imminent risk of occurring:

A) Damage or disruption to all or part of an organization or inter-track wagering licensee's operation; or

B) Danger to the health, safety, comfort or welfare of patrons or employees.

b) For each calendar year, the Board shall establish contracting goals, as defined in subsection (a)(3), for each organization licensee or inter-track wagering licensee, expressed as a dollar percentage as defined in subsection (a)(3). Contracting goals shall be established for minority owned businesses, female owned businesses, and businesses owned by persons with disabilities. Each organization licensee or inter-track wagering licensee shall make every effort to meet the goals established by the Board.

1. By November 1 of each calendar year, each organization licensee or intertrack wagering licensee shall submit to the Board proposed contracting goals for the coming calendar year for minority owned businesses, female owned businesses and businesses owned by persons with disabilities. The Board may conduct fact-finding hearings to determine the appropriateness of a proposed contracting goal.

2. When setting the goals for the award of contracts, the Board, in addition to those listed in Section 12.2(b) of the Act, shall not include contracts entered into in response to an emergency.

3. An organization licensee or inter-track licensee may satisfy its goal for the award of contracts, in whole or in part, by counting the total dollar amount of first and second tier subcontracts and purchase orders to businesses certified as vendors under the Business Enterprise for Minorities, Females, and Persons with Disabilities Act [30 ILCS 575] or by any other certifying agency approved by the Board.

c) If the Board determines that its goals and policies are not being met by an organization licensee or inter-track wagering licensee, then the Board may, in addition to the remedies listed in Section 12.2(e) of the Act, also recommend remedies for those violations.

d) The Board shall not establish any type of quota in connection with its enforcement of Section 12.2 of the Act.

e) By January 31 of each year, each organization licensee or inter-track wagering licensee shall file with the Board an annual report required pursuant to Section 12.2(c) of the Act.

f) The dollar percentages for an organization licensee or inter-track wagering licensee shall be determined according to the data in the organization licensee's or inter-track wagering licensee's annual report submitted to the Board under subsection (e).

History

• Source: Added at 41 Ill. Reg. 12853, effective October 1, 2017

11 Ill. Adm. Code 425.150 Jockey Room and Driver Room Security (renumbered)

History

• Source: Section 425.150 renumbered to Section 425.10 at 41 Ill. Reg. 12853, effective October 1, 2017

Part 432 Totalizator System Licensees

11 Ill. Adm. Code 432.10 Criteria for Eligibility

An application for an occupation license as an operator of a totalizator system shall:

a) have a contract to provide a totalizator system with an organization, or inter-track wagering licensee; and

b) either have operated a totalizator system at a pari-mutuel race meeting in Illinois for at least three years prior to the effective date of these rules; or

c) provide the Illinois Racing Board (Board) evidence that the applicant has the experience and expertise to operate a totalizator system at the race meeting at which the applicant proposes to participate in Illinois racing. Such evidence shall include, but not be limited to, a demonstration that the applicant can comply with 11 Ill. Adm. Code 433.

11 Ill. Adm. Code 432.20 License Application

a) An application for a license to operate as a totalizator system licensee shall be made on forms furnished by the Board.

b) One original and ten copies of the application shall be filed at the Board's central office at 100 W. Randolph St., #11-100, Chicago, IL 60601.

c) The applicant shall submit $25.00 for a one-year license fee.

d) The applicant shall submit with the application copies of all contracts with organization licensees and instruments evidencing any indebtedness between the applicant and any and all organization licensees.

e) If circumstances change or events occur after the filing of an application, the applicant shall submit an amendment to the Board. Examples of such changes include, but are not limited to, a change of corporate officers, the signing of additional contracts with organization, or inter-track wagering licensees.

11 Ill. Adm. Code 432.30 Time of Filing an Application

a) Applications for an occupation license as a totalizator system licensee shall be filed 60 days prior to the opening of the first racing meet, or inter-track wagering meet, during a calendar year at an Illinois race track at which the applicant seeks to participate in Illinois racing.

b) The Board may, in its discretion, upon good cause shown, receive applications for an occupation license to operate as a totalizator system licensee at a date subsequent to the date of a totalizator contract fewer than 60 days prior to the opening of a meet. Good cause means a change in ownership of totalizator licensee; upgrading a totalizator; changes in the financial position of a totalizator system licensee, such as, but not limited to, the dissolution or bankruptcy of the totalizator system licensee; or the impossibility of a licensee to furnish equipment for an upcoming racing or inter-track meet.

11 Ill. Adm. Code 432.40 Application from Corporation

A corporation applicant for a license as a totalizator system licensee shall disclose the names and business addresses of its directors, officers, and the owners of any legal or beneficial interest of five percent of more of the corporation. If the corporation is owned, in whole or in part, by another corporation, such disclosure shall be made for such other corporation and for the owners of 25% or more of the equity of such other corporation.

11 Ill. Adm. Code 432.50 Grounds for Denial of an Application

The Board may deny an application for an occupation license as a totalizator system licensee based on the rules contained in 11 Ill. Adm. Code 502.60 through 502.110. An applicant whose application for a license is denied may request a hearing pursuant to 11 Ill. Adm. Code 204.

11 Ill. Adm. Code 432.60 Change of Officers or Directors

Within 15 days after election, appointment or resignation of an officer or director of a licensed totalizator system, the totalizator system licensee shall notify the Board in writing of the identity of each new or resigned officer or director and shall file a disclosure statement for each person.

11 Ill. Adm. Code 432.70 License Deemed Personal

Licenses to operate totalizator systems are deemed personal in nature and non-transferable, and will terminate upon a substantial change of ownership of the totalizator company unless the Board grants approval of the substantial change of ownership. The sale or transfer of 25% or more of the equity of a totalizator company shall be considered a substantial change or ownership. In acting upon a request for approval of a substantial change in ownership, the Board shall consider the same factors as it considers in the initial grant of an occupation license to an applicant for a totalizator system license.

Part 433 Totalizator Operations

11 Ill. Adm. Code 433.10 Definitions

In addition to those definitions provided in 11 Ill. Adm. Code 401, the following definitions shall apply to this Part:

Act means the Illinois Horse Racing Act of 1975 (Ill. Rev. Stat. 1985, ch. 8, par. 37-1 et seq.)

advance wagering means any wagering on a race or races to be conducted during a racing program before the next scheduled race.

bet and wager, as used in this Part, are synonymous.

Board means Illinois Racing Board (Board).

cancelled ticket means a ticket which represents a wager which has been cancelled and withdrawn from the pari-mutuel pools.

cashed ticket means any pari-mutuel ticket which is refunded or which is presented for payment of a winning wager and is paid.

cashier accounting means the record of teller activity by transaction and time of transaction.

central processing unit or C.P.U. means the main computer which controls and stores both programs and data.

computer log library means a record of all operator initiated actions of the transaction processor.

console means the totalizator status monitor which displays current race pool status information.

issued ticket means a wager for which the ticket issuing machine produced a hard copy.

organization licensee as used herein applies to an organization licensee conducting a race meeting, an intertrack wagering licensee conducting simulcast wagering, or an intertrack wagering location (teletrack).

Pari-Mutuel Auditor or PMA is a member of the Board's Pari-Mutuel Audit Unit.

Pari-Mutuel Audit Unit or PMA unit means the pari-mutuel auditors and the State Director of Mutuels.

refunded ticket means a ticket which has been refunded for the value of a wager that is no longer valid, e.g., when a horse has been scratched or the wagering cancelled.

ticket issuing machine or T.I.M. means a machine which prints hard copies of wagers.

totalizator is sometimes abbreviated herein as "tote"

totalizator system licensee means any person, corporation, company, association or any other entity which sells, leases, or operates totalizator equipment and is licensed by the Board pursuant to 11 Ill. Adm. Code 432.

tote room means the room at a race track in which the totalizator system's computer is housed.

utilities means programs that are provided by computer vendors to perform tasks such as duplication of program tapes, modification of master files, and access to passwords.

11 Ill. Adm. Code 433.15 Purpose

The Part is designed to permit the Board to perform its statutory duty to supervise the pari-mutuel wagering system, to collect the taxes prescribed in the Act and to protect the wagering public. To this end, this Part establishes clear lines of responsibility between the organization licensee's pari-mutuel department and the totalizator system licensee and its employees, as well as detailing the duties and responsibilities of the Pari-Mutuel Audit Unit. This Part also requires security and backup procedures.

11 Ill. Adm. Code 433.20 Pari-Mutuel Audit Unit

The Pari-Mutuel Audit Unit shall be supervised by the State Director of Mutuels. The Pari-Mutuel Audit Unit is hereby delegated the responsibility of representing the Board in the supervision and verification of the pari-mutuel wagering pool totals for each racing day and for each program, which verification shall be the basis for computing state privilege taxes, organization commissions and purses. The Pari-Mutuel Audit Unit shall also assist the Board and the stewards in investigation of alleged violations of the Act and of the rules of the Board.

11 Ill. Adm. Code 433.25 Access to Totalizator and Pari-Mutuel Facility

a) To accomplish the duties set forth herein, the Pari-Mutuel Audit Unit is given the power to enter, during normal business hours of the organization licensee of the totalizator system licensee, all rooms and facilities on the grounds of the race track used by, or in connection with, the operation of the pari-mutuel department and the totalizator system.

b) The Executive Director of the Board shall authorize other Board employees to enter such facilities in accordance with paragraph 37-9(c) of the Act. (Ill. Rev. Stat. ch. 8, par. 37-9(c)(1985)).

11 Ill. Adm. Code 433.30 Work Area for Pari-Mutuel Auditors

Each organization licensee shall provide a work area for use by the PMA. This work area shall:

a) be located not more than 150 feet from the entrance of the tote room;

b) permit unrestricted entry to the totalizator facilities, particularly computer data entry devices, such as control desk consoles, inside tote board, or closed circuit television monitor of the outside tote board whichever is used, and printers;

c) include locking file cabinets within the work area or other locking storage facilities, which can store computer printouts or magnetic tape and are sufficient in size to handle all state controlled wagering records for each individual organization licensee for a period of one year for the sole use of Board representatives;

d) include a video and audio device which enables the PMA to receive the same information as the patrons;

e) include power outlets to operate electronic equipment; and

f) include a telephone.

11 Ill. Adm. Code 433.35 System Failure

a) Any failure of tote equipment at any facility shall be reported immediately to the state stewards, pari-mutuel auditor and the mutuel manager for the host track involved and the general manager at all affected facilities. The totalizator system licensee shall keep the state stewards and the pari-mutuel auditor advised of the efforts to correct such failure. If it is determined that the failure cannot be corrected, the stewards shall order a cancellation of wagering for that program and the refund of affected wagers. The stewards shall have the authority to permit some, or all of the remaining races to be contested as non-wagering exhibitions, having taken into consideration factors such as, but not limited to, the purse, the amount of wagering, and the time required to repair the totalizator system.

b) The general manager at all affected facilities shall file a written report with the State Director of Pari-Mutuels no later than 7 days thereafter detailing the reasons for the failure.

History

• Source: Amended at 15 Ill. Reg. 2736, effective February 5, 1991

11 Ill. Adm. Code 433.45 Scientific Advancements

a) An organization licensee, intertrack wagering licensee, intertrack wagering location licensee or totalizator system licensee may petition the Board for permission to effect technological improvements, provided:

1. a written application is first submitted to the Board in compliance with 11 Ill. Adm. Code 206.10 describing, in detail, the purpose, nature, and extent of the requested technological changes;

2. actual demonstrations of the new technology are presented to the State Director of Mutuels; and

3. a report of the State Director of Mutuels, analyzing and evaluating the actual demonstration is submitted to the Board.

b) If the petition complies with this Section and if the new technology described therein will significantly improve the efficiency, including but not limited to, the speed or accuracy of either the existing wagering system or the Board's pari-mutuel audit function, the Board may approve the implementation of the improvement.

c) Notwithstanding the provisions of subparagraph (a) hereof, the Board may order an organization licensee, intertrack wagering licensee, intertrack wagering location licensee and/or a totalizer system licensee to implement any available technological improvements that will satisfy the provisions of subsection (b).

History

• Source: Amended at 18 Ill. Reg. 7443, effective May 8, 1994

11 Ill. Adm. Code 433.50 Filings

Whenever this Part requires a document to be filed with the Board, the Executive Director of the Board, the State Director of Mutuels, or the Pari-Mutuel Audit Unit, such document shall be filed at the Board's central office at 100 W. Randolph St., Suite 11-100, Chicago, Il. 60601

11 Ill. Adm. Code 433.55 Standards

In administering this Part, where Board employees are given the authority to request information or otherwise to exercise discretion, in addition to the criteria specifically set forth in the Act and in this Part, Board employees shall only make such requests when necessary for:

a) the supervision and verification of pari-mutuel wagering pool totals;

b) the collection of the taxes prescribed by the Act;

c) the performance of an audit of an organization licensee's financial records;

d) the investigation of wagering or racing research requested by the Board.

11 Ill. Adm. Code 433.60 Cashed Tickets

Each organization licensee shall maintain facilities and enforce procedures which ensure the security of cashed tickets and the integrity of outstanding ticket records. Such security requirements shall include, but not be limited to, the following:

a) Cashed and cancelled tickets or computer records shall be maintained for 60 days unless the PMA or the stewards request the organization licensee, in writing, for an extension for the purpose of conducting an investigation.

b) Cashed ticket storage facilities shall be secured by a locking system. Access to the locked cashed ticket storage facilities is the sole responsibility of the mutuel manager.

c) Only the mutuel manager or the manager's designee shall have access to cashed tickets, storage areas for outstanding ticket records, and uncashed ticket records.

d) Access to computer records by the mutuel manager and employees of the mutuel department shall be prohibited, except for the computer operator and assistance operator, but this prohibition shall not be interpreted to deny the mutuel manager and the manager's employees from accessing data generated by such computer records. If the totalizator system licensee does not operate in Illinois continuously, the possession of the computer records shall be retained by the organization licensee for one year.

History

• Source: Amended at 48 Ill. Reg. 18254, effective December 12, 2024

11 Ill. Adm. Code 433.70 Summary of Pari-Mutuel Operations (Repealed)

History

• Source: Repealed at 19 Ill. Reg. 13963, effective October 1, 1995

Chapter I Illinois Racing Board

Subchapter b Rules Applicable to Organization Licensees

Part 433 Totalizator Operations

11 Ill. Adm. Code 433.100 Marking of Tickets

To prevent re-entry in the pari-mutuel system for duplicate cashing, each cashed or refunded ticket shall be marked to indicate that it has been cashed or refunded such as tearing a corner in a manner which will not destroy the identity of the ticket, or by computer imprint. If a ticket is not marked, the totalizator licensee shall track the ticket and maintain a computer record of the ticket.

History

• Source: Amended at 48 Ill. Reg. 18254, effective December 12, 2024

11 Ill. Adm. Code 433.110 Status of Outs Account

The organization licensee shall provide the Pari-Mutuel Auditor, each racing day, with a computer print-out of outstanding tickets cashed during the previous racing day and, at the request of the PMA, produce, subject to the limitation in Subsection 433.60(c), the actual tickets requested which were cashed during a particular program.

11 Ill. Adm. Code 433.120 Cancellation of Tickets

a) Cancellation at Terminals

1. Any wager at a manned terminal with a price of $500 or less may be cancelled, at the option of the holder, without question.

2. Any wager at an unmanned terminal with a price of $250 or less may be cancelled during afternoon host hours, at the option of the holder, without question. Any wager at an unmanned terminal with a price of $50 or less may be cancelled during evening host hours, at the option of the holder, without question (other than at or within the two minute period before post time).

b) Wagers with a price exceeding $500 may only be cancelled with approval of the Mutuel Manager of the organization licensee (e.g., race moved from turf to dirt, late jockey/driver change, late scratch of a horse).

c) In order to prevent practices detrimental to the public interest, the State Director of Mutuels may, at all terminals, increase or decrease the time period before post time within which wagers may not be cancelled and/or increase or decrease the price of wagers that may be cancelled. Any change in such time periods or wager prices shall be published in the program prior to the affected race.

History

• Source: Amended at 30 Ill. Reg. 1372, effective February 1, 2006

11 Ill. Adm. Code 433.130 Records of Refunds and Cancellations

In all totalizator systems, the seller/cashier shall retain and account for all refunded or cancelled tickets. The computer record of these refunded/cancelled tickets will be retained by the organization licensee, in the manner prescribed in Section 433.60. In the case of a request for an extension, as detailed in Section 433.60, the computer records shall be retained until all audit tests have been completed and the State Director of Mutuels, or the director's designee, issues a letter allowing for the disposal of such computer records. If a refunded/cancelled ticket is not available for inspection then sufficient supporting documentation (i.e., seller/cashier history) shall be available upon request. In no event will a refunded/canceled ticket which has been removed from the totalizator system by a keyboard entry be accepted by the Pari-Mutuel Audit Unit as record of payment unless the actual hard copy ticket is presented during the audit or lost bet report.

History

• Source: Amended at 48 Ill. Reg. 18254, effective December 12, 2024

11 Ill. Adm. Code 433.140 Computer Print-Outs

Each organization licensee shall make available to the PMA for inspection and review all computer printouts generated by the totalizator system and shall, upon request, supply the Pari-Mutuel Auditor with copies of such printouts.

11 Ill. Adm. Code 433.145 Additional Method of Calculation

If any written method of calculation or check-up, in addition to the computer printouts specified in Section 433.140, is used or undertaken by the organization licensee, exact copies of all such calculations or check-ups shall be handed to the PMA as soon as possible after each race.

11 Ill. Adm. Code 433.200 No Reduction in Capacity

An organization licensee shall not change a totalizator system if the change will reduce the functional capacity of the system. A decrease in functional capacity is defined as going from a cash/sell system to a sell only system.

11 Ill. Adm. Code 433.210 Totalizators

Each organization licensee shall use ticket issuing machines, linked to a computer based totalizator system, that shall:

a) record the progressive, aggregate, and final total in dollars bet in each pool and on each entry or mutuel field;

b) compute the approximate and final odds in the win pool for each entry in each race at intervals not greater than 60 seconds and relay those odds to the infield display board and to other display devices;

c) compute commissions, breaks, and components thereof; and

d) compute the pay-off prices.

11 Ill. Adm. Code 433.220 Final Confirmation

For the purpose of confirming the final record of pari-mutuel sales for each race, each organization licensee shall for each wagering pool obtain a computer printout or store on magnetic media, the following information for each ticket issuing machine:

a) the total dollars wagered on each entry; and

b) the combination of entries.

11 Ill. Adm. Code 433.230 Status Report

Where advance wagering and or earlybird wagering is conducted, the computer printout required in Section 433.220 shall also contain a status report indicating the total dollars wagered on all subsequent pools.

11 Ill. Adm. Code 433.240 Locking Devices

Each organization licensee shall provide, for the purpose of locking ticket issuing machines at the start of each race:

a) one switch located within the stewards' stands; and

b) one switch located in the tote room for use as an emergency locking device independent from the console.

11 Ill. Adm. Code 433.250 Control of Locking Devices

The locking control switch referred to in Section 433.240 shall be controlled by a Board representative. This switch shall disable all ticket issuing machines from issuing tickets instantaneously. The execution of the locking control switch shall be noted by the ringing of the off bell. It shall be the primary responsibility of the state steward and the secondary responsibility of the mutuel department to assure that "stop betting" occurs. In no event are bets to be accepted or tickets to be cancelled after the related stop betting command has been issued.

11 Ill. Adm. Code 433.260 Accounting for Individual Tickets

For the purpose of accounting for individual tickets, each ticket shall be identified by a unique computer generated ticket number.

11 Ill. Adm. Code 433.270 Tickets

Every issued ticket shall have printed on it:

a) the name of the race track or organization licensee;

b) the number of the race;

c) the uniquely assigned computer generated ticket number;

d) the date the ticket was issued;

e) the date for which the ticket is issued;

f) when appropriate, the designation of either matinee or night program;

g) the number of the T.I.M. or window location;

h) the type of pool;

i) the number of each entry;

j) the denomination of each bet; and

k) the total dollar amount of each bet.

11 Ill. Adm. Code 433.280 Security for Tote Equipment

Each organization licensee shall provide a security system for the facilities housing the totalizator computers when such equipment is on site. Such security system shall:

a) be capable of detecting authorized and unauthorized entry through use of a coded locking system, e.g., card identification;

b) detect unauthorized entry and notify the Board and/or the State Director of Mutuels prior to the next program; and

c) contain procedures for entry to the facilities outside normal operating hours.

11 Ill. Adm. Code 433.290 Access to Tote Room

Each organization licensee shall authorize specific individuals, and may authorize visitors, to have access to the tote room. A list of such authorized individuals shall be maintained by the organization licensee and be made available to the PMA unit. Such individuals, and those persons authorized pursuant to Section 433.25, shall be the only individuals permittee to enter the tote room.

11 Ill. Adm. Code 433.295 Fax Machine

Properly operating Fax Machines shall be present in all rooms and facilities used in connection with the operation of a totalizator system.

History

• Source: Added at 14 Ill. Reg. 20059, effective December 4, 1990

11 Ill. Adm. Code 433.298 Hot-Line Telephone

All totalizator system licensees shall provide hot-line telephones from their rooms to any facility used by another totalizator system licensee for purposes of conducting intertrack wagering.

History

• Source: Added at 14 Ill. Reg. 20059, effective December 4, 1990

11 Ill. Adm. Code 433.300 General System Requirements

Totalizator system licensees must meet or exceed the totalizator system features listed in Sections 433.310 through 433.490.

11 Ill. Adm. Code 433.310 Redundant Capabilities

Totalizator systems shall have redundant capabilities and shall be defined as a master/slave configuration to ensure the comparison of individual pool totals so that no data is lost due to a processor failure.

11 Ill. Adm. Code 433.320 Redundant Hardware

All totalizator systems must have a redundant hardware including, but not limited to, the acceptance, recording, and accounting of wagering transactions, to ensure that in normal operating circumstances a totalizator system failure will not cause interruption in pari-mutuel operations.

11 Ill. Adm. Code 433.330 Stop Betting Command

All totalizator systems shall provide a switch located in the stewards' stand and the tote room which shall disable all ticket issuing machines from accepting all bets and issuing tickets on all races for which the "stop betting" command has been issued pursuant to Section 433.250.

11 Ill. Adm. Code 433.340 Record of Stop Betting Command

All totalizator systems shall:

a) identify and record on the system log file which switch issued the stop betting command;

b) record the time of day that the command was issued; and

c) confirm visually and audibly to the stewards that betting has stopped.

11 Ill. Adm. Code 433.350 Odds Board Control

The controls necessary to operate the order of finish on the odds board shall be located in the stewards' stand or immediately adjacent thereto and be controlled by a state steward or his designee.

11 Ill. Adm. Code 433.360 Odds Update

a) In conjunction with the totalizator system, there shall be one or more odds boards. Approximate odds on each betting interest in the win pool shall be updated on the odds board at intervals of not more than 60 seconds.

b) All totalizator systems shall provide a computer printout, at intervals of not more than 60 seconds, of all dollars wagered on each betting interest in the win, place, and show pools, and other wagering information given to the public during the wagering period.

11 Ill. Adm. Code 433.370 Retention of Racing Program Data

All totalizator systems must store racing program data on disk or other storage devices with the capability to transfer the data to hard copy in readable format. Such information shall be stored for a period of six months.

11 Ill. Adm. Code 433.380 Control Access to Tote Computer Equipment

Security/safeguard mechanisms must be installed by the tote system licensee to prevent unauthorized access to totalizator computer equipment. Such security shall be capable of detecting authorized and unauthorized entry through use of a password. Security systems meeting the above requirements shall be approved by the Executive Director or his designee.

11 Ill. Adm. Code 433.390 Software

All totalizator systems must have the necessary software to create, read, and verify the integrity of the data on the magnetic tapes. Each tape shall be labeled separately for each racing program. The label shall include organization licensee name, program number, file generation number (e.g., all files may start with 001 equal to the first program number), date produced, and time of day produced.

11 Ill. Adm. Code 433.400 Provide Summary

All totalizator system shall be able to produce and provide the Board:

a) subject to the time limitation in Section 433.370, a log file which can recreate the program and produce hard copy;

b) a report which summarizes each racing program's total wagering activity on a race by race basis; and

c) a listing of the daily cashed tickets and outstanding tickets cashed by unique ticket number and/or ticket issuing machine for each program.

11 Ill. Adm. Code 433.410 Unique Ticket Number

All totalizator systems shall assign a unique ticket number to each ticket issued. The unique ticket number shall be printed on the ticket at the time of issue by the ticket issuing machine and shall be recorded in the computer.

11 Ill. Adm. Code 433.420 Uncashed Tickets

All totalizator systems shall retain within the computer system ticket numbers of all outstanding tickets. These ticket numbers shall be retained in a computer data file protected by the security system. All access to such file outside of normal operating routines shall be password protected and a log of all such access shall be recorded.

11 Ill. Adm. Code 433.430 Computer Produced Reports

All totalizator systems shall print on all computer produced reports: the tote software's version number, date of execution, time of day executed, and page number. The page numbering shall be sequential from the first page through the last produced during a program.

11 Ill. Adm. Code 433.440 Magnetic Log Files

All totalizator systems shall use the magnetic log files as input for the accounting reports produced in the cashier accounting function.

11 Ill. Adm. Code 433.450 Security Sub-System

Totalizator program operation shall be under the control of a software security sub-system.

a) This sub-system shall have the ability to validate used sign-on data entered through a T.I.M. and use table lock-up techniques to determine which functions the user is permitted to perform when the totalizators are in use.

b) The security sub-system shall record on the system log file any attempt to:

1. stop execution of the system

2. alter the contents of the memory or auxiliary storage device, or

3. modify the sequence of instructions within the computer(s).

11 Ill. Adm. Code 433.455 Access to Sub-Systems

The operating and or security sub-system shall be accessible from no more than two terminals at any one point in time. These terminals shall be located in the tote room and access to these sub-systems shall require pass word entry prior to execution.

11 Ill. Adm. Code 433.458 Emergency Power Source

Each tote system licensee shall provide an emergency or alternate system of electrical supply capable of providing enough power to operate the central processing units where data which has been accepted is stored.

11 Ill. Adm. Code 433.460 Power Fluctuations

All totalizator systems shall provide the hardware, i.e., voltage regulators, isolation transformers, to minimize the effects of a power fluctuation on the totalizator system. This hardware, insofar as possible, shall maintain power into the computers at a constant level within design limits and shall be selected by the totalizator company for compatibility with its system design.

11 Ill. Adm. Code 433.470 Two Independent Sets of Pool Totals

All totalizator systems shall have the capability to maintain at least two independent sets of pool totals and compare them at least every 60 seconds. An entry to the system logs shall be produced at any time a difference in final pool totals is encountered. If it cannot be ascertained by the totalizator system licensee which final pool is correct, the highest pool total shall be used in all calculations, including pay-offs, commissions.

11 Ill. Adm. Code 433.480 Loss of Communications Reports

All totalizator systems shall detect and write to the system log file and produce a hard copy report of lost communication with hardware peripheral devices including disc drives, printers, consoles, ticket issuing machines, and any other devices, which may be part of the system configuration. Also, it shall include a message on the system log file indicating such loss of communication and the time thereof. In the event of a system failure, a written report with hard copy back-up shall be required and included in a hard copy reports of the system log file.

11 Ill. Adm. Code 433.490 Cancellations

Where totalizator systems allow issued tickets to be cancelled such cancellations must occur within the provisions of Section 433.120.

11 Ill. Adm. Code 433.500 General Procedural Requirements

Every totalizator system licensee must satisfy the procedural requirements set forth in Sections 433.510 through Section 433.610.

11 Ill. Adm. Code 433.510 Pre-Program Tests

All totalizator equipment in use for a program shall, before the start of each program, be tested by the totalizator personnel and all necessary repairs and adjustments made to ensure proper operation of ticket issuing machines and totalizator computers, and recording of bets in accordance with these rules. These tests shall be:

a) conducted at a time that does not conflict with the time established by the organization licensee for opening the pari-mutuel windows for sales; and

b) conducted with data supplied by the PMA unit when so requested by the State Director of Mutuels.

11 Ill. Adm. Code 433.520 Totalizator Programs

a) All copies of programs as a pari-mutuel facility shall be on magnetic tape or disk file and be stored in a secured cabinet under the control of a totalizator representative manager.

b) after the program has been loaded into the computer, the magnetic tape or disk file shall be resecured.

11 Ill. Adm. Code 433.530 Duplicate Copy of Totalizator Programs

All totalizator system licensees shall maintain a duplicate copy of all totalizator programs to be used during the race meeting. The duplicate copy will be in source code format or absolute program files and be placed on magnetic tape for storage. These tapes will be placed under seal by the totalizator system licensee and the Board and retained for future comparison with totalizator programs actually in use during the meet. These duplicate tapes will be kept under the dual control of the totalizator system licensee and the Pari-Mutuel Audit Unit and will be retained on the premises of the organization licensee.

11 Ill. Adm. Code 433.540 Notice of Software Modifications

All totalizator system licensees shall inform the State Director of Mutuels of planned totalizator program modifications by sending written notice to the Board at least one week in advance of performing a software modification. In situations where programs are modified in response to operational problems requiring immediate attention, the totalizator system licensee shall inform the State Director of Mutuels of the change immediately after the modification has been made. A narrative log explaining all software modifications shall be kept in the tote room.

11 Ill. Adm. Code 433.550 Testing of Software Modifications

Totalizator system licensees shall establish written procedures to test software modifications. Documentation of testing procedures and results shall be made available to the PMA unit upon request. Totalizator operators shall use either a hardware or software transaction generator to provide entry data for use in simulation of a complete program, including production of all reports. The PMA shall review such test procedures and results prior to installation of a new version of a totalizator system within the State.

11 Ill. Adm. Code 433.560 Controlling System Utilities

All totalizator system licensees shall adhere to formal written procedures for controlling system utilities and furnish the State Director of Mutuels with a copy of these procedures. These procedures shall include, but not be limited to, such matters as control over duplication or program tapes, control over use of any system utility programs or any application programs used to modify master files, and control over utility programs or other procedures used to change system passwords.

11 Ill. Adm. Code 433.570 Access to Tote Room

Ten days prior to the opening of each race meeting, the totalizator system licensee shall provide the State Director of Mutuels with a list of its representatives authorized to have access to the tote room, paper stock, or equipment for each meeting.

11 Ill. Adm. Code 433.580 Control Log

Each totalizator system licensee shall maintain, in conjunction with the organization licensee, a control log of keys or other security entry devices used to access the totalizator room and a log indicating to whom each is assigned. When the employment of a person possessing a key or security entry device to the totalizator room is terminated, the key or security entry device shall be collected.

11 Ill. Adm. Code 433.600 Back-Up Procedures

Totalizator operators shall include back-up procedures to reconstruct all computer programs and data files. The Board reserves the right to review and approve back-up procedures, based upon, including but not limited to, the ability to recover lost data, and the ability to provide grandfather-father-son backup.

11 Ill. Adm. Code 433.610 Shut-Down Procedures

Each totalizator system licensee shall as part of its normal daily shut-down procedures:

a) remove all console logs from the hardware. Each entry on the console log must be preceded by the date and time of the entry;

b) clear all C.P.U. memory or magnetic core program date; and

c) secure the tote room to prohibit unauthorized entry.

Part 434 Outstanding Tickets

11 Ill. Adm. Code 434.5 Outstanding Tickets

An outstanding pari-mutuel ticket shall be valid only until December 31 of the calendar year following its purchase.

History

• Source: Added at 16 Ill. Reg. 17761, effective November 5, 1992

11 Ill. Adm. Code 434.10 End of Meeting Report

Within ten days after the close of each race meeting, the organization licensee shall:

a) remove its outs liability account from the totalizator system computer and deliver to the Illinois Racing Board (Board) a report of its outstanding ticket liability (the "outs" book), as provided in Section 434.20; or

b) comply with Section 434.30.

History

• Source: Amended at 16 Ill. Reg. 17761, effective November 5, 1992

11 Ill. Adm. Code 434.20 Removal of the Outs Account

a) The organization licensee shall notify in writing the State Director of Mutuels at least three week days prior to the day and time that the outs liability account is to be removed from the totalizator system.

b) The outs book shall include:

1. the date of the race;

2. the number of each winning entry;

3. the denominations of each outstanding ticket;

4. the pay-offs; and

5. the unique computer generated serial number of each outstanding ticket in accordance with 11 Ill. Adm. Code 433.260.

c) Only two sets of outs books shall be printed at the time the outs liability account is removed from the computer system. No subsequent sets of the outs book shall be printed without written approval by the Board requested in compliance with 11 Ill. Adm. Code 206.10 (written request must be made 15 days in advance of the Board meeting at which the request is to be heard). Approval shall be given for good cause shown, e.g., when an original has been destroyed.

d) A copy of the magnetic tape used to generate the outs books shall be provided to the Board.

History

• Source: Amended at 16 Ill. Reg. 17761, effective November 5, 1992

11 Ill. Adm. Code 434.30 Alternative Procedure

a) An organization licensee may keep its outs liability account in the totalizator system computer if the totalizator system is operating at a racetrack where a race meeting is in progress. If an organization licensee elects to keep the outs liability account in the computer system beyond ten days, that organization licensee, within ten days after the close of the meeting, must file a letter with the Board which shall:

1. state the dollar amount of the outstanding tickets at the close of the race meeting;

2. state that the outs liability account will remain in the computer system;

3. state the name of the racetrack where the account will be open for cashing of winning tickets by members of the public;

4. state the name of the person who will be responsible for maintaining the integrity of the outs account and for maintaining the daily record of the account for reporting to the Board;

5. indicate the approximate date when the account will be removed from the computer system; and

b) remove the outs liability account not later than 30 days after the last program of consecutive race meetings of the same type of racing at the racetrack at which the tickets were purchased; and

c) comply with Section 434.20.

11 Ill. Adm. Code 434.40 Payments

Pursuant to Section 26(c) of the Illinois Horse Racing Act of 1975, (Act), the organization licensee shall submit to the State Director of Mutuels, no later than January 10th of each year:

a) The dollar amount of outstanding tickets which remain unpaid from two calendar years preceding the current year (e.g., total dollar value of outs tickets purchased in calendar year 2008 shall be sent to the State Director of Mutuels no later than January 10, 2010); and

b) A listing of the original cashed tickets which have been submitted for payment in the preceding year (e.g., 2008 tickets submitted for payment in 2009 shall be sent on January 10, 2010).

History

• Source: Amended at 48 Ill. Reg. 18261, effective December 12, 2024

Part 435 Inter-Track Wagering Facilities

11 Ill. Adm. Code 435.10 Definitions (repealed)

History

• Source: Repealed at 19 Ill. Reg. 13914, effective October 1, 1995

11 Ill. Adm. Code 435.20 Application for Inter-Track Wagering License

a) Each application for an inter-track wagering license filed with the Illinois Racing Board (Board) must contain the information and be accompanied by the documents or exhibits specified by the Board.

b) Each application for an inter-track wagering license shall also contain a plan of operation that shall include:

1. a feasibility report that shows:

A) the anticipated revenue to be generated from the inter-track wagering facility;

B) the expenditures expected to be incurred by the facility;

C) the level of attendance expected and the area from which attendance is anticipated to be drawn to the inter-track wagering facility;

D) level of anticipated inter-track wagering;

E) a demographic study or market survey depicting the applicant's on-track attendance; and

F) the probable impact of the inter-track wagering facility on revenue to local government.

2. an application for an inter-track wagering license shall also show:

A) the number of simulcast racing programs to be displayed;

B) the amount and source of revenue necessary to acquire and construct the inter-track wagering facility;

C) the type of communication and transmission equipment to be utilized;

D) the type and operation of the totalizator equipment that must be operated as prescribed by 11 Ill. Adm. Code 432 and 433;

E) a security plan that shall include, but not be limited to, a description of the security measures to protect the inter-track wagering facility, to control crowds, to safeguard the transmission and reception of simulcast signals, and to control the transmission of wagering data to effect combined common pari-mutuel wagering pools;

F) the accommodations available to the public;

G) a good faith affirmative action plan to recruit, train and upgrade minorities and females in all classifications within the licensee;

H) a certificate of compliance or approval from the Illinois Workers' Compensation Commission that the applicant has complied with, and has elected to be bound by, the provisions of the Workers' Compensation Act [820 ILCS 305]; and

I) a current Municipal or County Health and Safety Report and a current State Fire Inspection Report. Updated State Fire Inspection reports shall be submitted by each inter-track wagering facility no later than July 15 of each year of operation. Updated Health and Safety reports shall be submitted by each inter-track wagering facility no later than January 15 and July 15 of each year of operation.

History

• Source: Amended at 36 Ill. Reg. 325, effective January 1, 2012

11 Ill. Adm. Code 435.30 Board Approval of an Application

The Board shall consider every completed application for a license to conduct inter-track wagering at an inter-track wagering facility at a hearing before the Board. The Board shall approve or deny the application in accordance with Section 26(h)(3) of the Horse Racing Act of 1975 (Act) (Ill. Rev. Stat. 1987, ch. 8, par. 37-1 et seq.). The Board will take such action within sixty days of the filing of the application unless the applicant requests and is granted a continuance or withdraws the application from consideration.

11 Ill. Adm. Code 435.40 Penalties and Conditions

a) Each license shall specify the person to whom it is issued, the dates on which such wagering is permitted, the tracks or location where the wagering is to be conducted, and a recital that all wagering under such license is subject to the Act, the rules and regulations of the Board and any requirements imposed by the Board as a condition for the exercise of the license. The Board may impose as a condition of licensure any provision which it determines meets the criteria contained in Section 26(h)(3) of the Act.

b) The Board may impose a civil penalty of up to $5,000 against individuals and up to $10,000 against organization licensees, inter-track wagering licensees and inter-track wagering location licensees for each violation of the terms of the Act relating to the conduct of inter-track wagering, any rules adopted by the Board, any order of the Board, any action, or failure to act, which the Board finds and determines a detriment or impediment to inter-track wagering, or any requirement imposed as a condition of licensure pursuant to Section 435.40(a).

c) Any modification of the conditions of licensure may be requested by the Board or the licensee and may be approved at a public meeting of the Board in accordance with 11 Ill. Adm. Code 206 and Section 26(h)(3) of the Act.

d) No licensee of an inter-track wagering facility shall discontinue operations at the facility until a reasonable period of time (e.g. 30 days) after notice of such intention has been transmitted to the Board.

11 Ill. Adm. Code 435.50 Board Office

Each inter-track wagering facility shall provide working space at the inter-track wagering facility for Board employees to carry out their duties of inspection and regulation.

11 Ill. Adm. Code 435.60 Simulcast Requirements (repealed)

History

• Source: Repealed at 19 Ill. Reg. 13914, effective October 1, 1995

11 Ill. Adm. Code 435.70 Audio Transmission (repealed)

History

• Source: Repealed at 19 Ill. Reg. 13914, effective October 1, 1995

11 Ill. Adm. Code 435.80 Inter-Track Wagering Pools (repealed)

History

• Source: Repealed at 19 Ill. Reg. 13914, effective October 1, 1995

11 Ill. Adm. Code 435.90 Announcing the Close of Wagering (repealed)

History

• Source: Repealed at 19 Ill. Reg. 13914, effective October 1, 1995

11 Ill. Adm. Code 435.100 Pari-Mutuel Wagering (repealed)

History

• Source: Repealed at 19 Ill. Reg. 13914, effective October 1, 1995

11 Ill. Adm. Code 435.110 Licensing of Employees

a) All persons performing work or services at an inter-track wagering facility shall be licensed by the Board. All persons shall carry their photo identification badge on their person, within the facility, at all times. This Section does not apply to any persons employed as a pari-mutuel clerk, parking attendant, security guard or employee of concessionaire.

b) Licensing of persons pursuant to this Section is governed by the provisions of 11 Ill. Adm. Code 502, Subparts A, B and C.

History

• Source: Amended at 41 Ill. Reg. 11568, effective September 1, 2017

11 Ill. Adm. Code 435.120 Concessionaire License

No concessionaire shall operate at any inter-track wagering facility in Illinois without an occupational license issued by the Board. Licensing of concessionaires shall be governed, in all respects not specified herein, by the provisions of 11 Ill. Adm. Code 402.

11 Ill. Adm. Code 435.130 Prohibited Practices by Employees

a) No pari-mutuel clerk, parking attendant or security guard shall commit any act prohibited under Section 15.2 of the Act during the period of their employment at an inter-track wagering facility.

b) The licensee of an inter-track wagering facility shall provide the Board with immediate written notice of any prohibited activity by pari-mutuel clerks, security guards or parking lot attendants at an inter-track wagering facility.

11 Ill. Adm. Code 435.140 Customer Relations (repealed)

History

• Source: Repealed at 19 Ill. Reg. 13914, effective October 1, 1995

11 Ill. Adm. Code 435.150 Duties of Organization Licensee (repealed)

History

• Source: Repealed at 19 Ill. Reg. 13914, effective October 1, 1995

11 Ill. Adm. Code 435.160 Duties of Inter-Track Wagering Facility (repealed)

History

• Source: Repealed at 19 Ill. Reg. 13914, effective October 1, 1995

Part 436 Security Areas

11 Ill. Adm. Code 436.5 Security Area

a) Every horse entered to race shall be in the stall assigned to it by the Racing Secretary two (2) hours prior to the post time of the race in which the horse is entered, and shall remain there until its presence is required in the paddock. Standardbreds may leave their stall for purposes of warming up prior to the start of the race.

b) A sign designating the horse's stall as a secure area shall be posted on the horse's stall two (2) hours prior to the post time of the race in which the horse has been entered to run. The format and contents of the sign shall include, but not be limited to, the dimensions of 8½" by 11" and the words "Security Stall" which are easily read and understood by those in the barn area. The format and contents of the sign shall be approved by the Board. The signs, necessary hardware to affix the signs and maintenance to ensure that the hardware is suitable for use every day on all stalls shall be provided by the track operator.

c) The trainer of record shall designate a stall guard to attend and provide constant surveillance until the horse is brought to the paddock or receiving barn.

d) A security force composed of Illinois Racing Board personnel and racetrack security guards shall monitor compliance with this Part. The racetrack security guards shall be equipped with radios. The number of guards utilized at each track will be approved by the Board. The criteria for determining the number of guards at each racetrack shall include, but not be limited to, the number of horses entered to race that day, the distribution of the barns at the racetrack, and the total number of barns at the racetrack. The security guards may, in their discretion, require the stall guard or any other individual, in and around the secure area, to present his/her Illinois Racing Board credentials (Ill. Adm. Code 1302.90 and 1408.60), and may check equine identification numbers. The race track may require transferable identification tags to be displayed by those persons acting as stall guards. The race track security guards will be under the supervision of the Illinois Racing Board or its designees.

History

• Source: Added at 16 Ill. Reg. 4520, effective March 10, 1992

11 Ill. Adm. Code 436.10 Security Barn Location (Repealed)

History

• Source: Repealed at 16 Ill. Reg. 4520, effective March 10, 1992

Chapter I Illinois Racing Board

Subchapter b Rules Applicable to Organization Licensees

Part 436 Security Areas

11 Ill. Adm. Code 436.20 Sanitation, Hygiene and Health

Each organization licensee shall ensure that the location is heated and ventilated, so as to allow for sufficient care and preparation of the horses and security area, and that all stalls are suitable and ready for use at the appropriate time.

History

• Source: Amended at 16 Ill. Reg. 4520, effective March 10, 1992

11 Ill. Adm. Code 436.30 Fire and Safety Regulations (Repealed)

History

• Source: Repealed at 16 Ill. Reg. 4520, effective March 10, 1992

Chapter I Illinois Racing Board

Subchapter b Rules Applicable to Organization Licensees

Part 436 Security Areas

11 Ill. Adm. Code 436.40 Fencing and Lighting (repealed)

History

• Source: Repealed at 16 Ill. Reg. 4520, effective March 10, 1992

11 Ill. Adm. Code 436.50 Security Barn Offices (repealed)

History

• Source: Repealed at 16 Ill. Reg. 4520, effective March 10, 1992

11 Ill. Adm. Code 436.60 Penalties

a) A civil penalty shall be imposed upon any organization licensee who fails to meet the requirements of any or all Sections contained in Subpart A consistent with 11 Ill. Adm. Code 204.

b) Failure to have a horse in the assigned stall, or failure to provide constant surveillance of the stall at the designated deadline, shall be penalized by the horse being scratched and a civil penalty imposed upon the trainer of record. Subsequent offenses shall be penalized by the horse being scratched and the civil penalty shall be double the amount of the preceding penalty. The number of violations, for the purpose of determining civil penalty, shall start at the beginning of each meet. The civil penalty shall be waived only when very extreme weather conditions prevent the trainer from getting the horse to the racetrack at the designated deadline, but the horse shall be scratched.

c) A civil penalty shall be imposed upon any trainer who fails to have the sign posted on the assigned stall at the designated deadline. The civil penalty shall not be imposed if the track operator has not provided the sign, hardware to affix the sign or the maintenance of the hardware that will allow the trainer to affix the sign to the stall. The civil penalty shall be double the amount of the preceding penalty for each subsequent offense.

d) A civil penalty shall be imposed upon the racetrack operator for failing to provide signs, hardware to affix signs to stalls or the maintenance of the hardware for use on security stalls.

History

• Source: Amended at 16 Ill. Reg. 4520, effective March 10, 1992

11 Ill. Adm. Code 436.70 Reporting for Stall Assignments

a) The trainer, when entering a horse, shall declare to the Racing Secretary or his/her designee, the number of the barn in which the horse being entered will be stabled the day of the race. The trainer must declare horses to be shipped-in at the time of entry.

b) The Racing Secretary shall assign a barn, at the time of entry, to those horses being shipped-in.

c) As soon as the overnight sheet is finalized, the Racing Secretary or his/her designee shall provide to the Illinois Racing Board or its designees a list showing, by race, the name of the horse, post position, trainer's name and the identification number or letter of the barn where the horse is to be stabled the day of the race.

d) The Racing Secretary or his/her designee shall notify the Illinois Racing Board or its designees of all ownership or trainer changes on horses, as soon as they come to his/her knowledge.

e) As soon as the overnight sheet is finalized, the Racing Secretary or his/her designee shall provide the Illinois Racing Board or its designees a list, by race, showing the horse's name and its tattoo number.

History

• Source: Amended at 16 Ill. Reg. 4520, effective March 10, 1992

11 Ill. Adm. Code 436.80 Identification Badges (Repealed)

History

• Source: Repealed at 16 Ill. Reg. 4520, effective March 10, 1992

11 Ill. Adm. Code 436.90 Reporting to Security Barn Stall Assignments (Repealed)

History

• Source: Repealed at 16 Ill. Reg. 4520, effective March 10, 1992

Chapter I Illinois Racing Board

Subchapter b Rules Applicable to Organization Licensees

Part 436 Security Areas

11 Ill. Adm. Code 436.100 Prohibited Equipment and Substances

a) No laser machines, needles, syringes or injectables shall be permitted in the security area. The use of any other machine or equipment shall be approved by the state veterinarian.

b) The use of nebulizers shall be permitted in the security area. Water shall be the only solution allowed for use in a nebulizer unless other solutions have been approved by the state veterinarian.

c) The use of breathing compounds, for oral and nasal dosing, such as, but not limited to, Traileze, Vapol, Vicks Vapor-Rub, Wind-Aid and Exhail Ease, or others containing but not limited to methyl salicylate, camphor and potassium iodide, shall not be permitted in the security area. A trainer must obtain the state veterinarian's approval for use of any other breathing compound. The use of DMSO (Dimethyl Sulfoxide), preparations containing the DMSO or any other substances containing ingredients with qualities to penetrate the skin, to be used for topical applications, shall not be permitted in the security area.

d) Violation of this Section shall result in the horse being scratched and a civil penalty imposed on the trainer of record. Subsequent violations shall be penalized by the horse being scratched and the civil penalty shall be double the amount of the preceding penalty.

History

• Source: Amended at 16 Ill. Reg. 4520, effective March 10, 1992

11 Ill. Adm. Code 436.110 Trainer's Responsibility to Guard

The duties imposed upon trainers in 11 Ill. Adm. Code 603.50 will continue to be in effect while a horse is in the security area.

History

• Source: Amended at 25 Ill. Reg. 15622, effective December 1, 2001

11 Ill. Adm. Code 436.120 Access to Security Barn (Repealed)

History

• Source: Repealed at 16 Ill. Reg. 4520, effective March 10, 1992

11 Ill. Adm. Code 436.130 Furosemide List Horses

a) All horses on the furosemide list shall be treated with furosemide as provided in 11 Ill. Adm. Code 603.70.

b) Following the administration of furosemide, the trainer of record or his/her designee shall immediately return the horse to its assigned stall and shall remain with the horse and provide constant surveillance in accordance with Section 436.5(c). Violations of this subsection (b) shall be penalized in accordance with Section 436.60(b).

c) A sign designating the stall as a "Security Stall" shall be posted on the horse's stall 4 hours and 15 minutes prior to the post time of the race in which the horse has been entered to race. Violations of this subsection (c) shall be penalized in accordance with Section 436.60(c).

History

• Source: Amended at 33 Ill. Reg. 11880, effective August 1, 2009

11 Ill. Adm. Code 436.140 Leaving the Security Barn (Repealed)

History

• Source: Repealed at 16 Ill. Reg. 4520, effective March 10, 1992

Chapter I Illinois Racing Board

Subchapter b Rules Applicable to Organization Licensees

Part 437 County Fair Regulations

11 Ill. Adm. Code 437.10 Scope

This Part shall apply to applicants for licenses for county fairs authorized by Section 37-9(a),(n) of the Illinois Horse Racing Act of 1975 (Act) (Ill. Rev. Stat. 1987, ch. 8, par. 37-9(a),(n), as amended by P.A. 85-1170, effective August 12, 1988).

11 Ill. Adm. Code 437.20 Application Procedures

All applications shall be filed with the Illinois Racing Board (Board) no later than April 15, 1989. Board personnel shall review the applications for completeness, notify the applicants of any additional material required and the date by which such material must be submitted, within 30 days of the Board's receipt of the application. Board personnel shall inspect the applicant's facilities for compliance with the Board's rules.

11 Ill. Adm. Code 437.30 Criteria for Selection

In selecting the county fairs to receive licenses, the Board shall consider the following factors: the financial ability of the applicant to meet the obligations associated with the proposed race meeting, both estimated actual liabilities and contingent liabilities; the quality of the accommodations available for the running of the race (including ability to guarantee the integrity of the race); the accommodations available to the public; the quality/competitiveness of the races (as evidenced by, among other items, purse structure); the potential to maximize revenue to horsemen, the county fair association and the state (as evidenced by, among other items, past attendance figures); the ability to safeguard the interests of the wagering public. Facilities which most closely approximate those required by the Board's rules will be considered to have best attained these standards. The Board will give preference to associations who utilize agents or contractors with demonstrated experience in operating, in whole or in part, race meetings upon which pari-mutuel wagering is conducted.

11 Ill. Adm. Code 437.40 Board Rules Apply

All provisions of the Act and Subchapters a, b, c, and f of the rules of the Board shall apply to county fair associations and their agents unless the provision of the Act, or rule has been waived by the Board pursuant to Section 9(n) of the Act. The Board shall grant such waivers when it determines that, based upon a preponderance of the evidence, the waiver will not decrease the safety of the race for human and equine participants, compromise the integrity of the race meeting or wagering thereon, or decrease revenue to the state.

Part 452 Racetrack Improvements

11 Ill. Adm. Code 452.10 Purpose

a) Pursuant to Section 26.1 of the Illinois Horse Racing Act [230 ILCS 5/26.1], the Board shall verify that an amount equal to at least 50% of the breakage retained by each licensee is used by the organization licensee for racetrack improvements at the racetrack from which the wagering facility derives its license.

b) Pursuant to Section 54.75(b)(2) of the Illinois Horse Racing Act (Horse Racing Equity Trust Fund), the Board shall verify that moneys distributed to the organization licensee are used to improve, maintain, market and otherwise operate its racing facilities to conduct live racing, which shall include backstretch services and capital improvements related to live racing and the backstretch.

History

• Source: Amended at 34 Ill. Reg. 2955, effective February 22, 2010

11 Ill. Adm. Code 452.20 Definitions

"Racetrack Improvements" – erection, improving or acquisition of seating stands, buildings or other structures, ground or track and the necessary purchase or required restoration of depreciable property and equipment used in the operation of a racetrack. Ordinary repairs and maintenance shall not be considered racetrack improvements.

11 Ill. Adm. Code 452.30 Verification of Expenditures

Each organization licensee shall submit to the Board annually a report containing the following information:

a) Pursuant to Section 26.1 of the Act, the amount of breakage earned in the previous year by organization licensee, intertrack wagering licensee and intertrack wagering location licensee;

b) Pursuant to Section 54.75(b)(2) of the Act, the amount of moneys received by the organization licensee in the previous year from the Horse Racing Equity Trust Fund;

c) A detailed description of improvements made pursuant to Section 26.1 of the Act;

d) A detailed description of expenditures made using the moneys received by the organization licensee pursuant to Section 54.75(b)(2) of the Act, including moneys used for improvements, maintenance, marketing, backstretch services, capital improvements and other operating expenses. Moneys received shall be applied prospectively from December 13, 2009 (the date the Treasurer transferred funds from the Protest Fund to the Horse Racing Equity Trust Fund), and organization licensees are prohibited from applying the moneys retroactively; and

e) If the Board so requests, verification of payment, including, but not limited to, canceled checks and/or invoices.

History

• Source: Amended at 34 Ill. Reg. 2955, effective February 22, 2010

11 Ill. Adm. Code 452.40 Deadline for Filing

As detailed in Section 452.30, each organization licensee shall submit to the Board a report no later than January 31 of the succeeding year.

Part 455 Other Gaming

11 Ill. Adm. Code 455.10 Charitable Gaming

a) No licensee shall, without the prior approval of the Board, allow a charitable gaming event to be held at a wagering facility (excludes Advance Deposit Wagering licensees). (See 11 Ill. Adm. Code 210 for the definition of a licensee.)

b) All requests by licensees to the Board regarding charitable gaming events shall be in writing and include the following information:

1. The day and time of the proposed event;

2. The charity to benefit from the proposed event and a copy of the charity's Charitable Gaming license obtained in accordance with 230 ILCS 30/3;

3. A copy of the provider's license obtained by the licensee in accordance with 230 ILCS 30/4; and

4. Assurance that no raffles, slot machines, coin-in-the-slot-operated devices or other games of chance will be present on the date of the charitable gaming event.

c) Any charitable gaming held at a wagering facility shall be subject to all regulations promulgated under the Charitable Games Act [230 ILCS 30]. (See 86 Ill. Adm. Code 435.)

d) No licensee shall allow more than eight charitable gaming events to be held at a wagering facility in a calendar year.

e) Pursuant to 230 ILCS 30/8(15), only the following games may be conducted as part of the charitable gaming event: roulette, blackjack, poker, pull tabs, craps, bang, beat the dealer, big six, gin rummy, five card stud poker, chuck-a-luck, keno, hold-em poker, and merchandise wheel.

f) No other gaming/gambling events shall be held at the wagering facility unless permitted by other Illinois statute (i.e., the Horse Racing Act [230 ILCS 5], the Raffles Act [230 ILCS 15], the Illinois Pull Tabs and Jar Games Act [230 ILCS 20], Bingo License and Tax Act [230 ILCS 25] or the Illinois Lottery Law [20 ILCS 160]).

g) No concessionaire shall be allowed to sell food, beverages or programs at the charitable gaming event unless licensed by the Board.

11 Ill. Adm. Code 455.20 Lottery Events at Wagering Facilities

a) No licensee shall, without the prior approval of the Racing Board, enter into or implement any agreement with the Illinois Lottery Control Board providing for:

1. Selection of the winner of any lottery prize by a method that depends, in whole or in part, upon the results of a race conducted at a wagering facility; or

2. The conduct of any lottery drawing or the award of any lottery prize at a wagering facility.

b) Any licensee seeking Racing Board approval of an agreement with the Illinois Lottery Control Board shall submit a copy of the proposed agreement, together with the request, and shall supply other information concerning the proposed lottery event as the Racing Board may require.

c) No lottery events shall be conducted at a wagering facility in Illinois unless they are in compliance with the Illinois Lottery Law [20 ILCS 160].

Subchapter c Rules Applicable to All Occupation Licensees

Part 502 Licensing

11 Ill. Adm. Code 502.10 Submission of Application

a) Any person desiring an occupation license shall apply on forms provided by the Illinois Racing Board (Board). If additional information is requested for the purpose of determining an applicant's eligibility or qualifications, the Board shall notify the applicant that he or she shall provide the supplemental information.

b) Applications may be obtained from the license office at any race track regulated by the Board or from the Board's central office in Chicago or at the Board's website (www.state.il.us/agency/irb).

c) Applications shall be filed in the licensing office, at the race track where the applicant wishes to participate in a race meeting. Applications may also be filed at the Board's central office, but the applicant shall indicate on the application the race track at which the applicant wishes to participate.

History

• Source: Amended at 33 Ill. Reg. 6696, effective May 1, 2009

11 Ill. Adm. Code 502.20 Complete Application

An application shall not be considered until the application form has been filled out completely, all information requested by the Board has been supplied, and the appropriate license fee has been paid in accordance with 11 Ill. Adm. Code 502.30.

History

• Source: Added at 11 Ill. Reg. 20611, effective January 1, 1988

11 Ill. Adm. Code 502.30 License Fees

a) Occupation Licenses

All completed applications for an occupation license shall be accompanied by a non-refundable fee of $25, together with any other applicable information listed in Subpart B or C required by this Part, including but not limited to fingerprint cards and the required fee for fingerprint cards.

b) Nonlicensees

All persons who perform services without an occupation license and are not required to be licensed shall register with organization licensee security prior to entering and leaving a restricted area of the facilities. "Persons who perform services without an occupation license" include, but are not limited to, persons who perform services (physicians, dentists, emergency medical technicians, social workers, substance abuse counselors, etc.) and race track employees (kitchen help, etc.).

History

• Source: Amended at 41 Ill. Reg. 13097, effective October 1, 2017

11 Ill. Adm. Code 502.40 Duration and Extent of Occupation Licenses

a) Each occupation license shall expire December 31 of each year. Owners otherwise meeting the requirements of Section 502.30 and Subparts B, C, and D of this Part shall be granted a temporary license pending completion of the full application, which will be valid for 30 days from the date of issuance. Upon expiration of the 30-day temporary license, the owner's occupation license will be suspended pending completion of all licensing procedures.

b) An occupation license issued at one race meeting during the calendar year shall be valid at any other race meeting regulated by the Board that year provided that the holder:

1. is not found to be in violation of the Act or of the rules of the Board;

2. is not convicted of a crime as defined in 502.60;

3. has not had his license or permit suspended or revoked in any other racing jurisdiction; and

4. is qualified to perform the duties required of such applicant, according to Sections 502.120 through 520.790.

History

• Source: Amended at 22 Ill. Reg. 10656, effective June 1, 1998

11 Ill. Adm. Code 502.50 Rulings and Hearings

If the stewards recommend, based upon Sections 502.60, 502.90, 502.95, 502.100 or 502.104, that a completed application be denied by the Board, they shall issue a ruling to that effect. The applicant may then request a hearing before the Board pursuant to the provisions of 11 Ill. Adm. Code 204. If the applicant does not exhaust these administrative remedies by requesting a hearing within the time specified in 11 Ill. Adm. Code 204.20(c), the stewards' ruling shall become a final decision of the Board, and the applicant shall be ineligible to reapply for a license for the balance of the calendar year from the date of the stewards' ruling.

History

• Source: Added at 11 Ill. Reg. 20611, effective January 1, 1988

11 Ill. Adm. Code 502.55 Denial of License

The denial of a license by the Board to any applicant has the effect as a ruling for the violation of a rule, and the denial of a license by the Board will continue in effect until such time as the Board shall approve a subsequent application for a license in accordance with the criteria in Section 502.60 through 502.104.

History

• Source: Added at 11 Ill. Reg. 20611, effective January 1, 1988

11 Ill. Adm. Code 502.58 License to Participate

No person shall participate in a race meeting unless such person has been granted a license.

History

• Source: Added at 11 Ill. Reg. 20611, effective January 1, 1988

11 Ill. Adm. Code 502.60 Denial of a License for Criminal Conviction

a) Pursuant to Section 15(c) of the Illinois Horse Racing Act of 1975 (Ill. Rev. Stat. 1985, ch. 8, par. 37-15(c)) (the Act), the Board may, in its discretion, refuse to grant an occupation license to any person who has been convicted of a crime.

b) For purposes of this Section, a crime includes both felonies and misdemeanors, except for minor traffic offenses, such as parking or speeding tickets. Driving under the influence, as defined in Section 11-501 of the Illinois Rules of the Road (Ill. Rev. Stat. 1985, ch. 95½, par. 11-501) is also a crime.

c) A criminal conviction exists when a plea of guilty, finding of guilty, or a plea of nolo contendere was entered.

d) Upon a request for a hearing pursuant to 11 Ill. Adm. Code 204 from the stewards' recommendation in accordance with Section 502.50, the Board will review the nature of the crime(s), especially crimes of dishonesty, fraud, deceit or violence, when the crimes were committed and the applicant's subsequent employment history.

History

• Source: Added at 11 Ill. Reg. 20611, effective January 1, 1988

11 Ill. Adm. Code 502.72 First-Time Applicant Who Has Been Convicted of a Crime

a) Provisions of this Section shall apply only to applicants who have never previously applied for a license and who have been convicted of a crime within a period of four years prior to the date of filing a first-time application for a license with the Board.

b) Applicants who have been convicted of a crime shall attach with the application the following:

1. a certified copy of the judgment of the conviction; and

2. at least two letters of reference from persons, none of whom are relatives, who have known the applicant for more than four years and who have personal knowledge of the applicant's character and his reputation for honesty and integrity.

c) An applicant shall not construe compliance with the provisions of this section to mean that he is automatically entitled to a license.

History

• Source: Added at 11 Ill. Reg. 20611, effective January 1, 1988

11 Ill. Adm. Code 502.76 Prohibitions Against Persons on Conditional Discharge, Parole, Probation or Supervision

No license shall be granted to any person while on conditional discharge, parole, probation or supervision for any crime relating to horse racing, gambling, drugs, use of firearms, acts of violence, or crimes involving dishonesty such as forgery, deceptive practices, or theft, unless the Board finds that the applicant has complied with the conditions and terms of his court ordered disposition.

History

• Source: Amended at 15 Ill. Reg. 11985, effective August 12, 1991

11 Ill. Adm. Code 502.78 Probationary Nature of Licenses

a) All licenses granted by the Board are subject to suspension or revocation pursuant to Section 15(d) of the Act or due to violations of Section 502.100 of the rules or any crimes, as defined in Section 502.60, that occur or are later discovered after the license has been granted.

b) An applicant who receives a license pursuant to Sections 502.72 and 502.76 shall be admonished, at the time the license is granted, that severe sanctions, such as license revocation or suspension, will be imposed if the holder of such a license violates the Act or the rules of the Board.

c) Notwithstanding the Board's approval of an applicant under Sections 502.72 and 502.76, an applicant may be denied a license because:

1. The applicant otherwise fails to possess the fitness or experience set forth in Sections 502.120 through 502.790; or

2. An apparent or actual conflict of interest exists, as prohibited by the Board in Sections 502.800 through 502.850.

History

• Source: Added at 11 Ill. Reg. 20611, effective January 1, 1988

11 Ill. Adm. Code 502.80 Unqualified to Perform the Duties

Pursuant to Section 15(c)(2) of the Act, the Board may refuse or deny a license application if the applicant:

a) fails to meet the specific criteria set forth in Sections 502.120 through 502.790; or

b) has an apparent or actual conflict of interest as set forth in Sections 502.800 through 502.850.

History

• Source: Added at 11 Ill. Reg. 20611, effective January 1, 1988

11 Ill. Adm. Code 502.90 Falsifying Answers or Omitting Facts

a) Pursuant to Section 15(c)(3) of the Act, the Board shall deny a license application if the applicant:

1. Knowingly gives false answers to questions during the course of a steward's inquiry; or

2. Knowingly gives false answers in a hearing by the Board; or

3. Knowingly withholds information in the application.

b) Applicants are cautioned to read the application carefully and take care in providing their social security numbers and dates of birth. If the applicant has a question about the application, he may seek assistance from the Board's licensing personnel or the Stewards. However, the applicant will be solely responsible for the truth and correctness of all information furnished in the application.

History

• Source: Amended at 41 Ill. Reg. 12860, effective October 1, 2017

11 Ill. Adm. Code 502.100 Reciprocity

The Board shall suspend, revoke or deny a license if the applicant's license or permit has been suspended, revoked or denied in another racing jurisdiction.

History

• Source: Amended at 41 Ill. Reg. 12860, effective October 1, 2017

11 Ill. Adm. Code 502.102 Burden of Going Forward

Any applicant previously licensed by any other racing jurisdiction whose license has been suspended or revoked, or who has been excluded by another racing jurisdiction, shall have the burden of going forward with the following:

a) Evidence that the applicant's license has been restored; and

b) Evidence that establishes that the applicant has the experience and general fitness for licensure in Illinois.

History

• Source: Added at 11 Ill. Reg. 20611, effective January 1, 1988

11 Ill. Adm. Code 502.104 Denial of a License for Just Cause in Illinois or in Another Racing Jurisdiction

a) Pursuant to Sections 15(c)(4) and (5) of the Act, the Board shall deny an application for a license for just cause if:

1. The applicant's license in another racing jurisdiction has been suspended or revoked; or

2. The applicant has been excluded by another racing jurisdiction; or

3. The applicant has violated the Board's rules or the Act.

b) Pursuant to Section 16(a) of the Act, the Board may refuse to issue or may suspend the occupation license of any person who fails to file a tax return, or to pay the tax, penalty or interest shown in a filed return, or to pay any final assessment of tax, penalty or interest, as required by any tax Act administered by the Department of Revenue, until the requirements of the tax Act are satisfied.

c) Just cause shall not include any cause based solely on race, color, creed, national origin or sex.

History

• Source: Amended at 28 Ill. Reg. 11244, effective August 1, 2004

11 Ill. Adm. Code 502.110 Criteria for Determining Eligibility

In considering license applications, the Board shall consider those criteria set forth in Section 502.60 through 502.104.

History

• Source: Added at 11 Ill. Reg. 20611, effective January 1, 1988

11 Ill. Adm. Code 502.115 Standards Required of All Applicants

a) An applicant, other than a corporation, for an occupation license shall be at least 16 years of age, except as provided in Sections 502.120(b), 502.200, 502.230, and 502.250.

b) An applicant for an occupation license shall furnish with his license application two sets of classifiable fingerprints on the law enforcement agency cards provided by the Board:

1. when applying for a license; or

2. when requested by the stewards in the course of an investigation or inquiry; and

3. pursuant to Section 15(e) of the Act, each applicant may fulfill his finger print requirement at either the licensing office of each racetrack or, with prior approval of the state stewards, at a law enforcement agency.

c) An applicant for an occupation license in all categories, except that of owner, shall be a United States citizen, a permanent resident alien, or be the holder of a temporary or permanent work permit, pursuant to 20 CFR 655 and 20 CFR 656 (as amended by P.L. 99-603 (1987) and regulations promulgated thereunder).

d) In addition to the foregoing requirements, applicants shall meet the specific standards for eligibility set forth in Section 502.120 through 502.790 herein.

History

• Source: Added at 11 Ill. Reg. 20611, effective January 1, 1988

11 Ill. Adm. Code 502.120 Owners

a) An applicant for an owner's license shall own, in whole or in part, or lease a horse eligible to race at the race meeting where the applicant seeks to participate. The horse must be under the care of a trainer licensed by the Board.

b) If younger than 18 years of age, an applicant for an owner's license shall submit an affidavit from a parent or legal guardian stating that the parent or legal guardian shall assume legal responsibility for the applicant's financial, contractual, or other obligations relating to the applicant's participation in racing if the license is granted. A parent or legal guardian submitting such an affidavit shall also submit the information required in subsection (c) below.

c) An applicant for an owner's license shall be capable of meeting the financial obligations incurred in the ownership, stabling, racing, training, and care of a race horse.

d) Owners licenses are personal in nature and expire upon the death of the licensee, and thereafter are void and without effect as a pre-requisite for the entry of a horse. When the decedent was the sole owner the only mechanism by which a deceased owner's horse(s) may be entered before the property rights in those horses have been fully and completely transferred through legacy, intestate succession or authorized sale, is as follows: upon presentation to the licensing office of letters of administration or letters testamentary issued by a court of competent jurisdiction, or small estate affidavit, the person named in the letter or affidavit shall be licensed as an authorized agent of the estate of the decedent and allowed to enter the horse(s) formerly owned by the decedent, subject to any limitations imposed by the court.

History

• Source: Amended at 13 Ill. Reg. 1562, effective January 23, 1989

11 Ill. Adm. Code 502.200 Trainers and Assistant Trainers

An applicant for a license as a trainer or an assistant trainer shall:

a) Be at least 18 years of age and have been licensed as a trainer or assistant trainer by the Board or another racing jurisdiction. Any person applying for a license as a trainer or assistant trainer for the first time in Illinois shall submit to the examinations required of prospective trainers and assistant trainers, as provided in Section 502.210, unless previously licensed in one of these capacities in another racing jurisdiction where he or she was administered and passed a trainer's examination.

b) Additionally, an applicant for a trainer's license shall:

1. have at least one horse to train that is eligible to race in Illinois;

2. be capable of meeting the financial obligations incurred in the stabling, racing, training and care of the horse in his or her care; and

3. provide proof of having complied with Section 502.220.

c) An applicant for an assistant trainer's license shall be employed by a licensed trainer. In order to employ an assistant trainer, a trainer must have at least six horses in his or her stable, but may have no more than one assistant trainer for every 20 horses in training. However, if a trainer has fewer than six horses and wishes to ship one or more to another race track, or if a trainer shows a hardship such as a physical impairment, the Stewards shall allow the trainer to have an assistant trainer.

History

• Source: Amended at 33 Ill. Reg. 6696, effective May 1, 2009

11 Ill. Adm. Code 502.210 Prospective Trainers or Assistant Trainers

If the applicant for a trainer or assistant trainer's license has never been previously so licensed by the Board or has been so licensed by another racing jurisdiction for less than one year, the applicant shall:

a) have at least two years' experience in a licensed racing occupation;

b) submit three letters of recommendation from former employers and/or currently licensed trainers who can attest to the applicant's training ability and experience;

c) demonstrate, by actual performance his knowledge of horsemanship, including, but not limited to, saddling, bandaging, and diagnosing horse ailments;

d) pass with a grade of 75% a written examination administered by the stewards or their designee, covering such subjects as rules of racing, care and handling of horses, and proper use of racing equipment. Such examinations shall be given from time to time as requested during race meetings but no such test shall be administered during the 30 days prior to the end of a race meeting or during the last 45 days of a calendar year.

History

• Source: Amended at 19 Ill. Reg. 5034, effective April 1, 1995

11 Ill. Adm. Code 502.220 Workers' Compensation

An applicant for a trainer's license shall elect to be bound by the provisions of the Workers' Compensation Act (Ill. Rev. Stat. 1993, ch. 48, pars. 138.1 through 138.28) [820 ILCS 305/1-28] and shall, accordingly, comply with the provisions of Section 4 of said Act; and shall, at the time of submitting an application for a trainer's license, attach to said application a certificate of compliance or certificate of approval from the Industrial Commission of the State of Illinois that said trainer has complied with the provisions of said Workers' Compensation Act.

a) For the purposes of this Section, a person shall be deemed to be in the service of the applicant and therefore, an "employee" within the meaning of Workers' Compensation Act (Ill. Rev. Stat. 1991, ch. 48, par. 138.1(b)(2)) [820 ILCS 305/1(b)(2)] whenever the applicant has the right to control and direct such person, not only as to the result to be accomplished; provided that, it is not necessary that the applicant actually direct or control the manner in which the work is performed, if the applicant has the right to do so.

b) In determining whether an employer-employee relationship exists under subsection (a) above, the furnishing of tools and a place to work by the applicant to such person performing the work shall be considered factors characteristic of an employer.

c) If the criteria of subsection (a) above, are satisfied, an employer-employee relationship shall be deemed to exist, regardless of the description or designation by the parties themselves, and it shall be of no consequence that the person performing the work is designated as partner, co-adventurer, agent, independent contractor, or the like. Such employer-employee relationship includes, but is not limited to, persons performing the services of groom, hotwalker, and exercise person.

d) If a trainer of harness horses has no employees, and contemplates none, he shall attach an affidavit to this effect with his application upon a form to be supplied by the Board. If thereafter, said trainer does become an employer, he shall comply with this Section and supply to the Board the applicable certificate. This subsection does not apply to trainers of thoroughbred horses.

History

• Source: Amended at 17 Ill. Reg. 19961, effective November 8, 1993

11 Ill. Adm. Code 502.230 Jockeys and Apprentice Jockeys

An applicant for a license as a jockey or apprentice jockey shall:

a) be at least 16 years of age or have been licensed as a jockey in this or another racing jurisdiction prior to the effective date of these rules; and

b) have been licensed previously as a jockey or apprentice jockey by the Board or by another racing jurisdiction;

c) be found physically able to ride in competitive horse races by a licensed practicing physician prior to the first Illinois race meeting at which the applicant intends to ride; and

d) have ridden fewer than 40 winners within the periods specified in 11 Ill. Adm. Code 1411.140(a).

History

• Source: Amended at 28 Ill. Reg. 11244, effective August 1, 2004

11 Ill. Adm. Code 502.235 Apprentice Jockeys, Criteria for Eligibility

An applicant for an apprentice jockey's license who has never been so licensed shall:

a) be at least 16 years of age or have been licensed as an apprentice jockey in this or another racing jurisdiction prior to January 1, 1988 (the effective date of this Section);

b) have been licensed for at least one year by the Board or by another racing jurisdiction as an exercise rider or shall have acquired riding experience comparable to that of an exercise person at a training center or farm;

c) demonstrate the ability to break a horse from a starting gate in company with other horses and under observation of the starter; and

d) then have ridden competitively in at least two races.

History

• Source: Amended at 33 Ill. Reg. 6696, effective May 1, 2009

11 Ill. Adm. Code 502.238 Apprentice Contract or Certificate

Upon completion of the criteria specified in 502.235, an apprentice jockey may either race under contract to a licensed owner or trainer or be issued an apprentice certificate.

a) If the apprentice enters into a contract, the stewards shall ascertain that the contract complies with the following:

1. The contract employer possesses the character, knowledge, experience, and financial responsibility to develop a competent race rider.

2. The contract employer owns or has custody of at least four horses eligible to race in Illinois at the time the contract is executed.

3. The duration of the contract is at least three years but no more than five years. If the contract later is terminated, the apprentice shall be issued a certificate indicating each winner ridden; or

b) An apprentice jockey who has been issued a certificate may contract his services to a licensed owner or trainer for the remainder of the apprenticeship, with the approval of the stewards. The stewards shall grant said approval if the standards in subsections (a)(1), (2) or (3) above are met.

History

• Source: Added at 11 Ill. Reg. 20611, effective January 1, 1988

11 Ill. Adm. Code 502.250 Harness Driver

An applicant for a driver's license, other than prospective harness drivers (see Section 502.260), shall:

a) be a least 18 years of age; and

b) have been licensed as a driver by the Board or by another racing jurisdiction.

History

• Source: Added at 11 Ill. Reg. 20611, effective January 1, 1988

11 Ill. Adm. Code 502.260 Prospective Harness Drivers

An applicant who has never been licensed as a driver shall:

a) have at least one years training experience and demonstrate the ability to drive a horse at training speeds;

b) be knowledgeable of and conversant in the training and driving of harness horses, as shown by passing a written examination composed by the U.S. Trotting Association (the Board will state the location of the Association and the frequency of the tests) and administered once at every race meet in Illinois.

c) be found physically able to drive in competitive horse races by a practicing physician who is licensed in accordance with the Medical Practice Act (Ill. Rev. Stat. 1985, ch. 111, par. 4401 et seq.), prior to the first Illinois race meetings at which the applicant intends to drive.

History

• Source: Added at 11 Ill. Reg. 20611, effective January 1, 1988

11 Ill. Adm. Code 502.270 "q" Licenses

An applicant who successfully completes the requirements of Section 502.260 shall be issued a "Q" or qualifying license and shall be permitted to participate in only qualifying and other non-wagering races.

History

• Source: Added at 11 Ill. Reg. 20611, effective January 1, 1988

11 Ill. Adm. Code 502.280 "p" Licenses

The holder of a "Q" license may apply for a "P" or provisional license. The stewards shall grant a "P" license if the applicant has driven in at least 12 qualifying, non-wagering races and has done so in compliance with the rules stated in 11 Ill. Adm. Code 1318.10.

History

• Source: Added at 11 Ill. Reg. 20611, effective January 1, 1988

11 Ill. Adm. Code 502.290 "a" Licenses

The holder of a "P" license shall be considered for an "A" or full license upon completion of one of the following:

a) The applicant has at least one year's experience while driving with a "P" license plus 25 pari-mutuel starts in the prior twelve month period; or

b) The applicant has less than one year's driving experience but has at least 50 pari-mutuel starts and the written endorsement of the applicant's driving ability of stewards at recognized meetings where those races occurred; or

c) The applicant has at least 25 pari-mutuel starts in the two years prior to the date of application and at least 50 starts at fair meetings for which the start is charted and recorded on the horse's eligibility papers.

History

• Source: Amended at 17 Ill. Reg. 19961, effective November 8, 1993

11 Ill. Adm. Code 502.300 Veterinarians

An applicant for a veterinarian's license shall:

a) provide proof of a current license issued by the Illinois Department of Registration and Education to practice veterinary medicine in Illinois in accordance with the Veterinary Medicine and Surgery Practice Act of 1983 (Ill. Rev. Stat 1985, ch. 111, par. 7001, et seq.); and

b) review the Board's medication rules (11 Ill. Adm. Code 509) with the state veterinarian.

History

• Source: Added at 11 Ill. Reg. 20611, effective January 1, 1988

11 Ill. Adm. Code 502.320 Veterinary Assistant

a) An applicant for a license as a veterinary assistant shall establish an offer of employment by a veterinarian licensed by the Board by obtaining the signature of the veterinarian on the license application, and the veterinarian will supervise the applicant.

b) A veterinary assistant shall be permitted to practice equine dentistry only under the following circumstances:

1. The services of the veterinary assistant are retained by a licensed veterinarian under the employment agreement or an independent contract;

2. The contract for service is between the veterinarian and the client;

3. Fees for services are paid by the client to the licensed veterinarian;

4. Payment to the veterinary assistant is made by the veterinarian;

5. The veterinarian's billing records indicate the nature of the work performed;

6. The work is performed under the veterinarian's general supervision; and

7. The veterinarian is in a position to give such supervision as deemed necessary.

History

• Source: Amended at 20 Ill. Reg. 13052, effective October 1, 1996

11 Ill. Adm. Code 502.350 Farriers (blacksmiths)

An applicant for a farrier's license shall have been licensed previously by the Board or another racing jurisdiction. A valid farrier's license from another racing jurisdiction where he was administered and passed a farrier's examination may be accepted as evidence of experience and qualifications. Farriers who have never been licensed by the Board or another racing jurisdiction shall be required to:

a) Pass written and practical examinations. The practical examinations shall consist of shoeing a horse and working in the fire to make a bar shoe and a shoe with a sticker and a block. The written examination shall be administered by the Stewards. A passing score shall be a score of 75%.

b) The written and practical examinations shall be administered by 2 licensed farriers, appointed by the Stewards, with at least 3 years experience each and witnessed by a Steward or the Steward's designee.

History

• Source: Amended at 29 Ill. Reg. 10248, effective August 1, 2005

11 Ill. Adm. Code 502.380 Exercise Riders

An applicant for an exercise rider's license shall have been previously licensed as an exercise rider by the Board or by another racing jurisdiction. If unable to meet this requirement, the applicant shall have been previously licensed in any capacity by the Board or in another racing jurisdiction and shall demonstrate to the stewards or their designee the applicant's ability to ride a galloping racehorse.

History

• Source: Added at 11 Ill. Reg. 20611, effective January 1, 1988

11 Ill. Adm. Code 502.400 Pony Person

An applicant for a license as a pony person shall have been licensed previously by the Board or by another racing jurisdiction. If unable to meet this requirement, the applicant shall demonstrate his riding ability to the stewards or their designee.

History

• Source: Added at 11 Ill. Reg. 20611, effective January 1, 1988

11 Ill. Adm. Code 502.450 Stable Foreman

An applicant for a stable foreman's license shall have been licensed previously as a stable foreman by the Board or by another racing jurisdiction, or shall have been licensed as a groom for at least one year in any racing jurisdiction.

History

• Source: Added at 11 Ill. Reg. 20611, effective January 1, 1988

11 Ill. Adm. Code 502.500 Jockey Agents

a) An application for a license as a jockey agent may be obtained by the following persons:

1. Previously Board licensed jockey agent;

2. Person previously licensed by another racing jurisdiction as a jockey agent;

3. Board occupation licensee with a minimum year (365 days) of experience who obtains a passing grade of 75% or more on the stewards' written examination. The stewards will administer all written exams, which include subjects such as jockey engagements and horse eligibility.

b) A jockey agent may represent a maximum of two jockeys and one apprentice jockey.

History

• Source: Amended at 42 Ill. Reg. 20121, effective November 1, 2018

11 Ill. Adm. Code 502.600 Authorized Agents

An applicant for an authorized agent's license shall submit with his license application a written agency appointment authorizing the applicant to act on behalf of a licensed owner or licensed trainer in racing matters not directly related to the care and training of horses. This authorization shall be on a form provided by the Board and shall define the powers, limits, and terms of the agency. The authorization shall be signed by the principal and said authorization shall be notarized. A separate, notarized agency appointment shall be required for each principal. All such agencies shall remain in effect for the duration of the licensing year unless the principal submits written and notarized notification of revocation of the agency appointment to the stewards at the meeting where the principal is racing. Authorized agents may also be licensed as specified in Section 502.120(d).

History

• Source: Amended at 13 Ill. Reg. 1562, effective January 23, 1989

11 Ill. Adm. Code 502.650 Tack Shop Operators and Other Vendors

An applicant for a license as a tack shop operator or vendor shall, prior to the filing of the application, file with the State Veterinarian for his or her approval, a list of the items or types of service that the applicant intends to sell or deliver. If possession of those items or services within the race track enclosure is not prohibited by the Board's rules, the State Veterinarian shall approve the list annually.

History

• Source: Amended at 33 Ill. Reg. 6696, effective May 1, 2009

11 Ill. Adm. Code 502.660 Vendor Helper

An applicant for a license as a vendor helper shall document evidence of an offer of employment by a licensed tack shop operator or vendor before being granted a license. Such offer shall be established by the signature on the license application of the licensed tack shop operator or vendor who has actually offered such employment to the applicant.

History

• Source: Added at 11 Ill. Reg. 20611, effective January 1, 1988

11 Ill. Adm. Code 502.680 Thoroughbred Grooms

A licensed trainer employing a thoroughbred groom shall sign that groom's application documenting proof of the offer of employment. The application shall also include, but not be limited to, applicant's name, contact information and employment history, if applicable.

History

• Source: Amended at 41 Ill. Reg. 13097, effective October 1, 2017

11 Ill. Adm. Code 502.690 Harness Grooms

An applicant for a license as a groom of harness race horses shall document evidence of an offer of employment before being granted a license. Such offer shall be established by the signature on the license application of the licensed trainer who has actually offered such employment to the applicant.

History

• Source: Added at 11 Ill. Reg. 20611, effective January 1, 1988

11 Ill. Adm. Code 502.700 Hotwalker

An applicant for a license as a hotwalker shall document evidence of an offer of employment before being granted a license. Such offer shall be established by the signature on the license application of the licensed trainer who has actually offered such employment to the applicant.

History

• Source: Added at 11 Ill. Reg. 20611, effective January 1, 1988

11 Ill. Adm. Code 502.790 Totalizator Employee

An applicant for a license as a totalizator employee shall document evidence of an offer of employment by a totalizator system licensee if granted a license. Such offer shall be demonstrated by the signature on the license application of the tote room operator, representing the totalizator system licensee, who has actually offered such employment to the applicant.

History

• Source: Added at 11 Ill. Reg. 20611, effective January 1, 1988

11 Ill. Adm. Code 502.795 Business Agents

"Business agent" shall be defined as a person or business authorized to act on behalf of an organization licensee with respect to matters directly impacting racing operations, pari-mutuel wagering, or the providing of services to patrons at intertrack wagering locations. Only "key personnel" (persons that have authority to develop or administer policy or to make discretionary decisions with respect to matters directly impacting racing operations, pari-mutuel wagering, or the providing of services to patrons at intertrack wagering locations) shall be required to be licensed by the Board.

History

• Source: Added at 32 Ill. Reg. 7391, effective May 1, 2008

11 Ill. Adm. Code 502.800 General Provisions

When an applicant applies for a license in more than one occupation, the Board shall consider whether the holding of such multiple licensing creates the appearance of a conflict of interest (such as, but not limited to, a sudden change in ownership to immediate family members or a change in ownership without adequate consideration). If such appearance is created, the multiple license shall be denied.

History

• Source: Added at 11 Ill. Reg. 20611, effective January 1, 1988

11 Ill. Adm. Code 502.820 Dual Licensing

a) A person licensed as a jockey, veterinarian, totalizator employee, or farrier shall not be licensed in any other capacity, unless approved by the Board. The Board shall deny any application for a dual license when it determines that a conflict will exist between the privileges and duties of the two license types.

b) A person licensed as an owner shall not be licensed as a jockey agent, nor shall any person licensed as a jockey agent be licensed as an owner.

c) A person licensed as a racing official shall not be licensed in another capacity during the race meeting at which that person is serving as a racing official, except as provided in 11 Ill. Adm. Code 422.60.

History

• Source: Amended at 19 Ill. Reg. 17190, effective January 1, 1996

11 Ill. Adm. Code 502.830 Limitations on License

A groom may be a hotwalker. A trainer may also perform the duties of a groom or hotwalker. An exercise rider may also be a pony person. A harness owner may also groom or hot walk the horse or horses owned by him. However, except for those license categories specifically mentioned herein, no licensee shall act in any capacity other than that for which he is licensed. Thus, for example:

a) a pony person may not exercise horses if not licensed as an exercise rider.

b) a groom may not perform the duties of a trainer if not licensed as a trainer.

History

• Source: Added at 11 Ill. Reg. 20611, effective January 1, 1988

11 Ill. Adm. Code 502.840 Husbands and Wives

Rules pertaining to licensees, and rulings against either a husband or a wife, shall apply equally to the licensee's spouse, unless the Board finds that the continued participation in racing by the affected spouse will not circumvent the intent of the rule or ruling by permitting one spouse to serve in essence as a substitute for a person ineligible to participate in a particular activity. In making such a decision, the stewards and the Board shall consider, but not be limited to, the following: the length of involvement in racing of the affected parties, the economic interdependence of the parties and the nature of the licenses.

History

• Source: Amended at 48 Ill. Reg. 18265, effective December 12, 2024

11 Ill. Adm. Code 502.850 Transfer of a Horse

The transfer of a horse by a person whose license has been suspended, denied, or revoked to circumvent a rule or ruling shall constitute a violation of these rules.

History

• Source: Added at 11 Ill. Reg. 20611, effective January 1, 1988

Part 506 Responsibilities and Duties of Occupation Licensees

11 Ill. Adm. Code 506.50 Responsibility of Employee When Discharged

An employee of a trainer shall return his or her Board identification badge to the stewards within 24 hours of discharge or resignation. An employee who changes employers shall also notify the stewards of such change no later than the end of the next racing day at that race meeting.

Part 508 Substance Abuse

11 Ill. Adm. Code 508.10 Purpose

a) Horse racing is a publicly sponsored sport featuring legalized gambling by members of the general public, which, in turn, generates revenue for the state treasury. The business of horse racing and its participants are pervasively regulated, like liquor and firearms, because of the public interest in close regulatory supervision.

b) This Part is designed to prevent practices in horse racing that are detrimental to the public interest, to promote the best interests of horse racing, and to cooperate in the establishment of a national substance abuse rule for racing as proposed by the National Association of State Racing Commissioners.

c) The abuse of chemical substance has become an increasing problem in modern society and could involve upwards of 10% of the total population. In racing, as with other sports, the problem of drugs is two-fold:

1. the impact on an individuals ability to perform his duties; and

2. the addiction which may make the individual peculiarly susceptible to bribes or other improper influences.

d) Horse races are won and lost in fractions of a second. The dulling or alteration of the senses of one driver or jockey in a race endangers the safety, if not the life, of the human and equine participants in the race.

e) The abuse of chemical substances by participants in racing may have a negative impact on the fairness of the competition, the public's perception of the integrity of the sport, and the outcome of a race.

f) Part 508 rules provide a systematic administrative framework for the prevention of alcohol and drug abuse by participants in racing. This part provides for the collection of body fluids and their testing for the presence of controlled substances. Additionally, this part will provide a framework for the testing of drivers/jockeys for the presence of alcohol.

Part 508 also provides a framework to insure that individuals who are found to abuse alcohol or drugs will seek rehabilitation.

g) Part 508 is administratively motivated rather than an attempt by the Illinois Racing Board (Board) to enforce the criminal laws. Privacy rights of the participants in racing are balanced against the broad public interest in maintaining the honesty and integrity of the racing industry.

h) The General Assembly of Illinois has made a specific appropriation for the funding of the Human Substance Abuse Program. Furthermore, this program is not intended to preclude the collection of bodily fluid specimens during a pre-race meeting physical.

11 Ill. Adm. Code 508.20 Definitions

"Association grounds" means all areas used by a racing association to conduct a race meeting.

"Civil penalty" means a monetary penalty assessed against a licensee for a violation of Board rules or the Illinois Horse Racing Act of 1975 (Act) (Section 9(1) of the Act, Ill. Rev. Stat. 1985, ch. 8, par. 37-9(1)).

"Confirmed test" means a second analytical procedure has been used to identify the presence of a specific drug or metabolite in a urine specimen.

"Controlled substance" means any substance listed in 21 U.S.C. 812. (21 U.S.C. 812 does not include any later amendments or editions).

"Initial screening" means a sensitive screening which determines the presence of drugs and their corresponding families.

"Inquiry" means an informal hearing conducted by the stewards to determine whether the rules of the Illinois Racing Board or the Act have been violated.

"Laboratory" means an independent testing laboratory contracted by the Board.

"Positive report" means a laboratory report that a controlled substance was present in a urine sample.

"Prescription drug" means any chemical substance which is prohibited by any federal law from being dispensed without a prescription from a licensed physician.

"Stewards" means the steward or stewards representing the Board, the steward or stewards representing the organization licensee, and any other steward or stewards whose duty it shall be to supervise any licensed horse race meeting in Illinois under the jurisdiction of the Board.

11 Ill. Adm. Code 508.30 Breathalyzer Test

a) No Jockey, Driver, Starter, Assistant Starter, or Outrider while on association grounds shall have present within his body any amount of alcohol. Jockeys, Drivers, Starters, Assistant Starters, or Outriders shall, when directed by the stewards, submit to a breathalyzer test. If the results thereof show a reading of more than 0.00 percent of alcohol in the blood, such person shall not be permitted to ride or drive in races on that day. The Board or the stewards shall assess a civil penalty against, or revoke the license of any Jockey, Driver, Starter, Assistant Starter, or Outrider who records a blood alcohol reading of more than 0.00 percent as provided for in Section 508.40.

b) The stewards shall direct a Jockey, Driver, Starter, Assistant Starter, or Outrider at the race track to take a breathalyzer test if the stewards have either reasonable information or an individualized suspicion that the breathalyzer test of such Jockey, Driver, Starter, Assistant Starter, or Outrider may produce evidence that such individuals are intoxicated. Any Jockey, Driver, Starter, Assistant Starter, or Outrider who fails to submit to a breathalyzer test when requested to do so by the stewards shall be suspended.

History

• Source: Amended at 12 Ill. Reg. 1910, effective January 1, 1988

11 Ill. Adm. Code 508.35 Hearings

A Jockey, Driver, Starter, Assistant Starter, or Outrider who records a blood alcohol reading of more than 0.00 percent or fails to submit to a breathalyzer test may request a hearing before the Board as set forth in 11 Ill. Adm. Code 204. If any individual commits a fourth violation of Section 508.30 wherein his license is revoked, he shall be entitled to a hearing as provided in 11 Ill. Adm. Code 204.

11 Ill. Adm. Code 508.40 Penalties for Alcohol Abuse

a) For the first violation of Section 508.30, the Board or the Stewards shall assess a civil penalty of one hundred dollars ($100.00).

b) For the second violation of Section 508.30, the Board or the Stewards shall assess a civil penalty of two hundred fifty dollars ($250.00).

c) For the third violation of Section 508.30, the Board or the Stewards shall assess a civil penalty of five hundred dollars ($500.00)

d) For the fourth violation of Section 508.30, the occupation license shall be revoked. If any individual licensee commits a fourth violation of Section 508.30 wherein his license is revoked, he shall be entitled to a hearing as provided in 11 Ill. Adm. Code 204.

11 Ill. Adm. Code 508.50 Licensee Subject to Testing

a) No licensee shall have present in his or her body, or possess or use on the grounds of any race track, any controlled substance or any prescription drug unless the substance was obtained directly, or pursuant to a valid prescription or order, from a licensed physician, while acting in the course of his or her professional practice.

b) Each licensee at a race track or other facility under the jurisdiction of the Board may be subject to a drug test at any time while within the enclosure of any race track or other facility, at the direction of the Stewards or Executive Director or designee, if there is individualized suspicion that a licensee is possessing or using any controlled substance or any drug in violation of any federal or State law. This provision notwithstanding, specific categories of occupation licenses are subject to random drug testing pursuant to Section 508.80. Failure to submit to or complete a drug test at the time, location and manner directed by Board personnel shall constitute a refusal to be tested. Any licensee who fails to submit to or complete a drug test shall be immediately suspended for no more than 30 days and shall not be allowed to participate at any race track under the jurisdiction of the Board until a negative test result is achieved. A licensees' refusal to test shall subject the licensee to the penalties in Section 508.60.

c) Each specimen received from a licensee shall be divided into two separate parts. One portion designated as the referee sample, shall be available for testing upon the request of the individual who provided the specimen. The referee sample may also be tested by the laboratory with the consent of the individual who provided the specimen. The other portion of the sample shall be known as the laboratory sample and shall be tested by the laboratory. The cost of testing the referee portion shall be borne by the person requesting the additional test.

d) After the specimen has been taken from a licensee and analyzed by an accredited laboratory approved by the Board, the laboratory shall make a positive test finding. The Board shall consider both the initial test level and confirmatory test level for controlled substances or prescription drugs, pursuant to the Mandatory Guidelines for Federal Workplace Drug Testing (Substance Abuse and Mental Health Services Administration available at http://www.workplace.samhsa.gov) when determining a positive for a controlled substance that is included in the federal guidelines.

e) A confirmed positive for an illegal drug, controlled substance or prescription drug result shall be reported, in writing, to the Stewards. On receiving written notice from the laboratory that a sample has been found positive for an illegal drug, controlled substance or prescription drug, the Stewards shall notify the individual of the test results.

f) Upon receipt of a notice of positive test finding, the stewards shall conduct an inquiry at which the individual with notice of a positive test finding shall have the opportunity to be heard. Further, any individual with notice of a positive test finding may challenge his or her particular test or test result by having a portion of the sample tested at the laboratory of his or her choice. Any individual contesting the tests or test results may request a hearing before the Board as set forth in 11 Ill. Adm. Code 204.

History

• Source: Amended at 33 Ill. Reg. 4158, effective March 1, 2009

11 Ill. Adm. Code 508.60 Penalties for Substance Abuse

a) For a licensees' first violation of Section 508.50(a) or (b), the Board or the Stewards shall suspend the offender or assess a civil penalty not to exceed $1,000. In determining the appropriate penalty, the Board or stewards shall consider the offender's history of rule violations, age and experience, and the potential of the offender's conduct to result in physical harm to the human and equine participants at the race meeting.

b) For a second violation of Section 508.50(a) or (b), the Board or the Stewards shall suspend the licensee pending his or her completion of a substance abuse treatment program licensed by the Illinois Department of Human Services under 77 Ill. Adm. Code 2055, a state licensed treatment program in another state, or an alternative program approved by the Stewards. If any individual is suspended for a second violation of Section 508.50(a) or (b), he or she shall be entitled to a hearing as provided in 11 Ill. Adm. Code 204.

1. It shall be the responsibility of the licensee to provide the Board with written notice (on forms provided by the Board) of enrollment, weekly status reports, and a written notice that he or she has successfully completed the program and has been discharged.

2. After a licensee has been discharged from a treatment program, the Board shall require, as a condition of re-licensure, periodic follow-up drug testing within one year from the date of the treatment program discharge, but not to exceed 4 tests per year.

c) For a licensee's third violation of Section 508.50(a) or (b), his or her license shall be revoked. If any individual's license is revoked for the third violation of Section 508.50(a) or (b), he or she shall be entitled to a hearing as provided in 11 Ill. Adm. Code 204.

History

• Source: Amended at 33 Ill. Reg. 4158, effective March 1, 2009

11 Ill. Adm. Code 508.70 Confidential Test Results

The results of any urine test shall be treated as confidential, except for their use with respect to a ruling issued pursuant to this rule, or any administrative or judicial hearing with regard to such a ruling. Access to the information contained in any Board Laboratory "positive" test report shall be limited to the members of the Illinois Racing Board, the Executive Director and/or his designee and the subject Jockey, Driver, Starter, Assistant Starter or Outrider except in the instance of a contested matter.

11 Ill. Adm. Code 508.80 Random Testing

a) State racing boards and commissions in several states have promulgated regulations that subject racing participants to both breathalyzer and urinalysis tests by ramdomly selecting participants for such tests. The validity of this type of regulation was recently upheld in Shoemaker v. Handel, 3rd Cir. (1986) 795 F. 2d 1136, affirming 619 F. Supp. 1098 (D.N.J. 1985).

b) The Board finds, based on its experience and expertise in the regulation of racing, that random testing for alcohol and controlled substances will maximize the value of tests as a deterrent and will tend to reduce the adversarial nature of the test by treating all Jockeys, Drivers, Starters, Assistant Starters, and Outriders equally.

c) As a supplement to the substance abuse testing program based upon individualized suspicion (as set forth in Sections 508.30 and 508.50 above), the Board hereby authorizes the limited use by the Stewards of both breathalyzer and urinalysis tests for Jockeys, Drivers, Starters, Assistant Starters, and Outriders who are selected by random. The names of all Jockeys, Drivers, Starters, Assistant Starters, and Outriders who appear on the official program as participants for a given race program for which testing is to be conducted shall be placed in a locked container which shall be secured by the stewards. The stewards for each racing program shall draw from the container the names of not more than five individuals for alcohol and drug testing. The name drawing shall be proximate to race time and a representative of the Jockey's Guild, the Illinois Horsemen's Benevolent and Protective Association, and the Illinois Harness Horsemen's Association shall be invited to attend the drawings and witness the random selections.

d) The Jockeys, Drivers, Starter, Assistant Starters, and Outriders whose names are drawn at random must provide a urine sample to the stewards or their designee before the last race for that racing program. Any person selected at random who refuses to provide the sample or submit to a breathalyzer test shall be suspended.

e) No Jockey, Driver, Starter, Assistant Starter, or Outrider shall be required to provide a urine sample on a random selection basis more than three times at a race meet. If the participant's name is drawn in excess of three times, the stewards shall disregard the selection, return the name to the container, and draw another name.

11 Ill. Adm. Code 508.90 Severability

If any portion of these rules pertaining to substance abuse or the application thereof to any person or circumstances is held invalid, such invalidity does not affect other provisions or applications of these rules which can be given effect without the invalid application or provision, and to this end the provisions of these rules pertaining to substance abuse are declared by the Board to be severable.

Part 510 Claiming Races

11 Ill. Adm. Code 510.10 Definition

as used in Part 510, a "claimant" is a person or racing interest meeting one of the three criteria for eligibility specified in Section 510.20.

History

• Source: Amended at 18 Ill. Reg. 2064, effective January 21, 1994

11 Ill. Adm. Code 510.20 Claiming Eligibility

In a claiming race any horse may be claimed for its entered price by:

a) a licensed owner or the owner's authorized agent;

b) a licensed racing interest or its authorized agent; or

c) any person who has established eligibility to claim by filing an application for license as a horse owner and has been granted a claiming authorization, pursuant to Section 510.240.

History

• Source: Amended at 18 Ill. Reg. 2064, effective January 21, 1994).

11 Ill. Adm. Code 510.30 Form and Deposit of Claim

a) All claims shall be made in writing on a form provided by the Board. Claims shall be signed and sealed in an envelope having no identification mark except:

1. the name of the track;

2. the number of the race from which the claim is being made;

3. the stamp of a timing device provided by the track for that purpose indicating a time no later than 10 minutes prior to the thoroughbred post time and 30 minutes prior to the standardbred post time of the race in which the horse to be claimed is entered.

b) The stewards or their designated representative shall open the claim box no sooner than 10 minutes prior to the thoroughbred post time for each race and 30 minutes prior to the standardbred post time for each race. In thoroughbred racing, no information concerning the claims shall be divulged to anyone other than the racing secretary's staff and the horsemen's bookkeeper until the race has been run. In standardbred racing, the public announcement of claims filed prior to the race shall be permitted. If more than one claim is filed for the same horse, the successful claimant shall be determined by lot by the stewards or their designated representatives.

c) Once a claim is deposited in the claim box, the claimant cannot withdraw or revoke the claim.

History

• Source: Amended at 27 Ill. Reg. 533, effective January 1, 2003

11 Ill. Adm. Code 510.40 Errors which Invalidate Claim

a) A claim is invalid if:

1. the claimant named on the claim form does not meet one of the three criteria for eligibility specified in Section 510.20; or

2. the claim form is not deposited 10 minutes or more before the thoroughbred post time and 30 minutes or more before the standardbred post time, pursuant to Section 510.30(a); or

3. the claimant does not have at least the amount of the claim on deposit or credited with the horsemen's bookkeeper; or

4. the name of the horse to be claimed is erroneously spelled or is not specified in the space provided on the claim form; or

5. the claim form:

A) does not specify the designated claiming price as printed in the program;

B) is not signed;

C) does not fully indicate the name of the party making the claim; or

D) is otherwise incorrectly completed; or

6. the claim envelope does not meet the specifications of Section 510.30(a).

b) In determining amounts on deposit, consideration shall be given only to amounts on deposit in the sole name of the claimant. Amounts on deposit in accounts owned jointly or in the names of others shall not be considered in determining the adequacy of the claimant's deposit.

History

• Source: Amended at 27 Ill. Reg. 533, effective January 1, 2003

Chapter I Illinois Racing Board

Subchapter c Rules Applicable to All Occupation Licensees

Part 510 Claiming Races

11 Ill. Adm. Code 510.50 Refund of Voided Claim

When a claim has been voided by the stewards, the horse claimed shall be returned to the original owner who, in turn, shall refund all claim monies to the unsuccessful claimant.

11 Ill. Adm. Code 510.60 Prohibited Action with Respect to Claim

No person or racing interest shall:

a) claim more than one horse from any one race;

b) claim their own horse or cause such horse to be claimed, directly or indirectly, for their own account;

c) refuse to deliver the claimed horse to the successful claimant; furthermore, the horse in question shall be disqualified until delivery is effected;

d) make any agreement with any other person or racing interest for the protection of each other's horses in any claiming race;

e) remove any horse which has been entered in a claiming race from the race track where it has been entered to race;

f) fail or refuse to comply with any rule or condition of the meeting for the purpose of avoiding or preventing a claim for such horse;

g) offer, or enter into an agreement to claim or not to claim or attempt to prevent another person from claiming any horse in a claiming race;

h) attempt to intimidate or prevent anyone from running a horse in any claiming race;

i) claim horses owned or trained by their trainer or the trainer's spouse, child, sibling, parent, mother-in-law or father-in-law;

j) claim horses owned or trained by their own spouse, child, sibling, parent, mother-in-law or father-in-law;

k) claim, directly or indirectly, a horse he or she is driving in a race;

l) claim a horse without designating a licensed trainer. In the event multiple owners designate the same trainer for a single claim, a preliminary drawing between those owners shall be determined by lot under the supervision of the Stewards or their duly appointed representative. The winner of the preliminary drawing shall be the participant in the final draw. In the event that there are no other claimants, the winner of the preliminary draw shall be the sole claimant.

History

• Source: Amended at 31 Ill. Reg. 15094, effective November 1, 2007

11 Ill. Adm. Code 510.70 Horses Under Lien

No person or persons shall enter, or allow to be entered, any horse against which any claim is held, either by mortgage, or lien of any kind without, prior to entering, having filed the written consent of the holder of the mortgage or lien with the racing secretary and horsemen's bookkeeper.

11 Ill. Adm. Code 510.80 Affadavit May Be Required

Whenever the stewards have reasonable doubt about the validity of a claim, they shall require a claimant to execute an affidavit stating that the claimant is claiming the horse for the claimant's own account or as an authorized agent, and not for any other person.

11 Ill. Adm. Code 510.90 Claimant's Responsibility

Determination of the true age and sex of a claimed horse shall be the sole responsibility of the claimant, and mistakes in that regard printed in the official program or elsewhere shall not be considered a basis for invalidating the claim.

11 Ill. Adm. Code 510.100 Claimed Horse's Certificate

The foal certificate or eligibility papers of a claimed horse shall remain in the custody of the racing secretary's staff until the new owner removes the horse from the track.

11 Ill. Adm. Code 510.110 Engagements of a Claimed Horse

The stakes engagements of a claimed horse pass automatically with the horse to the claimant.

11 Ill. Adm. Code 510.120 Protests of a Claim

A protest of a claim shall be submitted in writing to the stewards not later than the day after the race was run. The stewards shall investigate the protest.

History

• Source: Amended at 18 Ill. Reg. 2064, effective January 21, 1994

11 Ill. Adm. Code 510.130 Title to a Claimed Horse

a) Title to a claimed horse shall be vested in the successful claimant from the time the horse becomes a starter.

b) Said claimant shall then become the owner of the horse irrespective of its physical condition during or after the race.

History

• Source: Amended at 18 Ill. Reg. 2064, effective January 21, 1994

11 Ill. Adm. Code 510.140 Distribution of the Purse

On the day claimed, a claimed horse shall run in the interest of and for the account of the owner from whom the horse was claimed.

11 Ill. Adm. Code 510.150 Delivery of a Claimed Horse

After the race, a claimed horse shall be delivered by the original owner to the claimant upon presentation of a written authorization from the racing secretary's office.

History

• Source: Amended at 18 Ill. Reg. 2064, effective January 21, 1994

11 Ill. Adm. Code 510.160 Trainer Responsibility for Post-Race Tests

A trainer, whose horse has been claimed and is designated for post-race testing, remains responsible for the claimed horse until after collection of the blood and/or urine specimens at the detention barn where delivery shall be made to the successful claimant.

History

• Source: Amended at 18 Ill. Reg. 2064, effective January 21, 1994

11 Ill. Adm. Code 510.170 Excusing Claimed Horse

If a horse is excused by the stewards or is declared a non-starter, any claim for the horse is void. However, in harness racing such a horse, in its next start, must race in a claiming race for the same price or less. This rule shall apply for a period of thirty days from the date of the race in which the horse was scratched or declared a non-starter.

History

• Source: Amended at 18 Ill. Reg. 2064, effective January 21, 1994

11 Ill. Adm. Code 510.180 Stable Eliminated by Fire or Other Hazard

If all horses owned by a licensed stable are destroyed by fire or other hazard, such stable shall have claiming privileges under provisions of the claiming authorization as specified under Section 510.240.

History

• Source: Amended at 18 Ill. Reg. 2064, effective January 21, 1994

11 Ill. Adm. Code 510.190 Entering Claimed Horse (repealed)

History

• Source: Repealed at 20 Ill. Reg. 12473, effective September 1, 1996

11 Ill. Adm. Code 510.195 Determining Eligibility Dates

To determine the date when a claimed horse is eligible to race at a different location pursuant to Section 510.200 of this Part or may be sold or transferred pursuant to Section 510.210 of this Part, the counting of days shall begin on the day after the horse is claimed and shall continue through the expiration of the time period provided (e.g., a horse may be sold or transferred on the 31st day after the claim pursuant to Section 510.210 of this Part).

History

• Source: Added at 20 Ill. Reg. 951, effective January 7, 1997

11 Ill. Adm. Code 510.200 Claimed Horse Racing Elsewhere

a) A standardbred horse claimed out of a claiming race is not eligible to race in any state other than Illinois for a period of 60 days from the date of the claim, or until a date following which there is no standardbred race meet scheduled in Illinois for 30 days.

b) A thoroughbred horse claimed out of a claiming race is not eligible to race in any state other than Illinois for a period of 45 days from the date of the claim, or until a date following which the racing season has concluded.

c) This Section shall not apply when claimed horses are fulfilling a stakes engagement or have the express written consent, of the race track where they were claimed, to race at another location.

History

• Source: Amended at 33 Ill. Reg. 11318, effective July 21, 2009

11 Ill. Adm. Code 510.210 Sale of a Claimed Horse

a) For harness racing, no horse claimed in a claiming race shall be sold or transferred wholly or in part to anyone within 60 days after the day is was claimed, except in another claiming race.

b) For thoroughbred racing, no horse claimed in a claiming race shall be sold or transferred wholly or in part to anyone within 30 days after the day it was claimed, except in another claiming race.

History

• Source: Amended at 25 Ill. Reg. 6393, effective May 1, 2001

11 Ill. Adm. Code 510.220 Illinois Rules Govern Claimed Horse

When a horse is claimed at a recognized meeting governed by other rules of racing, Illinois shall recognize title to the horse under the rules of the meeting at which the claim was made. However, while racing in Illinois, such a horse shall comply with Sections 510.170 and 510.250.

History

• Source: Amended at 39 Ill. Reg. 2648, effective February 9, 2015

11 Ill. Adm. Code 510.230 Extension of Regular Meeting (repealed)

History

• Source: Repealed at 18 Ill. Reg. 2064, effective January 21, 1994

11 Ill. Adm. Code 510.240 Claiming Authorization

a) The board or its appointed representatives shall issue a claiming authorization to any person who makes application therefor on forms prescribed for that purpose and who:

1. meets all requirements for the issuance of an owner's license, except that the applicant need not own a horse; and

2. has an agreement with a licensed trainer to take charge of, care for, and train any horse claimed pursuant to the claiming authorization. The holder of a claiming authorization and the trainer shall each promptly notify the stewards in writing if such agreement is terminated before a horse is successfully claimed; and.

3. has at least the amount of the claim on deposit with the horsemen's bookkeeper.

b) The claiming authorization shall be valid for the calendar year in which it is issued, or until such time as the person to whom the authorization was issued becomes a horse owner either through use of the claiming authorization or through private purchase.

c) The same fee charged for an owner's license shall be payable to the Board by the applicant prior to issuance of a claiming authorization. The holder of a claiming authorization shall not, by virtue thereof, be entitled to admission to the grandstand, clubhouse, or other spectator facility at prices less than those charged the general public.

d) An application for claiming authorization may be denied or revoked for any reason that would justify denial, suspension, or revocation of an owner's license. Any person whose claiming authorization is denied or revoked shall have the same rights to notice and hearing as an owner whose license is denied, suspended, or revoked.

e) A holder of a claiming authorization who has not previously been granted an owner's license will be issued an owner's license without payment of any additional fees.

History

• Source: Amended at 18 Ill. Reg. 2064, effective January 21, 1994

11 Ill. Adm. Code 510.250 Claiming Price

a) For a period of 30 days after the claim of a thoroughbred horse, the horse may race for the same claiming price or higher than the price at which it was claimed. The horse is eligible to run back for a lesser price on the 31st day after the claim.

b) Starter handicap or starter allowance races are not subject to subsection (a).

History

• Source: Amended at 45 Ill. Reg. 10719, effective August 3, 2021

11 Ill. Adm. Code 510.260 Option to Declare Horse Ineligible to Be Claimed

At the time of entry into a claiming race, the owner, or the trainer acting under authorization from the owner, may opt to declare a horse ineligible to be claimed provided that:

a) the horse has not been an official starter in a race at any racetrack for a minimum of 120 days since its last race as an official starter;

b) the horse's last race as an official starter was a claiming race in which the horse was eligible to be claimed;

c) the horse is entered for a claiming price equal to or greater than the claiming price at which it last started as an official starter;

d) failure to declare the horse ineligible at the time of entry may not be remedied; and

e) ineligibility to be claimed shall only apply to the first start as an official starter following each 120-day or longer layoff.

History

• Source: Added at 36 Ill. Reg. 12371, effective July 23, 2012

11 Ill. Adm. Code 510.270 Voidable Claims-Harness

a) A claim shall be voided if a horse is an official starter and the horse:

1. Dies on the racetrack; or

2. Suffers an injury which requires euthanasia of the horse, as determined by a State veterinarian, while the horse is on the racetrack.

b) A claim is voidable at the sole discretion of the new owner or the new owner's trainer, acting under authorization from the owner, for a period of up to one hour after the race is made official, for any horse that cannot walk off the track under its own power, is vanned off the track after the race, or has been observed to be lame or have exercise-induced pulmonary hemorrhage (EIPH) by a regulatory veterinarian.

History

• Source: Added at 48 Ill. Reg. 18271, effective December 12, 2024

Part 603 Medication

11 Ill. Adm. Code 603.10 Pre-Race Saliva Tests

a) The stewards may require that any horse entered to race submit to a pre-race saliva test.

b) If the pre-race saliva test is positive for a foreign substance, other than those substances authorized for use by Section 603.60 or 603.70, the subject horse shall be scratched and the trainer shall be fined $100.

c) A trainer who receives a second positive on a pre-race saliva test shall be suspended for 30 days.

d) A trainer who receives a third positive on a pre-race saliva test shall be suspended for 180 days.

e) A trainer who has received three positive reports on pre-race saliva tests shall be suspended for one year for each additional positive thereafter.

11 Ill. Adm. Code 603.20 Racing Soundness Exam

Every horse entered to race shall be subjected to a racing soundness exam on race day conducted by an official veterinarian. The State veterinarian shall keep or cause to be kept a continuing health and racing soundness record of each horse examined.

11 Ill. Adm. Code 603.30 Foreign Substances and Pharmaceutical Aids Banned

a) Except as provided in Sections 603.60 and 603.70, no horse participating in a race, or entered to participate in a race and not scratched by the day of the race, shall carry in its body any foreign substance.

b) No horse participating in a race shall carry in its body any pharmaceutical aids. Although pharmaceutical aids do not contain any pharmacodynamic and/or chemotherapeutic agents, these foreign substances interfere with testing and may mask the presence of other foreign substances.

1. If the laboratory finds a pharmaceutical aid in a post-race test sample of any horses of a trainer, the stewards shall impose a civil penalty not to exceed $1000.

2. If the presence of the pharmaceutical aid occurred due to the negligence of the veterinarian attending the horse, the veterinarian shall be penalized in addition to, or instead of, the trainer.

c) Any person who knowingly enters a horse in a race that carries in its body during the race any foreign substance, other than those substances listed in Sections 603.60 and 603.70 shall have his/her license suspended or revoked, and may also be subjected to a civil penalty.

11 Ill. Adm. Code 603.40 Twenty-Four Hour Ban

Except as provided in Section 603.70:

a) No substance shall be administered to a horse entered to race by hypodermic injection within 24 hours prior to the scheduled post time for the race in which the horse is entered.

b) No foreign substance shall be administered to a horse entered to race, by oral administration, nasogastric tubing, topical administration that can penetrate the skin, rectal infusion, suppository, or inhalation, within 24 hours prior to the scheduled post time for the race in which the horse is entered.

History

• Source: Amended at 28 Ill. Reg. 1374, effective January 19, 2004

11 Ill. Adm. Code 603.50 Trainer Responsibility

a) Each trainer has the duty to guard or cause to be guarded each horse trained by him/her in such a manner as to prevent any person, including his/her veterinarian, from administering to such horse any foreign substance in violation of this Part.

b) Each trainer has the duty to be familiar with the medication rules of the Board, and reasonably familiar with the foreign substances he/she administers or directs his/her employees to administer, and that are administered by his/her veterinarian.

c) Each trainer has the duty to have each horse trained by him/her in its assigned security stall in accordance with 11 Ill. Adm. Code 436.

History

• Source: Amended at 25 Ill. Reg. 15611, effective December 1, 2001

11 Ill. Adm. Code 603.55 Prima Facie Evidence

A determination by the laboratory of the presence of a foreign substance in a test sample shall constitute prima facie evidence that the trainer has violated Section 603.30(c) or has failed in the duties specified in this Part.

History

• Source: Added at 22 Ill. Reg. 3594, effective February 1, 1998

11 Ill. Adm. Code 603.60 Permitted Use of Foreign Substances and Threshold Levels

a) Non-Steroidal Anti-Inflammatories (NSAID): Threshold Levels

1. Only one non-steroidal anti-inflammatory drug (NSAID) may be present in a horse's body while it is participating in a race. The presence of more than one NSAID greater than the threshold level is forbidden and will result in the purse being redistributed.

2. Subject to the prohibition contained in Section 603.40 (24 hour ban), the only foreign substances that now meet the criteria established in Section 603.60 are cimetidine, furosemide, omeprazole sulfide, and ranitidine.

3. Laboratory reports of phenylbutazone in a concentration greater than or equal to 0.3 mcg/ml in serum or plasma, flunixin in a concentration greater than or equal to 5 ng/ml in serum or plasma, and ketoprofen in a concentration greater than or equal to 2 ng/ml in serum or plasma shall be treated as Class 4 drugs, category "C" penalty, as defined in the Association of Racing Commissioners International Uniform Classification Guidelines for Foreign Substances (ARCI, 1510 Newtown Pike, Suite 210, Lexington KY 40511; January 2020 version 14.1; this incorporation includes no later amendments or editions).

4. A finding by the Board's laboratory of any amount of oxyphenbutazone in the absence of phenylbutazone shall be treated as a Class 4 drug, as defined in the ARCI Guidelines for Foreign Substances (incorporated by reference in subsection (a)(3)).

5. The detection of one or more additional NSAIDs in blood and/or urine constitutes a stacking violation in addition to the violation associated with the detection of each additional NSAID.

6. If the phenylbutazone, flunixin or ketoprofen overage is due to the negligence of the veterinarian attending the horse, the veterinarian shall be subject to the same penalties as are set forth in the ARCI Guidelines for Foreign Substances (incorporated by reference in subsection (a)(3)).

7. Penalties for violations of this Section shall be based on the following criteria:

A) previous warnings and rulings for violations of this Section;

B) the age and experience of the violator;

C) whether the violator has ever been the subject of a medication ruling in this or any other racing jurisdiction;

D) what action, if any, was taken to avoid the violation;

E) the purse of the race.

b) The following foreign substances may be administered externally to a horse entered to a race: Leg paints and liniment that do not contain any "caine" derivatives, pharmacodynamic and/or chemotherapeutic agents, and that can be applied topically without penetrating the skin.

c) Subject to the prohibition contained in Section 603.40 (24-hour ban), the following foreign substances, commonly referred to as anti-bacterial, anti-fungal, or anti-protozoal drugs, may be present in the body of a horse participating in a race.

1. Anti-Bacterials

Amikacin

Ampicillin

Ampicillin sodium

Azolsulfamide

Chloramphenicol

Doxycycline

Enrofloxacin (Baytril)

Erythromycin sulfate

Gentamicin sulfate

Kanamycin sulfate

Methenamine

Metronidazole

Neomycin sulfate

Nitrofurantoin

Oxytetracycline

Penicillin G. Benzathine

Penicillin G. Potassium

Sulfadimethozine

Sulfadimethoxine

Sulfamethoxazole

Sulfametranidazole

Sulfapyridine

Sulfathiazole

Tetracycline

Trimethoprim

2. Anti-Fungals

Amphotericin B

Griseofulvin

Neomycin Undecyclenate

Nystatin

3. Anti-Protozoals

Nitazoxanide (Navigator)

Ponazuril (Marquis)

Pyrimethamine (Daraprim)

d) This listing of anti-bacterial, anti-fungal and anti-protozoal drugs is all inclusive and shall not include any other anti-bacterial, anti-fungal or anti-protozoal drug, except as provided in subsection (f).

e) A foreign substance of accepted therapeutic value may be administered as prescribed by a veterinarian when threshold levels and guidelines for its use have been approved by the Board and this Part has been duly amended. The Board shall give due consideration to threshold levels and guidelines, when making additions to the permitted list, that have been established by the ARCI Guidelines for Foreign Substances (incorporated by reference in subsection (a)(3)).

f) Subject to the prohibition contained in Section 603.40 (24 hour ban), the use of the following therapeutic medications shall be permitted. The official test samples may contain the following therapeutic medications in concentrations less than the following threshold levels:

1. Acepromazine − 10 ng/ml as 2-(1-hydroxyethyl) promazine sulfoxide (HEPS) in urine.

2. Albuterol − 1 ng/ml in urine.

3. Betamethasone (harness racing only) − 10 pg/ml in serum or plasma.

4. Butorphanol − 300 ng/ml of total butorphanol in urine.

5. Cetirizine – 6 ng/ml in serum or plasma.

6. Cimetidine – 400 ng/ml in serum or plasma.

7. Clenbuterol – 140 pg/ml in urine in thoroughbred and quarter horse breeds; and Limit of Detection (which is not less than 10 pg/ml) in serum or plasma in the standardbred breed.

8. Dantrolene – 100 pg/ml of 5‑hydroxydantrolene in serum or plasma.

9. Detomidine – Level of Detection for detomidine in serum or plasma.

10. Dexamethasone (harness racing only) – 5 pg/ml in serum or plasma.

11. Diclofenac – Level of Detection if found.

12. Dimethyl sulfoxide (DMSO) – 10 mcg/ml in serum or plasma.

13. Firocoxib – Level of Detection if found.

14. Furosemide – 100 ng/ml in serum or plasma.

15. Glycopyrrlate – 3 pg/ml in serum or plasma.

16. Guaifenesin – 12 ng/ml in serum or plasma.

17. Isoflupredone (harness racing only) – 100 pg/ml in serum or plasma.

18. Lidocaine – 20 pg/ml of total 3‑hydroxylidocaine in serum or plasma.

19. Mepivacaine – 10 ng total hydroxymepivacaine/ml in urine.

20. Methocarbamol – 1 ng/ml in serum or plasma.

21. Methylprednisolone − 100 pg/ml in serum or plasma.

22. Omeprazole sulfide – 10 ng/ml in serum or plasma.

23. Prednisolone (harness racing only) – 1 ng/ml in serum or plasma.

24. Procaine penicillin − 25 ng/ml of procaine in serum or plasma. Procaine penicillin must be reported to the Board at time of administration and shall not be administered after the horse is entered to race.

25. Ranitidine – 40 ng/ml in serum or plasma.

26. Triamcinolone acetonide (harness racing only) – 100 pg/ml in serum or plasma.

27. Xylazine – 200 pg/ml in serum or plasma.

g) Laboratory reports of the therapeutic medications listed in subsection (f) greater than or equal to their respective threshold level shall be treated as they are defined and classified in the Association of Racing Commissioners International Uniform Classification Guidelines for Foreign Substances (incorporated by reference in subsection (a)(3)).

h) Official test samples may contain any of the following drug substances, or their metabolites, in a concentration less than the threshold level:

1. Isoxsuprine − shall be less than 1,000 ng/ml in urine.

2. Pyrilamine − shall be less than 50 ng/ml of O-desmethyl pyrilamine in urine.

i) The provisions of this Section shall be applied retroactively when substantively applicable, including all actions pending before the Board without regard to when the cause of action accrued; provided, however, that this subsection shall not operate to affect rights of individuals that have fully vested.

j) To help licensees determine the test levels of substances contained in this Section, the Board laboratory will test, at the sole expense of the licensee for the actual cost of processing the sample, all equine urine, serum or plasma samples submitted to it that are accompanied by a certification indicating time, method and route of administration.

History

• Source: Amended at 44 Ill. Reg. 15987, effective October 1, 2020

11 Ill. Adm. Code 603.70 Furosemide

a) The Board recognizes that Exercise Induced Pulmonary Hemorrhage (EIPH) is almost universal in performance horses. The Board also recognizes that the diuretic furosemide is helpful in the management of the EIPH syndrome, this includes horses that already had a bleeding episode as well as horses that have not yet exhibited the epistaxis. In regulating the race day use of furosemide, the Board has placed strict controls on the dose, route and time the medication is administered. Additionally, Board security personnel monitors these horses during and after the administration. Advances in drug testing techniques permit the Board laboratory to quantitate post-race serum samples for furosemide, providing a thorough regulation of the drug. All of these measures are designed to prevent the misuse of furosemide.

b) Eligibility for Furosemide Treatment

A horse is eligible to race with furosemide if at least one of the following occurs:

1. The horse is on the Illinois Furosemide List and has complied with subsection (c);

2. The horse is on the Illinois Bleeder List and has complied with subsection (d);

3. The trainer provides the State Veterinarian or his or her designee with evidence that the horse is on the Furosemide List or Bleeder List in another racing jurisdiction. Acceptable evidence shall be a furosemide or bleeder certificate approved by an official veterinarian. The certification date shall be the date shown on the furosemide or bleeder certificate;

4. The trainer provides the State Veterinarian or his or her designee with evidence that the horse has been running consistently, up to its last start, with furosemide in other racing jurisdictions as shown on the official past performance lines. Acceptable past performance lines for thoroughbreds and/or quarter horses shall be Equibase and/or Racing Form. Acceptable past performance lines for standardbreds shall be the official past performances of the United States Trotting Association (USTA) or Canadian Trotting Association (CTA) or the eligibility papers. The certification date shall be the earliest available date the horse shows running with furosemide on the official past performance lines. If the past performance lines of a horse show that the horse has been running on and off furosemide in other racing jurisdictions, the horse shall not be permitted to run with furosemide in Illinois, unless the occasions the horse ran without furosemide were due to rule restrictions imposed on the horse by those particular racing jurisdictions.

c) Furosemide List

Furosemide shall be administered to a horse that is entered to race only after the State Veterinarian has placed the horse on the Furosemide List. In order for a horse to be placed on the Furosemide List, the following process shall be followed:

1. After the horse's licensed trainer and licensed veterinarian determine that it would be in the horse's best interests to race with furosemide, they shall notify the State Veterinarian or his or her designee, using the prescribed form provided by the Board, that they wish the horse to be placed on the Furosemide List.

2. The form must be received by the State Veterinarian or his or her designee no later than the time of entry to ensure public notification prior to race participation.

3. A horse placed on the Furosemide List must remain on that list until the licensed trainer and licensed veterinarian submit a written request to remove the horse from the list. The request must be made to the State Veterinarian or his or her designee, on the proper form, no later than the time of entry.

4. After a horse has been removed from the Furosemide List, the horse may not be placed back on the list for a period of 60 calendar days unless it is determined, in consultation with the State Veterinarian, to be detrimental to the welfare of the horse. If a horse is removed from the Furosemide List a second time in a 365-day period, the horse may not be placed back on the list for a period of 90 calendar days.

d) Bleeder List

1. The State Veterinarian shall maintain a Bleeder List of all horses that have demonstrated:

A) External evidences of exercise induced pulmonary hemorrhage from one or both nostrils during or after a race or workout, as observed by an official veterinarian.

B) Internal evidences of exercise induced pulmonary hemorrhage via endoscopy reported by a licensed practicing veterinarian on a Board approved form.

2. Every confirmed bleeder, regardless of age, shall be placed on the Bleeder List and be ineligible to race for the following time periods:

A) First incident – 14 days;

B) Second incident within a 365 day period – 30 days;

C) Third incident within a 365 day period – 180 days;

D) Fourth incident within a 365 day period – Barred from racing for its lifetime.

3. For the purposes of counting the number of days a horse is ineligible to run, the day the horse bled is the first day of the recovery period.

4. After the expiration of the barred periods in subsections (d)(2)(A), (B) and (C), a horse must perform a workout, without bleeding, to the satisfaction of the State Veterinarian. Prior to the workout, a blood sample may be collected by the State Veterinarian and sent to the Board laboratory for testing. After the workout, the State Veterinarian may witness an endoscopic examination of the horse to confirm that it has not bled.

5. All horses on the Bleeder List that are eligible to race shall be administered furosemide pursuant to subsection (f).

e) Furosemide Administration

1. All horses on the Furosemide List must be treated with furosemide in order to be permitted to participate in a race. Test results must show a detectable concentration of the drug in the post-race urine sample if a horse is on the Furosemide List.

2. Furosemide shall be administered between 4 hours and 15 minutes and 3 hours and 45 minutes prior to the scheduled post time of the race in which a horse is entered.

3. A Board licensed veterinarian shall administer not less than 150 mg and not more than 500 mg of furosemide by single intravenous injection and shall verify the administration on Board prescribed affidavits no later than one hour prior to the post time for the race for which the horse is entered.

4. The trainer or his or her licensed employee shall witness the furosemide administration.

5. The administration of furosemide may take place in the horse's own stall or in a centralized location.

6. Failure to administer furosemide in accordance with subsection (e)(2) may result in the horse being scratched from the race by the Stewards and the trainer may be fined not less than $200 and not more than $500.

f) Removal from Bleeder List

1. Once a horse is placed on the Bleeder List, it must continue to race with furosemide unless the removal from the list is approved by the State Veterinarian. The State Veterinarian may remove a horse from the Bleeder List upon written request of the trainer, if the horse's performance is negatively affected by the use of furosemide or if the horse has an adverse physiological reaction to furosemide.

2. Once removed from the Bleeder List, a thoroughbred horse shall be ineligible to participate in a race for a minimum of 30 days. A standardbred horse shall be ineligible for a minimum of 14 days. The ineligibility period shall be counted from the day the State Veterinarian approves the removal of the horse from the Bleeder List. Prior to starting in a race, a horse must participate without furosemide in a qualifying race or perform an official workout without bleeding, to the satisfaction of the State Veterinarian. Prior to the qualifying race or workout, a blood sample may be collected by the State Veterinarian and sent to the Board laboratory for testing. After the qualifying race or workout, the State Veterinarian may witness an endoscopic examination of the horse to confirm that it has not bled.

g) Absence of Furosemide

In the event a horse listed on the furosemide list races without furosemide, the horse shall be disqualified and any purse money earned by the horse redistributed. In addition, the stewards may suspend or fine the trainer and/or veterinarian not less than $200 and not more than $1,500.

h) Excessive Use of Furosemide

1. The test level for furosemide shall be less than 100 ng/ml in serum or plasma. A horse shall not carry in its body an amount of furosemide greater than or equal to 100 ng/ml in serum or plasma, in conjunction with urine that has a specific gravity of less than 1.010.

2. If the laboratory reports an official test sample of furosemide greater than or equal to 100 ng/ml and specific gravity less than 1.010, the trainer shall be subject to the following penalties:

A) For a first offense, the trainer shall be fined $250;

B) For a second offense within a 365 day period after the first offense, the trainer shall be fined $500;

C) For a third or subsequent offense within a 365 day period after the first offense, the trainer shall be fined $1,000 and/or suspended for 15 days and the purse shall be redistributed.

3. When imposing penalties, the stewards shall consider the criteria in Section 603.160(b)(3), (4), (5) and (6).

i) Trainer's Responsibilities for Horses on the Furosemide List

1. The trainer shall be responsible for:

A) providing the racing office at the time of entry with accurate information regarding the use of furosemide on horses he/she enters to race;

B) providing the information required for furosemide approval of his/her horses to Board staff coordinating the administration of furosemide;

C) notifying his/her veterinarian of furosemide horses and the date and times for race day treatment;

D) having horses on the furosemide list stabled at the barn and in the stall assigned by the Racing Secretary or his/her designee;

E) posting a "Security Stall" sign on the stalls of his/her horses entered to race (see 11 Ill. Adm. Code 436);

F) ensuring horses are treated with furosemide on race day at the prescribed time, witnessing the administration of furosemide and guarding the horse until the horse is taken to the paddock (see 11 Ill. Adm. Code 436).

2. The stewards may suspend the trainer or assess a fine of no less than $200 and no more than $500 for violation of this subsection (i).

j) Veterinarian's Responsibilities

1. The practicing veterinarian shall be responsible for:

A) administering the proper furosemide medication and dose at the proper time to the proper horse.

B) providing Board staff, upon request, with any documentation related to horses that are stabled on approved facilities and medication samples and/or paraphernalia used to administer any medication to a horse. Samples and/or paraphernalia may be sent to the Board laboratory for testing.

2. The stewards may suspend the veterinarian or assess a fine of no less than $200 and no more than $500 for violations of this subsection (j).

k) Security

1. Each horse racing with furosemide shall be detained in a stall assigned by the Racing Secretary at least 4 hours and 15 minutes before the post time of the race in which it is entered, and shall remain in the stall until taken to the paddock to be saddled or harnessed for the race, except that the stewards may permit horses to leave the "security stall" to engage in exercise blow-outs or warm-up heats.

2. The barn area is a secure area and shall be under the supervision of the Board.

3. No unauthorized person shall approach the security area. If any unauthorized person does approach the security area, a report of the incident is to be made immediately to one of the State Veterinarians, the stewards or a Board investigator.

4. Board staff may direct a veterinarian to take a blood sample immediately prior to the administration of furosemide to be submitted to the Board's laboratory for analysis.

5. Board staff may collect from a veterinarian the syringe containing any medication about to be administered to a horse for testing at the Board laboratory.

l) This Section shall apply to all horses entering in and competing in race meetings as defined in Section 3.07 of the Act [230 ILCS 5/3.07], as well as all horses shipping in from other racing jurisdictions, domestic or foreign.

History

• Source: Amended at 39 Ill. Reg. 11492, effective August 1, 2015

11 Ill. Adm. Code 603.75 Environmental Contaminants

The following drugs are recognized as substances that unavoidably become part of the food supply or environment of the horse, or are recognized as substances of human use and addiction and that could be found in the horse due to its close association with humans:

a) Benzoylecgonine (a metabolite of cocaine):

1. Each time the laboratory reports benzoylecgonine in a concentration less than 150 ng/ml in urine, the Stewards shall conduct an inquiry. The presence of benzoylecgonine in the horse shall be considered reasonable cause to order a drug screen on the trainer, groom or any other licensed person who cares for the horse pursuant to 11 Ill. Adm. Code 508.50.

2. Laboratory reports of benzoylecgonine in a concentration greater than or equal to 150 ng/ml in urine shall be treated as a Class 1 drug, as defined in the Association of Racing Commissioners International Uniform Classification Guidelines for Foreign Substances (incorporated by reference in Section 603.60(a)(3)).

b) Caffeine:

Laboratory reports of caffeine in a concentration greater than or equal to 100 ng/ml in serum or plasma shall be treated as a Class 2 drug, as defined in the Association of Racing Commissioners International Uniform Classification Guidelines for Foreign Substances (incorporated by reference in Section 603.60(a)(3)).

c) Theobromine:

Laboratory reports of theobromine in a concentration greater than or equal to 2 mcg/ml in urine or 0.3 mcg/ml in serum or plasma shall be treated as a Class 4 drug, as defined in the Association of Racing Commissioners International Uniform Classification Guidelines for Foreign Substances (incorporated by reference in Section 603.60(a)(3)).

History

• Source: Amended at 42 Ill. Reg. 10424, effective June 1, 2018

Chapter I Illinois Racing Board

Subchapter c Rules Applicable to All Occupation Licensees

Part 603 Medication

11 Ill. Adm. Code 603.80 Needles, Syringes and Injectables

a) No person, except a veterinarian, shall have in his possession, within any race track enclosure, any hypodermic syringe, needle or any other instrument capable of being used for the injection of any chemical substance into any horse, except as provided herein.

b) Any person may possess, on the grounds of an organization licensee, any hypodermic syringe or needle for the purpose of administering to himself a chemical substance provided that a person has notified the State stewards in writing:

1. of the possession of such device,

2. of the size of such device, and

3. of the chemical substance to be administered by such device.

c) No person, except a veterinarian, shall have in his possession, on the grounds of an organization licensee, any substance prepared for the purpose of being injected into any animal or human, except as provided in this subsection (c). Any person may possess, on the grounds of an organization licensee, any chemical substance for use on his/her own person, provided that, if such chemical substance is a prescription drug, such person is in possession of documentary evidence that a valid prescription for such prescription drug has been issued to such person.

11 Ill. Adm. Code 603.90 Drugs, Chemicals and Prescription Items

a) No veterinarian or any other person shall have in his or her possession or administer to any horse within any race track enclosure any chemical substance that:

1. has not been approved for use on equines by the Food and Drug Administration, pursuant to the Federal Food, Drug and Cosmetic Act (21 USC 301 et seq.) and implementing regulations, without prior written approval from the State Veterinarian and Executive Director or his or her designee;

2. is on any of the schedules of controlled substances prepared by the Attorney General of the United States pursuant to 21 USC 811 and 812, without prior written approval from the State Veterinarian and Executive Director or his or her designee; or

3. the possession and/or use, on the premises of a facility under the jurisdiction of the Board, of any drug, substance or medication specified in this subsection (a)(3) for which a recognized analytical method has not been developed to detect and confirm its administration, or the use of which may endanger the health and welfare of the horse or the safety of the rider or driver.

A) Erythropoietin (EPO)

B) Darbepoietin

C) Snake venom

D) Snail venom

E) Bee Venom

b) The State Veterinarian and Executive Director or his or her designee, shall not give approval under subsection (a) unless the person seeking approval can produce evidence in recognized veterinary journals or by recognized equine experts that the chemical substance has a beneficial, therapeutic use in horses.

c) No person except a veterinarian shall have in his or her possession within a race track enclosure any prescription drug, except as provided in this Section.

d) A person may possess a prescription drug for animal use if:

1. The person possesses, within the race track enclosure, documentary evidence that a prescription has been issued for the prescription drug;

2. The prescription contains a specific dosage for the particular horse or horses to be treated by the prescription drug; and

3. The horse or horses named in the prescription are in that person's care within the race track enclosure.

History

• Source: Amended at 35 Ill. Reg. 8485, effective May 23, 2011

11 Ill. Adm. Code 603.100 Detention Barn

Every organization licensee shall provide a detention barn where test samples shall be taken under the supervision of the State Veterinarian. The detention barn shall satisfy standards prescribed by the State Veterinarian and shall be approved by the Board. In addition, every organization licensee shall furnish, during racing hours, a guard whose duty shall be to assist Board employees in the detention barn. The guard shall remain on duty until the last specimens have been taken for that racing day. All persons who wish to enter the detention barn area must be a minimum of 16 years old, be currently licensed by the Board and have a legitimate reason for being in the detention barn area.

History

• Source: Amended at 33 Ill. Reg. 12571, effective August 25, 2009

11 Ill. Adm. Code 603.110 Test Samples

a) The winning horse in every race and any other horse or horses selected at the discretion of the stewards shall have taken from it test samples.

b) Any person having the care, custody, and/or control of any horse who shall refuse to submit such horse for test samples shall have his license suspended for not less than 30 days and such horse shall be disqualified.

c) Test samples shall be taken under the supervision of the State veterinarian by persons appointed by the Board. During the taking of such test samples, the owner or trainer or his/her representative or employee shall be present at all times.

d) The test samples shall be sealed by the State veterinarian or those under his/her supervision and the evidence of such sealing shall be witnessed by the signature of the owner or trainer or his/her agent or employee.

11 Ill. Adm. Code 603.120 Referee Samples

a) For each horse tested, one portion of the test sample (hereinafter referred to as the "referee sample") shall be preserved by the laboratory. The referee sample shall be available for testing at the request of the owner, trainer or other person charged with a violation of these rules. The referee sample may also be tested by the Board laboratory.

b) If the owner, trainer or other person charged with a violation of this Section desires to send the referee sample to another laboratory for testing, the cost of shipment and of testing at another laboratory shall be borne by the person requesting the additional tests.

c) If the owner, trainer or other person charged with a violation of this Section desires additional testing to be performed by the Board laboratory, the cost of the testing shall be borne by the person requesting the additional tests.

d) Whenever a referee sample is opened, a portion of that test sample shall be preserved by the Board laboratory in case further testing is requested.

History

• Source: Amended at 33 Ill. Reg. 12571, effective August 25, 2009

11 Ill. Adm. Code 603.130 Laboratory Findings and Reports

a) If the laboratory determines that a foreign substance, or any metabolite thereof, is a constituent in a test sample, the laboratory shall report such determination to the Executive Director of the Board, the stewards and to the State veterinarian.

b) If the laboratory analysis of a test sample is concluded after the end of a meet in which the test sample was taken, the laboratory shall make its report or finding to the Executive Director of the Board. The Executive Director shall refer such report or finding to the stewards at another race meeting or directly to the Board. In making such referral, the Executive Director shall consider the location of the trainer, the availability of stewards, and the Board's schedule for hearings.

11 Ill. Adm. Code 603.140 Distribution of Purses

a) The Board recognizes that occasionally post-race specimens do not reach the laboratory within 72 hours nor can all samples be thoroughly analyzed within 72 hours. However, as a convenience to horsemen, all purse money shall be distributed no later than 72 hours after a race, unless the laboratory has issued a report to the stewards pursuant to these rules.

b) The fact that purse money has been distributed prior to the issuance of a laboratory report shall not be deemed a finding that no foreign substance has been administered in violation of these rules to the horse winning such purse money.

c) Upon receipt of a positive laboratory report, the stewards or the Executive Director of the Board shall immediately direct that no purse money shall be awarded to the horse in question pending a final determination by the stewards or the Board of the accuracy of the laboratory's report. The stewards or the Executive Director of the Board shall notify the owner, trainer, and any other person having care or custody or control of the horse. If the purse money has been distributed, the stewards or the Executive Director shall order it returned pending determination of the accuracy of the laboratory's report. The stewards or the Executive Director of the Board shall proceed to conduct an inquiry or the Board shall conduct an inquiry or hearing.

d) If the report of a laboratory is not contested or if the stewards or the Board determine that the laboratory report is accurate, all purse money won by the horse in the race in question shall be forfeited and redistributed among the remaining horses according to their order of finish, except as provided in Section 603.160. No such forfeiture and redistribution shall affect the distribution of pari-mutuel pools.

e) If no positive laboratory report has been issued to the stewards or the Board within 60 days after the date of a race, the owner of a horse shall become legally entitled to the money in the purse and it shall be conclusively presumed that the conditions precedent to such entitlement have been met. Provided, however, positive laboratory reports issued more than 60 days after the date of a race may be considered by the stewards or the Board as evidence of a rule violation under Sections 603.50, 603.60, or 603.70.

f) If a positive laboratory report has been issued, whatever remains of that particular test sample shall be retained until all legal proceedings have been concluded.

History

• Source: Amended at 31 Ill. Reg. 12982, effective September 1, 2007

11 Ill. Adm. Code 603.150 Post Mortems

a) Every horse which suffers a breakdown on the race track in training or in competition and is destroyed, and every other horse which expires while stabled on the race track under the jurisdiction of the Board, shall undergo post-mortem examination at a time and place acceptable to the official veterinarian to determine the injury or sickness which resulted in euthanasia or natural death, except as provided herein:

1. In the case of breakdowns, an examination of the affected area by a licensed veterinarian in the presence of, and in consultation with, the official veterinarian shall be sufficient; however, test samples shall be required.

2. A post-mortem shall not be required if in the opinion of the State veterinarian a post-mortem is impractical or not necessary; however, test samples shall be required.

3. Post-mortems shall not be required when death is due to fire.

b) The post-mortem examination required under this Section shall be conducted by a veterinarian employed by the owner or the horse's trainer in the presence of and in consultation with an official veterinarian.

c) Test samples must be obtained from the carcass upon which the post-mortem examination is conducted and shall be sent to the Illinois Racing Board laboratory for testing for foreign substances and natural substances at abnormal levels. When practical, blood and urine samples should be procured prior to the euthanasia.

d) The owner of the deceased horse shall make payment of reasonable charges due to the veterinarian employed to conduct the post-mortem examination. The services of the State veterinarian and the laboratory testing of post-mortem samples shall be made available by the Board without charge to the owner.

e) A record of every such post-mortem shall be filed with the State veterinarian, or with the Board if the race meeting has ended, by the owner's veterinarian within 72 hours of the death and shall be submitted on a form supplied by the Board.

f) Each owner and trainer accepts the responsibility for the post-mortem examination provided herein as a requisite for maintaining the occupational license issued by the Board.

11 Ill. Adm. Code 603.160 Penalties

a) Any person who administers or conspires to administer any foreign substance to any horse in violation of this Part shall be subject to a fine and/or license suspension or revocation and the purse money won may be redistributed.

b) Penalties for violations of this Part shall be based on the following criteria:

1. the nature of the foreign substance; e.g., cough medicine, steroid, narcotic, stimulant, depressant, etc.;

2. the accessibility of the drug; e.g., can be purchased over the counter, only with a prescription, only with a license for controlled substances, cannot be purchased in this country;

3. the age and experience of the violator;

4. whether the violator has ever been the subject of a medication ruling in this or any other racing jurisdiction;

5. what action, if any, was taken by the violator to avoid the violation;

6. the purse of the race.

c) Any person who violates any provision of this Part for which no specific penalty is provided may be penalized by the stewards or the Board in accordance with the provisions for penalties contained elsewhere in this Chapter or in the Illinois Horse Racing Act of 1975. When imposing penalties, the stewards or the Board shall consider all relevant factors including, but not limited to those specified in this Part.

d) In harness racing, any trainer suspended for a violation of this Part shall, upon notice of the violation, submit to the Stewards a current stable list on a form provided by the Board.

1. The horses on the stable list shall be placed on the Steward's List unless:

A) The owner of each horse on the stable list secures the services of a trainer approved by the Stewards; and

B) The approved trainer stables the horses on the stable list on the grounds of an organization licensee for the full term of the penalized trainer's suspension;

2. Horses on the stable list shall be permitted to leave to race in other racing jurisdictions or for medical reasons.

e) Penalties for Class 4 and 5 drug violations:

1. Class 4 as defined in the Association of Racing Commissioners International Uniform Classification Guidelines for Foreign Substances (incorporated by reference in Section 603.60(a)(3)). Except as provided in Sections 603.60 and 603.70, upon finding of a Class 4 substance, the trainer shall be subject to a fine and/or license suspension or revocation and the purse money won may be re-distributed according to the criteria set forth in subsection (e)(3).

2. Class 5 as defined in the Association of Racing Commissioners International Uniform Classification Guidelines for Foreign Substances (incorporated by reference in Section 603.60(a)(3)). Except as provided in Sections 603.75 and 603.60(c), upon finding of a Class 5 substance, the trainer shall be subject to a fine and/or license suspension or revocation and the purse money won may be re-distributed according to the criteria set forth in subsection (e)(3).

3. In determining a disqualification and purse redistribution under this subsection (e), the Stewards shall use the following criteria:

A) A recommendation by the Board veterinarian and/or Board chemist regarding the significance of the concentration of the drug or metabolite present and the estimated withdrawal time.

B) A recommendation by industry experts, including equine pharmacologists and equine physiologists, regarding the effect of the drug on the horse in the concentration found and/or estimated withdrawal times.

C) Repeat violations of these medication and prohibited substance rules by the same trainer or with respect to the same horse.

D) Prior violations of similar rules in other racing jurisdictions by the same trainer or with respect to the same horse.

E) The criteria set forth in subsection (b).

4. The provisions of this subsection (e) shall be applied retroactively when substantively applicable, including all actions pending before the Board, without regard to when the cause of action accrued; provided, however, that this subsection (e)(4) shall not operate to affect rights of individuals that have fully vested prior to April 23, 2007.

History

• Source: Amended at 40 Ill. Reg. 9208, effective July 1, 2016

Chapter I Illinois Racing Board

Subchapter c Rules Applicable to All Occupation Licensees

Part 603 Medication

11 Ill. Adm. Code 603.170 Veterinarian's Records

a) All veterinarians licensed by the Board shall maintain records which accurately reflect: all purchases of medication, name of each horse treated, date of the treatment, method of administration, and prescription of medication and name of the trainer. All veterinarians shall also retain duplicate copies of their bills or statements to trainers or owners.

b) These records shall be retained for at least three years and shall be made available for inspection upon request of the Board or its representative.

11 Ill. Adm. Code 603.180 Carbon Dioxide Tests

a) The Board recognizes that an excess level of total carbon dioxide (TCO2) in the race horse is considered adverse to the best interests of racing and adverse to the best interest of the horse in that such condition alters its normal physiological state.

b) Blood samples for TCO2 levels may be drawn pre-race and/or post-race.

c) The TCO2 level in the blood shall be less than37.0 millimoles per liter, plus the measurement uncertainty of the laboratory analyzing the sample.

d) In the event a blood sample from a horse contains an amount of TCO2 that is equal to or exceeds the levels described in subsection (c), the following penalties shall apply:

1. The first time the laboratory reports an excessive TCO2 level, the trainer shall be fined not less than $500 and not more than $1,000, the purse shall be redistributed and the trainer shall be ordered suspended for at least 15 days but not to exceed 60 days. In addition, the horse shall be subject to "early detention" for a period identical to the length of the trainer's suspension. Early detention in Illinois shall be defined as pre-race guarded quarantine, on the grounds of the Illinois organization licensee, beginning no less than 6½ hours prior to the scheduled post time for the horse's race.

2. The second time the laboratory reports an excessive TCO2 level in a 365 day period in any jurisdiction, the trainer shall be ordered suspended for at least 30 days but not to exceed 180 days and fined not less than $1,000 and not more than $2,500, and the purse shall be redistributed. In addition, the horse shall be subject to early detention in Illinois for a period identical to the length of the trainer's suspension.

3. For a third or subsequent report of an excessive TCO2 level in a 365 day period in any jurisdiction, the trainer shall be ordered suspended for at least 60 days but not to exceed 365 days and fined not less than $2,500 and not more than $5,000 or 5% of the purse (greater of the two) and the purse shall be redistributed. The horse shall be subject to early detention in Illinois for a period identical to the length of the trainer's suspension. In addition, absent mitigating circumstances, the owner shall be fined $5,000.

e) If the levels of TCO2 are determined to equal or exceed those set forth in subsection (c), and the licensed owner or trainer of that horse contends in writing to the stewards within 24 hours after notification of the results that such levels are physiologically normal for that particular horse, the licensee may, by such writing, request that the horse be held in quarantine. In the event quarantine is requested, the organization licensee shall make guarded quarantine available, for a period of time to be determined by the stewards but in no event more than 72 hours, at the sole expense of the licensee. During any quarantine, the horse shall be re-tested periodically and, although the horse may not race during the quarantine period, it shall be exercised and trained at times prescribed by the organization licensee, consistent with the ability to monitor the horse. The horse will only be fed hay, oats and water during the quarantine period. If the stewards are satisfied, on the basis of the evident facts, the quarantine, and the testing of the horse's blood during the quarantine period, that the level of TCO2 set forth in subsection (c) is physiologically normal for that particular horse, the stewards shall not order the penalty set forth in subsection (d).

f) The provisions of Section 603.120 (Referee Samples) shall not apply to blood samples drawn for purposes of carbon dioxide testing. Split sample analyses of TCO2 must be run in parallel with the official sample at the official laboratory in order to avoid delays in testing that result in lower TCO2 values as a result of sample degradation.

History

• Source: Amended at 33 Ill. Reg. 12571, effective August 25, 2009

11 Ill. Adm. Code 603.190 Erythropoietin and Darbepoietin Antibody Testing Program

A finding by the Illinois Racing Board Equine Testing Laboratory, or other Board-approved laboratory, that a pre-race or post-race sample taken from a horse entered to start in a race has high titers of antibodies against erythropoietin or darbepoietin, utilizing the anti-recombinant human EPO antibody test, shall establish that the horse is unfit to race in any subsequent race and shall result in the following actions by the Board:

a) The stewards shall be notified of the name of the horse for placement on the Stewards' list. The horse shall not be entered or allowed to race in any subsequent race until the horse has tested negative for the antibodies of erythropoietin or darbepoietin. An owner or trainer whose horse has tested positive for high titers of erythropoietin or darbepoietin antibodies may not request the horse be retested until 21 days following the date of the initial positive test.

b) All requests after the initial positive test for the retesting of a horse shall be in writing and directed to the Stewards, accompanied by a $50 payment for administrative and testing costs. Following receipt of a timely request for retesting, the presentation of the horse at a permitted racetrack premises in the State of Illinois approved by the Stewards, and the receipt of the $50 retesting fee, the Stewards shall direct the State Veterinarian to take a blood sample from the horse for the purpose of retesting.

c) A horse shall not be subject to disqualification from the race, or from any share of the purse in the race, nor shall the trainer of the horse be subject to a penalty based solely upon a finding by the laboratory that the antibody of erythropoietin or darbepoietin was present in the sample taken from that horse.

d) A horse that tests positive with the anti-recombinant human EPO antibody test remains subject to the requirements of this Section despite being sold or otherwise transferred.

e) The split sample testing provisions of Section 603.120 shall not be applicable to erythropoietin or darbepoietin antibody testing conducted pursuant to this Section.

History

• Source: Added at 31 Ill. Reg. 1478, effective January 1, 2007

11 Ill. Adm. Code 603.200 Out of Competition Testing

a) Any horse on the grounds of a racetrack under the jurisdiction of the Board, or stabled off-track, while under the care or control of a trainer or owner licensed by the Board, is subject to testing for blood and/or gene doping agents, with reasonable notice. This Section does not apply to therapeutic medications approved by the FDA for use in the horse.

b) Horses to be tested may be selected at random, with probable cause, or as determined by the Board for out of competition testing. The trainer is responsible to have the horse or horses available at a designated time and location (racetrack).

c) The Board Veterinarian, or any licensed veterinarian or licensed veterinary technician authorized by the Board, may, at any time, take a urine, blood or hair sample from a horse for out of competition testing.

d) Prohibited substances, practices and procedures are defined as:

1. blood doping agents including, but not limited to, erythropoietin (EPO), darbepoetin, oxyglobin, hemopure, aranesp, or any substance that abnormally enhances the oxygenation of body tissues.

2. gene doping agents or the non-therapeutic use of genes, genetic elements, and/or cells that have the capacity to enhance athletic performance or produce analgesia.

e) Cooperation with the Board Veterinarian, or any licensed veterinarian or licensed veterinary technician authorized by the Board, includes:

1. assisting in the immediate location and identification of the horse selected for out of competition testing;

2. providing a stall or safe location to collect the samples;

3. assisting the veterinarian in properly procuring the samples; and

4. obeying any instructions necessary to accomplish the requirements of this Section.

f) Referee samples will be collected pursuant to Section 603.120.

g) The Board may suspend, exclude and/or otherwise penalize any licensee or other person who does not fully cooperate with a Board employee or representative while taking action to enforce this Section.

h) Out of competition samples will be sent to the official laboratory of the Board, or other laboratory as designated by the Board.

History

• Source: Added at 32 Ill. Reg. 7397, effective May 1, 2008

11 Ill. Adm. Code 603.210 Androgenic-Anabolic Steroids (aas)

a) No AAS shall be permitted in test samples collected from racing horses except for endogenous concentrations of the naturally occurring substances nandrolone, boldenone and testosterone at concentrations less than the threshold levels indicated in subsection (b).

b) Concentrations of these AAS shall be less than the following free (i.e., not conjugated) steroid concentrations in plasma or serum:

1. Boldenone ‒ shall be less than 25 pg/ml for all horses regardless of sex.

2. Nandrolone ‒ shall be less than 25 pg/ml for geldings, fillies and mares. Male horses other than geldings will not be tested.

3. Testosterone − in fillies, mares, and geldings ‒ shall be less than 100 pg/ml.

c) All other AAS are prohibited in racing horses.

d) The sex of the horse must be identified to the laboratory on all pre-race and post‑race samples.

e) If an anabolic steroid has been administered to a horse in order to assist in the recovery from illness or injury, the horse may be placed on the Veterinarian's List in order to monitor the concentration of the drug or metabolite in serum or plasma. After the concentration has fallen below the designated threshold for the administered AAS, the horse is eligible to be removed from the list.

History

• Source: Amended at 44 Ill. Reg. 15987, effective October 1, 2020

Part 605 Horse Health

11 Ill. Adm. Code 605.10 State Veterinarian and Veterinarian's List

a) The State Veterinarian shall report to the Stewards all examinations and inspections of any horse or premises under the jurisdiction of the Board.

b) The State Veterinarian shall establish procedures, relative to this Part, that will govern all practicing veterinarians at the race track.

c) The State Veterinarian shall be consulted about any alleged violations of this Part. Investigations will be made and reported promptly to the Board. The Board shall suspend or revoke the license of any person violating this Part.

d) The State Veterinarian shall maintain a veterinarian's list and any horse excused through sickness or disability shall be placed on the list. Any horse placed on the list shall not be permitted to enter or start in a race until its name is removed from the list.

e) In thoroughbred racing, horses shall remain on the veterinarian's list at least five calendar days, unless, in the opinion of the State Veterinarian its name should be removed earlier. A workout at a distance specified by the State Veterinarian may be required prior to removing a horse from the list.

f) At the close of each meeting, the State Veterinarians shall make a written report to the Board of the conditions of the meeting and any recommendations they deem advisable.

11 Ill. Adm. Code 605.20 Report Deceased and Sick Horses

a) The attending veterinarian and the trainer shall report immediately to the State Veterinerian:

1. Castrations, neurectomies, and all major surgical procedures.

2. Contagious and "exotic" appearing diseases.

3. Deceased horses.

4. Sick or disabled horses.

b) No deceased or sick horse may be removed from the grounds of a licensed race track operator without the prior approval of the State Veterinarian's office.

11 Ill. Adm. Code 605.30 Observe Sanitary, Safety, Humane Rules

A trainer shall see to it that the stables and immediate surrounding area assigned to him or her are sanitary at all times and that the humane laws of the State of Illinois are observed, and that the fire prevention rules (especially no-smoking in the stable area) are strictly observed at all times. Constant misuse of property will be considered when stall assignments are made.

11 Ill. Adm. Code 605.40 Valid Health Certificate

A certificate of veterinary inspection and entry permit are not required for Illinois equine. Illinois equine traveling out of the State, for 30 consecutive days or less, on an Illinois certificate of veterinary inspection are not required to obtain a permit to return home. If, however, Illinois equine are out of the State longer than 30 days (i.e., boarding, training), a certificate of veterinary inspection issued by the state where the animal has been residing and an entry permit will be required. Once an animal has been out of the State longer than 30 days, it is no longer recognized as being an Illinois native animal. All equine entering Illinois for any reason other than slaughter must be accompanied by a negative test for equine infectious anemia (EIA) conducted within a year if the animal is more than one year of age, certificate of veterinary inspection issued by an accredited veterinarian within 30 days prior to entry, and an entry permit number issued by the Illinois Department of Agriculture. The organization licensee shall be responsible for compliance with this Section.

11 Ill. Adm. Code 605.50 Coggins Test

Horses racing in Illinois must have a negative ELISA test (Coggins test) for equine infectious anemia (EIA) done at least once every 12 months. A current negative test certificate from a laboratory, approved by the U.S. Department of Agriculture, must be on file with the Racing Secretary. Trainers or owners shall not enter or start a horse unless the horse has a current negative Coggins test certificate on file with the Racing Secretary. Trainers or owners that do so shall be fined pursuant to the Illinois Horse Racing Act of 1975. Horses having a positive Coggins test must be removed from the race track under the direction of the State Veterinarian.

11 Ill. Adm. Code 605.60 Equine Herpesvirus (ehv-1)

All horses, including ponies, entering or stabling on the grounds of any pari-mutuel racetrack in Illinois shall have documented proof of EHV-1 vaccination administered within the prior 180 days. No entries shall be accepted by the Racing Secretary without documented proof of a current EHV-1 vaccination. The Racing Secretary shall maintain records to substantiate current vaccinations of all horses entering or stabling on the grounds.

11 Ill. Adm. Code 605.70 Sterile Equipment and Disposable Needles

a) Veterinarians practicing on a race track where a race meet is in progress or imminent shall use one time disposable needles and shall dispose of them in an approved manner. All types of instruments used on horses, including surgical, tattooing, dental and similar items, must be properly cleaned and sterilized.

b) No person other than a licensed veterinarian may have a needle or syringe of any kind, type or description, or an injectable drug, on his or her person or in his or her custody, or in the control, custody or possession of any of his or her employees.

11 Ill. Adm. Code 605.80 Bandages

The paddock judge or paddock veterinarian shall inspect bandages just prior to the participation in a race of the horse on which they are used. The judge or veterinarian may order removal and replacement of bandages if they see fit to do so. Any circumstances in the use of bandages that indicate fraud shall be reported to the Stewards. In thoroughbred racing, cold water bandages, ice-boots, or bandages of a similar nature must be removed when a horse enters the paddock for a race and may not be used for racing purposes.

11 Ill. Adm. Code 605.90 Humane Treatment of Horses

No licensee or other person under the jurisdiction of the Board shall alone, or in collaboration with another person:

a) subject or permit any animal under his/her control, custody or supervision to be subjected to or to incur any form of cruelty, mistreatment, neglect or abuse;

b) abandon, injure, maim or kill, or administer any noxious substance to, any animal; or

c) deprive any animal of necessary care or sustenance, shelter or veterinary care.

History

• Source: Amended at 43 Ill. Reg. 8010, effective August 1, 2019

11 Ill. Adm. Code 605.100 Pest Control and Clean Equipment

a) The race track operator shall maintain systematic, effective control against flies, mosquitoes, other insects and rats at all times during a meeting. Horses must be stabled in individual box stalls with appropriate feeding and watering facilities. Stables and immediate surrounding areas must be disinfected and kept in a sanitary condition at all times. Satisfactory drainage must be provided and manure and other refuse must be promptly and properly removed. These regulations apply to any stabling areas that the Board has approved for the race track operator. The Board or its official representatives will make periodic inspections of a track. Failure to comply with sanitary practices or to provide any pest control will result in loss of racing dates.

b) The race track operator shall maintain paddocks, starting gates and other equipment subjected to contact by different animals so that they are disinfected, kept in a clean condition, and kept in a safe condition that does not endanger animals.

Subchapter d Rules Applicable to Thoroughbred Racing

Part 719 Starter Allowance Races

11 Ill. Adm. Code 719.10 Optional Claiming Races (repealed)

History

• Source: Repealed at 24 Ill. Reg. 12728, effective August 1, 2000

11 Ill. Adm. Code 719.20 Starter Allowance Races

A starter allowance race is a race based upon a horse having previously started for a specified claiming price. The Racing Secretary may establish other conditions, such as a qualifying date, for a starter allowance race.

Part 720 Thoroughbred Off Track Stabling Rules

11 Ill. Adm. Code 720.10 Definitions

"Off-track stabling" means any farm, any Illinois race track not licensed by the Board in the current calendar year, or any other location designated and approved for the purpose of stabling horses to be raced at a race track under the jurisdiction of the Board. The grounds of organization licensees in Illinois and recognized meetings in other jurisdictions shall not be considered off-track stabling.

11 Ill. Adm. Code 720.20 Filing for Permission to Operate

Permission to operate an off-track stabling facility shall be obtained by first filing at the Board's central office an application in a form prescribed by the Board.

11 Ill. Adm. Code 720.30 Time Limitation

Approval of off-track stabling shall be applicable for one calendar year and must be renewed each year.

11 Ill. Adm. Code 720.40 Jurisdiction of the Board

Any area approved by the Board as off-track stabling shall be considered an extension of on-track stabling and will come under the jurisdiction of the Board and the stewards.

11 Ill. Adm. Code 720.50 Registration with Racing Secretary Required

Any horse stabled at Board-approved off-track stabling must be registered with the Racing Secretary before that horse's entry will be accepted.

11 Ill. Adm. Code 720.60 Who May Apply

Application for approval of facilities for off-track stabling shall be made by the owner or lessee of the premises. "Lessee" shall be defined, for purposes of these rules, as the person or persons who lease the entire premises and shall not apply to the leasing of stalls only. A copy of the lease shall be provided with the application filed with the Board.

11 Ill. Adm. Code 720.70 Licensing of Facility and Personnel

Off-track stabling facilities shall be considered vendors and shall be subject to all relevant licensing rules. All stable personnel employed at off-track stabling facilities shall be licensed.

11 Ill. Adm. Code 720.80 Board Rules and Regulations Apply

Off-track stabling shall be subject to Board rules and regulations except that:

a) The Illinois Race Track Rules for Fire Safety (Chapter B3 of the combined Rule Book; Ill. Adm. Code Part 403) shall not be applicable; however, an off-track stabling facility shall be reasonably equipped for fire safety.

b) The sanitation rules for employee living quarters shall not be applicable.

11 Ill. Adm. Code 720.90 Criteria for Approval

Facilities for off-track stabling must be suitable for developing and bringing a horse to racing fitness, and this determination shall be made by an inspector of the facilities who shall be designated by the Board or the Board of Stewards. Criteria for determining suitability shall include, but not be limited to, the following:

a) An area for exercising or training;

b) An adequate water supply;

c) An adequate method of manure and rubbish removal;

d) A comfortable, well lighted and properly ventilated barn;

e) Accessibility to a veterinarian.

11 Ill. Adm. Code 720.100 Participation in Races

No horse shall be permitted to enter any pari-mutuel event unless stabled at a Board licensed facility.

History

• Source: Added at 15 Ill. Reg. 5755, effective April 4, 1991

Subchapter f Rules and Regulations of Harness Racing

Part 1302 Licensing

11 Ill. Adm. Code 1302.10 License to Participate (repealed)

History

• Source: Repealed at 11 Ill. Reg. 20207, effective December 1, 1987

11 Ill. Adm. Code 1302.20 Application for License (repealed)

History

• Source: Repealed at 11 Ill. Reg. 20207, effective December 1, 1987

11 Ill. Adm. Code 1302.30 License Fee (repealed)

History

• Source: Repealed at 6 Ill. Reg. 13789, effective October 25, 1982

11 Ill. Adm. Code 1302.40 Applicant Assent and Agreement (repealed)

History

• Source: Repealed at 11 Ill. Reg. 20207, effective December 1, 1987

11 Ill. Adm. Code 1302.50 License Revocable (repealed)

History

• Source: Repealed at 11 Ill. Reg. 20207, effective December 1, 1987

11 Ill. Adm. Code 1302.60 Power to Deny License (repealed)

History

• Source: Repealed at 11 Ill. Reg. 20207, effective December 1, 1987

11 Ill. Adm. Code 1302.70 Reasons for Denial or Revocation of License (repealed)

History

• Source: Repealed at 11 Ill. Reg. 20207, effective December 1, 1987

11 Ill. Adm. Code 1302.80 Unfit for License (repealed)

History

• Source: Repealed at 11 Ill. Reg. 20207, effective December 1, 1987

11 Ill. Adm. Code 1302.90 Possession of Credentials

All licensees shall carry on their person at all times within the stable area of a racetrack their Board photo identification badge. Every person so identified is subject to examination by the Board or its agents or employees, and by officials of the race track operator or its designated agents or employees, at any time they may deem necessary or proper. The Board may require visible display of a license in a restricted area. A license may only be used by the person to whom it is issued.

History

• Source: Amended at 33 Ill. Reg. 6704, effective May 1, 2009

11 Ill. Adm. Code 1302.100 Unauthorized Use of Credentials

No participant shall permit any unauthorized person or persons to use his badge or credentials for entering into any part of the race track. Any licensee who violates this rule is liable to suspension or a fine not to exceed $200, or both, and if he continues to violate the rule, he may be ruled off or otherwise punished, as the stewards may decide.

11 Ill. Adm. Code 1302.110 Hearing on License Suspension

a) If the stewards at any race meeting shall suspend a license of any horse owner, trainer, driver, groom, stable foreman, veterinarian, or other occupation licensee, the license of said person shall be suspended, pending a hearing of the Board.

b) A ruling or recommendation of the stewards shall be presumed correct and the election of a party who is subject of the same to forego an appeal provided here in during the prescribed time period, may be considered by the Board as a waiver of rights and an admission that said ruling or recommendation is correct and should be affirmed.

History

• Source: Amended December 22, 1977; filed December 30, 1977

11 Ill. Adm. Code 1302.200 Absence of Trainers

When any licensed trainer is absent from a racing meet for more than six days, it shall be the duty of the owner to appoint and have properly licensed a new trainer of record.

11 Ill. Adm. Code 1302.220 Minimum Age (Repealed)

History

• Source: Repealed at 11 Ill. Reg. 20207, effective December 1, 1987

11 Ill. Adm. Code 1302.230 Licensed Concessionaire

No license shall be issued to conduct a racing meeting unless, prior to the commencement of such meeting, the applicant for such license has obtained the services of a concessionaire licensed by the Board to provide adequate food and drink services for race track patrons or is providing such services itself.

History

• Source: Amended January 11, 1974

Chapter I Illinois Racing Board

Subchapter f Rules and Regulations of Harness Racing

Part 1303 Violations

11 Ill. Adm. Code 1303.10 Violators

Any person licensed by the Illinois Racing Board or any person violating any of its Rules and Regulations shall be liable to the penalties herein provided, unless otherwise limited in the Rules and Regulations of the Board.

11 Ill. Adm. Code 1303.20 Penalties

Possible penalties for violation of the Rules and Regulations of the Board are as follows:

a) Denial, revocation or suspension of license,

b) Monetary fines not exceeding $5,000. for each violation,

c) Suspension from one or more activities at one or more tracks,

d) Expulsion from pari-mutuel harness racing in Illinois, or

e) Forfeiture or return of purses won.

11 Ill. Adm. Code 1303.30 Attempt at Violation

Any attempt to violate any of the Rules and Regulations falling short of actual accomplishment shall constitute an offense and shall be punishable as herein provided, as if consummated.

11 Ill. Adm. Code 1303.40 Who May Impose Penalties

Penalties for violation of any rule of the Board may be imposed by the Board, state stewards or judges presiding at each licensed harness race meeting.

11 Ill. Adm. Code 1303.50 Payment of Fines

Payment of a fine directly or indirectly by a person other than the person upon whom it is imposed is prohibited and will be unacceptable to the Board.

11 Ill. Adm. Code 1303.60 Unpaid Fines

All persons who shall have been fined under these rules shall be suspended until said fine is paid in full.

11 Ill. Adm. Code 1303.70 Financial Responsibility

a) A creditor who alleges an unpaid obligation or default in obligation directly relating to horse racing (e.g., hay vendors, tack shops and veterinarians) may submit to the Board a court judgment describing the same. The stewards shall notify the licensee that a judgment has been filed with the Board and he/she shall have 30 days to satisfy said judgment.

b) In the event the licensee appeals the court judgment within 30 days, the stewards shall not take any action against the licensee. If after the 30 days the judgment remains unsatisfied and no further court action has been initiated, the stewards shall have the power to suspend the licenses or deny the pending license application.

c) The creditor shall file a Release (or Satisfaction) of Judgment with the stewards when the obligation has been satisfied. Failure on the part of the creditor to file the Satisfaction of Judgment shall result in a civil penalty, not to exceed $500.00.

History

• Source: Amended at 17 Ill. Reg. 12437, effective July 15, 1993

Part 1305 Race Track Operators and Their Duties

11 Ill. Adm. Code 1305.10 Definition of Race Track Operator

The term "operator" means an individual, firm, racing association, partnership, corporation, trustee or legal representative, licensed to conduct harness race meets under the provisions of the Illinois Horse Racing Act of 1975.

11 Ill. Adm. Code 1305.20 Application

Application for licenses to conduct harness racing meets shall be made on forms furnished by the Board. Such applications shall be verified under oath. If circumstances change or events occur after the application is filed so that the application no longer presents the correct facts, the applicant shall submit an amended answer to the question of the application form so affected.

11 Ill. Adm. Code 1305.30 Time for Filing Applications

a) All applications for licenses to conduct race meetings for each calendar year shall be filed with the Board prior to November 1 of any year. The Board may receive applications at a subsequent date if unusual need can be proven to the Board's satisfaction.*

b) When the Board approves an application and notifies said applicant of its approval, that applicant shall within 10 days after receipt of the written notice of approval deliver to the Board the total per diem fee for the entire race meeting and file with the Board the bond required by section 20(j) of the Illinois Harness Racing Act of 1975.

c) Failure to comply with the 10 day time limit shall cause the application for license to be considered withdrawn and of no effect.

*(Editor's Note: Section 20 of the Illinois Horse Racing Act of 1975 (Ill. Rev. Stat. 1979, ch. 8, par. 37-20) provides that subsequent to November 1975 applications shall be filed with the Board prior to September 1 of the year in which application is made.)

11 Ill. Adm. Code 1305.40 Conditions of License

Imposed on each race track operator is the duty of enforcing the Rules and Regulations imposed by the Board under which the licenses are granted, the Board reserving the right to amend, alter or repeal any rule, regulation or condition herein imposed or to supplement said Rules and Regulations by giving the race track operator three days' notice, except where shorter notice is herein otherwise provided.

11 Ill. Adm. Code 1305.45 Lease of Race Track (repealed)

History

• Source: Repealed at 6 Ill. Reg. 11063, effective September 1, 1982

11 Ill. Adm. Code 1305.50 Written Disclosure

Prior to November 1 of any year, all officers, directors, creditors, and substantial owners of any beneficial interest of every association, corporation or other business entity desiring to hold or conduct a race meeting within the State of Illinois during any calendar year shall make a written disclosure on forms prescribed by the Board for approval of their participation in racing in the State of Illinois. Said forms shall be submitted under oath as prescribed in the form. A person owning 5 per cent or more of the equity of an applicant for racing dates shall be considered a substantial owner for the purposes of this rule. A person extending credit for more than one year or extending credit in excess of $10,000 for less than one year, but more than 30 days, shall be considered a creditor for purposes of this rule, provided that, a horseman to whom moneys are owed as reflected in accounts maintained by the horsemen's bookkeeper shall not be considered a creditor.

(Editor's Note: Section 20 of the Illinois Horse Racing Act of 1975 (Ill. Rev. Stat. 1979, ch. 8, par. 37-20) provides that subsequent to November 1975 applications shall be filed with the Board prior to September 1 of the year in which application is made.)

11 Ill. Adm. Code 1305.55 Written Disclosure for Corporations

Where a corporation owns 25 per cent or more of the equity of an applicant for dates, holders of 10 per cent or more of its capital stock shall make written disclosure under these rules and regulations on the forms prescribed; provided, however, that this rule shall not apply to any corporation, the securities of which are registered with the Securities and Exchange Commission pursuant to the Securities Act of 1933 and the rules and regulations issued thereunder. Corporations qualifying under this exemption shall file with the Board copies of all papers filed with the Securities and Exchange Commission.

11 Ill. Adm. Code 1305.60 Notice of Changes

Within 10 days after election, appointment, acquisition of substantial ownership, or extending of credit, the Board shall be notified of the identity of each new officer, director, substantial owner, or creditor of a race track operator. Each new officer, director, substantial owner, or creditor shall make a written disclosure to the Board on forms prescribed by the Board for approval of their participation in racing in Illinois.

11 Ill. Adm. Code 1305.70 Political Contributions (repealed)

History

• Source: Repealed at 29 Ill. Reg. 8413, effective June 1, 2005

11 Ill. Adm. Code 1305.80 Termination of License

Racing dates and the license to conduct a horse race meeting are deemed personal in nature and non-transferable, and will terminate upon a substantial change of ownership of the race track operator, unless the Board has granted prior approval. The sale or transfer of 25 per cent or more of the equity of a race track operator shall be considered a substantial change of ownership.

11 Ill. Adm. Code 1305.90 Wagering on Races Conducted Off of Premises

No race track operator conducting a race meeting under a license issued by the Board shall permit bets to be made on the grounds of said race track operator on any race held outside of the grounds, and no foreign book or gambling device of any kind shall be permitted on said grounds.

11 Ill. Adm. Code 1305.100 Reciprocal Suspensions

No race track operator shall permit any person who is under suspension by, or has been ruled off the member courses of the United States Trotting Association, or by any state racing commission, to participate in any manner in a harness racing meet licensed by the Board, or in the conduct of such meet.

11 Ill. Adm. Code 1305.110 Horse Ambulance

There shall be a horse ambulance at all race tracks under the jurisdiction of the Board for the safe and expedient removal of crippled animals from the track. Horse ambulances must be equipped with a screen for use when an animal must be destroyed in view of the general public, a winch to lift dead or injured animals on to the ambulance, and a removable floor or other satisfactory device for the safe loading of a recumbent horse. Drugs for use by the State Veterinarians, when emergency medication is required, shall be stored in a locked box under their continuous, direct supervision.

History

• Source: Amended at 41 Ill. Reg. 4341, effective April 7, 2017

11 Ill. Adm. Code 1305.120 Ambulance of Racing Strip (Repealed)

History

• Source: Repealed at 17 Ill. Reg. 3034, effective February 23, 1993

11 Ill. Adm. Code 1305.130 First Aid Station (Repealed)

History

• Source: Repealed at 17 Ill. Reg. 3034, effective February 23, 1993

Chapter I Illinois Racing Board

Subchapter f Rules and Regulations of Harness Racing

Part 1305 Race Track Operators and Their Duties

11 Ill. Adm. Code 1305.140 Medical Services

Each organization licensee shall submit its emergency medical services plan to the Board for the Board's approval, thirty (30) days prior to the start of its meet. The plan shall include all information relative to emergency medical services to be provided to racing participants and patrons, including but not limited to the name of any resource hospitals, agreements with any ambulance services (private and municipal), and the number and certification level of all emergency medical technicians. In approving an emergency medical service plan the Board shall consider the proximity of the racetrack, the size of the racetrack, and the type of racing to be conducted at the racetrack. Each plan shall also be certified by the Illinois Department of Public Health, Division of Emergency Medical Services.

History

• Source: Amended at 17 Ill. Reg. 3034, effective February 23, 1993

11 Ill. Adm. Code 1305.150 Illinois Racing Board Office

Each race track operator shall provide within its grounds an office for the use of the members of the Illinois Racing Board or any of its representatives, that meets with the approval of said persons.

11 Ill. Adm. Code 1305.170 Moving Office (Repealed)

History

• Source: Repealed at 9 Ill. Reg. 9165, effective May 30, 1985

Chapter I Illinois Racing Board

Subchapter f Rules and Regulations of Harness Racing

Part 1305 Race Track Operators and Their Duties

11 Ill. Adm. Code 1305.180 Judges' Stand

The judges' stand shall be so located and constructed as to afford to the officials an unobstructed view of the entire track and no obstruction shall be permitted upon the track, or the centerfield which shall obscure the officials' vision of any portion of the track during the race. Any violation of this section shall subject the track to a fine not exceeding $500 and immediate suspension of license.

11 Ill. Adm. Code 1305.190 Drivers' Bench

Every race track operator conducting pari-mutuel betting shall provide a bench, located conveniently to the gate through which horses enter the track at the beginning of a race, for drivers who are not competing in a particular race and who are wearing colors.

11 Ill. Adm. Code 1305.200 Stabling of Horses

Any horse racing at a licensed meeting must be stabled within the confines of that track; provided, however, in case of necessity such a horse may be stabled within the confines of an adjacent Illinois race track, or in another location approved by the Board. The race track operator holding the race meeting shall provide for temporary stabling of horses, eligible to race, which are brought to the races from approved outside stable space.

11 Ill. Adm. Code 1305.220 Stall Numbers and Distance Poles

Race track operators shall number each stall where horses are quartered and all distance poles shall be of standard color designations, namely:

Quarter poles – red and white

Eighth poles – green and white

Sixteenth poles – black and white

11 Ill. Adm. Code 1305.230 Licensed Outrider

The race track operator shall furnish a licensed outrider who is to be on duty and suitably mounted each day during racing hours. The outrider must display excellent riding ability. Among his duties shall be:

a) Leading tough horses;

b) Holding a horse during an equipment change before a race;

c) Controlling the horses until they reach the gate;

d) Catching the horses if they stray at the gate or after an accident;

e) Detouring other horses away from an accident.

11 Ill. Adm. Code 1305.240 Drinking Fountains and Rest Rooms

The race track operator shall furnish an adequate number of free drinking fountains, comfort stations, and wash rooms throughout its grounds and buildings for the use of the public.

History

• Source: Amended 4 Ill. Reg. no. 21, May 23, 1980, p. 85, effective May 9, 1980

11 Ill. Adm. Code 1305.250 Telephones

Telephone use shall be disallowed in the paddock area, except under the direct supervision of the Board or its delegates.

History

• Source: Amended at 14 Ill. Reg. 17661, effective October 16, 1990.

11 Ill. Adm. Code 1305.260 Broadcasting and Telecasting

Permission shall be first secured in writing from the Board before any race track operator may allow the telecast or radio broadcast of any race.

11 Ill. Adm. Code 1305.270 Pest Control

The race track operator shall maintain systematic, effective control against flies, mosquitoes, other insects and rats at all times during a meeting. Horses must be stabled in individual box stalls with appropriate feeding and watering facilities. Stables and immediate surrounding areas must be kept in a sanitary condition at all times. Satisfactory drainage must be provided and manure and other refuse must be promptly and properly removed. These regulations apply to any stabling areas that the Board has approved for the race track operator. The Board or its official representatives will make periodic inspections of a track. Failure to comply with sanitary practices or provide any pest control will result in loss of racing dates.

11 Ill. Adm. Code 1305.280 Alcohol Sales

No race track operator shall sell or permit to be sold, on the backstretch or in any other area used by it for stabling of horses, any alcoholic beverages, beer excepted.

11 Ill. Adm. Code 1305.290 Track Lights

a) Lights used to illuminate the track at night shall not be turned on or off while a race is in progress, or off while horses are on the track. The state steward shall declare a race off if total darkness occurs during the running of a race.

b) The stable area must be properly lighted, so that it will be entirely void of darkness in all sections; lights will be turned on at dusk and they shall remain on until one hour after the last race.

c) Parking areas must be properly lighted, so they will be entirely void of darkness in all sections; lights will be turned on at dusk and they shall remain on until one hour after the last race or until all cars have departed, whichever may first occur.

d) If for any reason the races scheduled for the night cannot be fulfilled by midnight, the stewards will postpone the remaining race or races.

11 Ill. Adm. Code 1305.300 Fire Prevention

Race track operators shall make adequate provision for fire prevention, protection against fire, and fire suppression within the enclosure. Before any license is granted, the race track operator must gain approval from the Board of its fire prevention facilities.

11 Ill. Adm. Code 1305.310 Backstretch Paging System

Each organization shall have in place a suitable backstretch paging system.

History

• Source: Added at 14 Ill. Reg. 20052, effective December 4, 1990

11 Ill. Adm. Code 1305.320 Admissions (repealed)

History

• Source: Repealed at 28 Ill. Reg. 11260, effective August 1, 2004

11 Ill. Adm. Code 1305.330 Inspection Report

At least 30 days prior to the beginning of any racing meeting, the race track operator shall submit to the Board copies of inspection reports issued by appropriate state or local governmental authorities relating to the condition of the buildings, the health and sanitation of the facilities, and the fire prevention, detection, and suppression equipment at the race track at which the racing meeting is to be conducted. Said inspections shall be made no earlier than 45 days prior to the beginning of a racing meeting.

History

• Source: Added October 25, 1973; filed December 17, 1973

11 Ill. Adm. Code 1305.340 Lottery Events at Race Tracks (repealed)

History

• Source: Repealed at 34 Ill. Reg. 7741, effective May 24, 2010

11 Ill. Adm. Code 1305.350 Off-Track Betting Agencies of Other States

a) No race track operator shall, without the prior approval of the Board, enter into or implement an agreement with any legally constituted off-track betting agency of any other state providing for pari-mutuel wagering to be conducted in such state on races held at licensed meetings in Illinois.

b) Any race track operator seeking Board approval of an agreement with any legally constituted off-track betting agency of any other state shall submit a copy of the proposed agreement together with such request and shall supply such other information relative to the proposal as the Board may require.

History

• Source: Added May 9, 1975; filed May 15, 1975

11 Ill. Adm. Code 1305.370 Reporting of Horsemen's Purse Account

Each organization licensee shall weekly submit to the Board Secretary a report reflecting the current status of the "Horsemen's Purse Account." Said report shall be submitted on forms provided by the Board.

History

• Source: Added August 21, 1976; filed August 30, 1976

11 Ill. Adm. Code 1305.380 Notification of Change

a) Each organization licensee shall have the authority to change its hours of operation if the hours are different than provided in the licensee's racing dates application subject to notification to the Board. The notification shall be made in writing and submitted to the Board's central office at least 30 days prior to the anticipated change of hours of operation.

b) Each organization licensee shall have the authority to change prices charged for goods and services subject to notification to the Board. Goods and services shall include, but not be limited to, admission prices, parking fees and official racing programs and shall exclude food, beverages and merchandise. The notification shall be made in writing and submitted to the Board's central office at least 30 days prior to the anticipated change.

c) Each organization licensee shall have the authority to change prices charged for wagering products (subject to Sections 26 and 26.2 of the Act) subject to notification to the Board. Wagering products shall include, but not be limited to, take-out or retention rates and minimum wager amounts. The notification shall be made in writing and submitted to the Board's central office at least 30 days prior to the anticipated change.

d) The Board may disapprove of any business practices by organization licensees identified in subsection (a), (b) or (c) if the Executive Director finds that such practices are detrimental to the public interest based upon industry standards (e.g., a national survey of comparable race tracks) or opposition from the public or interesed parties. [230 ILCS 5/20.1]

History

• Source: Amended at 28 Ill. Reg. 6596, effective April 19, 2004

Chapter I Illinois Racing Board

Subchapter f Rules and Regulations of Harness Racing

Part 1306 Race Officials

11 Ill. Adm. Code 1306.10 State Steward

a) The state steward, appointed by the Board, shall be the representative of the Board at large at all race meetings and principal advisor to the Board on harness racing activities. He shall supervise the conduct of the race track operator's officials, of racing, of the pari-mutuel department, of the licensing office and of the detention barn. The state steward shall keep said departments and officials informed about Board policy.

b) If necessary, the state steward may act in place of an official or as an additional official should the Board determine the need. He shall at all times have access to all parts of the course, plant and grounds.

c) The state steward has authority over all owners, trainers, drivers and other persons attendant on horses.

11 Ill. Adm. Code 1306.20 Additional Steward

The Board may in its discretion designate one of the officials as its steward at that particular meeting, but such steward shall at all times be junior to the state steward of the Board.

11 Ill. Adm. Code 1306.30 Judges

In every race or performance against time there shall be a presiding judge and two associate judges, one of whom may be appointed to serve as a roving patrol judge.

11 Ill. Adm. Code 1306.50 Disqualification to Act as Official

A person under suspension, expulsion, or other disqualification, or who has any interest in a race or has an interest in any of the horses engaged therein, is disqualified from acting in any official capacity in that race. In the event of such disqualification, the management shall be notified by the disqualified person and shall appoint a substitute. Any person who violates this restriction shall be fined, suspended or expelled.

11 Ill. Adm. Code 1306.70 Participation Forbidden

No person whose duties at meetings licensed by the Board including classifying horses, supervising saliva and urine examination, officiating, and/or reviewing decisions of the judges shall directly or indirectly be the owner of or have any interest in any horse racing at pari-mutuel harness meetings, nor shall he participate financially directly or indirectly in the purchase or sale of any horse racing at such meetings. Any person violating this rule shall be suspended.

11 Ill. Adm. Code 1306.80 Judges' Stand Occupants

None but the judges, the clerk of the course, the racing secretary, starter and timer, official announcer, and officials and directors of the Board and the United States Trotting Association shall be allowed to enter the judges' stand during a race. Anyone violating this rule may be fined not to exceed $100.

11 Ill. Adm. Code 1306.90 Improper Conduct

a) An official guilty of improper conduct shall be fined not exceeding $500 and/or be suspended.

b) Any complaint against a racing official or officials shall be made to the stewards in writing, signed by the complainant. All such complaints shall be reported to the Board together with the stewards' action.

11 Ill. Adm. Code 1306.100 Presiding Judge

The presiding judge shall:

a) Have supervision over associate judges, patrol judges, starters, paddock judge, finish wire judge, clerk of the course, timers and charters.

b) Notify owners and drivers of penalties imposed.

c) Report in writing to the Board, with a copy to the United States Trotting Association, violations of the rules by a track, its officers or race officials, giving detailed information thereof.

d) Make such other reports as required by the Board.

e) Sign each sheet of the judges' book, verifying the correctness of the record.

f) Be responsible for the maintenance of the records of the meeting and the forwarding thereof to the Board and the United States Trotting Association.

History

• Source: Amended at 10 Ill. Reg. 10147, effective May 27, 1986

11 Ill. Adm. Code 1306.110 Powers of the State Steward and Judges

The State Steward and the judges shall have the following powers:

a) Inflict fines and penalties, as prescribed by this Part.

b) Determine all questions of fact relating to the race.

c) Decide any differences between parties to the race. Should any case occur that may or may not be covered by this Chapter, it shall be determined by the officials. When no penalty is provided, the State Steward and judges shall have the authority to impose stated penalties as they think just, recommending to the Board more severe penalties if they think fit.

d) Declare pools and bets "off" in the case of fraud, no appeal to be allowed from their decision in that respect. All pools and bets follow the decision of the judges. Such a decision in respect to pools and bets, shall be made at the conclusion of the race upon the observations of the judges and upon such facts as an immediate investigation shall develop. A reversal or change of decision after the official placing at the conclusion of the heat or dash shall not affect the distribution of betting pools made upon such official placing. When pools and bets are declared off for fraud, the guilty parties shall be fined, suspended and/or expelled.

e) Control the horses, drivers and assistants and punish by a fine not exceeding $500 or by suspension or expulsion, any person who shall fail to obey their orders or the rules. In no case shall there be any compromise or change on the part of the judges of punishment prescribed in the rules, but the same shall be strictly enforced.

f) Conduct an inquiry into a violation of any rule and take such action as may be appropriate and render their report to the Board. Any action, as a result of such inquiry, must be concurred in by the majority of the judges. Any person required to appear before the judges for a hearing or examination who shall fail to appear after due notice in writing shall be penalized.

g) Consider complaints of foul from the patrols, owners or drivers in the race and no others.

h) Declare a race void and order all wagers refunded in the event of unfavorable weather or other unavoidable cause.

History

• Source: Amended at 30 Ill. Reg. 16319, effective October 1, 2006

Chapter I Illinois Racing Board

Subchapter f Rules and Regulations of Harness Racing

Part 1306 Race Officials

11 Ill. Adm. Code 1306.120 Duties of the Judges and State Steward

It shall be the duty of these officials to:

a) Exclude from the race any horse that in their opinion is improperly equipped, dangerous, or unfit to race, or liable to cause accident or injury to another horse or driver in the race, and which shall include horses that are sick, blind, weak, and extremely lame. No horse shall race with a tube in its throat.

b) Investigate any apparent or possible interference, or other driving violation whether or not complaint has been made by a driver.

c) Investigate any act of cruelty seen by them or reported to them by any person towards a race horse during a meeting at which they officiate. If the judges find that such an act has been committed, they shall suspend or fine the offending person not to exceed $500.

d) Immediately thereafter or on the day of the race, conduct an investigation of any accidents to determine the cause thereof, and the judges shall make all accidents a matter of record in the judges' book and completely fill out an accident report.

e) Order the physical examination of drivers involved in accidents.

f) Action by the state steward and judges in performing their duties shall be reported to the Illinois Racing Board. Where one steward disagrees with the majority, that fact shall be noted in the report and the dissenting steward shall have the right to file with the Board a written report setting forth the reason or reasons for the disagreement. The stewards shall keep a minute book, recording therein all complaints made to them and the disposition thereof and all investigations by the stewards and their findings thereon and all rulings made by the stewards.

g) The stewards shall, as soon as possible and not later than seven days after the end of each meeting, make a report in writing, to the Board of all infractions of the Rules and Regulations, and all rulings of the stewards upon matters coming before them during such meeting. All rulings and orders of the stewards may in the discretion of the Board be reviewed by it and such ruling or order reversed or modified in any way the Board may deem proper.

11 Ill. Adm. Code 1306.130 Procedures of the Judges and State Steward

It shall be the procedure of judges and state stewards to:

a) Observe the preliminary warming up of horses and scoring, noting behavior of horses, lameness, equipment, conduct of drivers, changes in odds at pari-mutuel meetings, and any unusual incidents pertaining to horses or drivers participating in races.

b) Be in communication with the starter from the time he or she picks up the horses until the finish of the race. Any violation or near violation of the Rules and Regulations shall be reported by the starter witnessing the incident and a written record made. At least one steward or judge shall observe the drivers throughout the stretch specifically noting changing course, interference, improper use of whips, breaks, and failure to contest the race to the finish.

c) Post the objection sign or inquiry sign on the odds board in the case of a complaint or possible rule violation, and immediately notify the announcer of the objection and the horse or horses involved. As soon as the judges have made a decision, the objection sign shall be removed, the correct placing displayed, and the "official" sign flashed. In all instances, the judges shall post the order of finish and the "official" sign as soon as they have made their decision.

d) Display the photo sign if the order of finish among the contending horses is less than half-length or a contending horse is on a break at the finish. After the photo has been examined and a decision made, a copy or copies shall be made, checked by the presiding judge, and posted for public inspection.

e) Sign the judges' book verifying the correctness of the record by the clerk of the course.

History

• Source: Amended at 41 Ill. Reg. 4345, effective April 7, 2017

11 Ill. Adm. Code 1306.140 Patrol Judge

a) There shall be at least one roving patrol judge and it shall be his duty to ride in the starter car and observe all activity on the race track in his area at all times during the racing program. He shall immediately report to the presiding judge:

1. Any action on the track which could improperly effect the result of a race.

2. Every violation of the racing rules.

3. Every violation of the rules of decorum.

4. The lameness or unfitness of any horse.

5. Any lack of proper racing equipment.

b) The patrol judge shall furthermore:

1. Be in constant communication with the judges during the course of every race and shall immediately inform the judges of every rule violation, improper or unusual happening which occurs at their station.

2. Submit individual daily reports of observations of the racing to the presiding judge.

3. When directed by the presiding judge, attend hearings or inquiries on violations and testify thereat under oath.

11 Ill. Adm. Code 1306.160 Starting Judges

Starting judges shall be designated by the track, subject to the approval of the Board.

11 Ill. Adm. Code 1306.170 Duties of Starter

a) The starter shall be in the starting car 15 minutes before the first race. He shall have control over the horses and authority to assess fines and/or suspend drivers for any violation of the rules from the formation of the parade until the word "go" is given. He may assist in placing the horses when requested by the judges to do so. He shall notify the judges and the drivers of penalties imposed by him.

b) His services shall be paid for by the track employing him. An assistant starter may be employed when necessary.

11 Ill. Adm. Code 1306.180 Clerk of the Course

The clerk of the course shall:

a) At request of judges assist in drawing positions.

b) Keep the judges' book and record therein:

1. All horses entered and their eligibility numbers.

2. Names of owners and drivers; drivers' license numbers.

3. A record of each race, giving position of horse at finish.

4. Note drawn or ruled out horses.

5. Record time in minutes, seconds and fifths of seconds.

c) Check eligibility certificate before the race and after the race; shall enter all information provided for thereon.

d) Record all protests, fines, penalties and appeals in the judges' book and see that the book is properly signed.

e) Forward copies of the judges' book to the United States Trotting Association and the Board not later than the next day.

f) Notify owners and drivers of penalties assessed by the officials.

g) Upon request, may assist judges in placing horses.

h) After the race, return the eligibility certificate to the owner of the horse or his representative when requested.

i) Failure to comply with any part of this rule and make the above listed entries legible, clear and accurate, may subject either the clerk or the track, or both, to a fine of not to exceed $50. for each violation.

11 Ill. Adm. Code 1306.190 Timers

a) At each race or performance against time there shall be an electric timing device and one timer. He shall sign the judges' book for each race or performance against time verifying the correctness of the record. All times shall be announced and recorded in fifths of seconds. An approved electronic timing device must be used where horses are started from a chute.

b) The timer shall be in the stand 15 minutes before the first heat or dash is to be contested. He shall start his watch when the first horse leaves the point from which the distance of the race is measured and shall stop his watch when a winner reaches the wire. The time of the leading horse at the quarter, half, three-quarters, and the finish shall be taken. If odd distances are raced, the fractions shall be noted accordingly.

11 Ill. Adm. Code 1306.200 Paddock Judge

Under the direction and supervision of the presiding judge, the paddock judge will have complete charge of all paddock activities. The paddock judge is responsible for:

a) Getting the fields on the track for post parades in accordance with the schedule given to him by the presiding judge.

b) Inspection of horses for changes in equipment, broken or faulty equipment, head numbers, etc.

c) Supervision of paddock gate men.

d) Proper check in and check out of horses and drivers.

e) Direction of the activities of the paddock blacksmith.

f) Immediate notification to the presiding judge of anything that could in any way change, delay or otherwise affect the racing program.

g) Permitting only properly authorized persons in the paddock and any violation of this rule may result in fine, suspension or expulsion.

h) Inspection and supervision of the maintenance of all emergency equipment kept in the paddock.

i) Notifying the judges of the reason for any horse returning to the paddock after having entered the track for the post parade and before the start of the race.

j) Notifying the judges of all trainers and grooms who leave the paddock in an emergency.

History

• Source: Amended at 10 Ill. Reg. 10147, effective May 27, 1986

11 Ill. Adm. Code 1306.210 Program Director

Each track shall designate a program director. Such program director and all charters shall be subject to the approval of the Board. It shall be the responsibility of the program director to furnish the public complete and accurate past performance information as required by Rule B 15.4 (11 Ill. Adm. Code Section 415.40).

11 Ill. Adm. Code 1306.220 Horse Identifier

The identification of horses coming into the paddock shall be made by the horse identifier who shall report any irregularities to the paddock judge and stewards.

11 Ill. Adm. Code 1306.230 State Veterinarian (repealed)

History

• Source: Repealed at 31 Ill. Reg. 16511, effective December 1, 2007

11 Ill. Adm. Code 1306.240 Bribes Forbidden

No racing official or his assistant shall accept, directly or indirectly, any gratuity, reward or favor in connection with racing at the meeting.

11 Ill. Adm. Code 1306.250 Drinking of Intoxicating Liquor Prohibited

Drinking of intoxicating liquor, by any racing official, track employee, or licensee, while on duty, is prohibited. Any person violating this rule shall be relieved of his duties by the stewards.

11 Ill. Adm. Code 1306.260 Arrival Time (repealed)

History

• Source: Repealed at 10 Ill. Reg. 10147, effective May 27, 1986

Part 1307 Identification of Horses

11 Ill. Adm. Code 1307.10 Bonafide Owner or Lessee

A horse must race in the name of the bonafide owner or lessee.

History

• Source: Amended at 43 Ill. Reg. 10115, effective September 1, 2019

11 Ill. Adm. Code 1307.30 Failure to Furnish Reliable Program Information (repealed)

History

• Source: Repealed at 43 Ill. Reg. 10115, effective September 1, 2019

11 Ill. Adm. Code 1307.40 Inaccurate Information (repealed)

History

• Source: Repealed at 43 Ill. Reg. 10115, effective September 1, 2019

11 Ill. Adm. Code 1307.50 Check on Identity of Horse (repealed)

History

• Source: Repealed at 43 Ill. Reg. 10115, effective September 1, 2019

11 Ill. Adm. Code 1307.60 False Chart Lines (repealed)

History

• Source: Repealed at 43 Ill. Reg. 10115, effective September 1, 2019

11 Ill. Adm. Code 1307.70 Frivolous Demands (repealed)

History

• Source: Repealed at 43 Ill. Reg. 10115, effective September 1, 2019

11 Ill. Adm. Code 1307.80 Horse Identification

No horse shall be permitted to start in a race unless it has been lip tattooed, has been freeze branded with an identifying number, or has received an electronic horse identification microchip that accurately identifies the horse and is compliant with the International Organization of Standardization (ISO).

History

• Source: Amended at 43 Ill. Reg. 10115, effective September 1, 2019

11 Ill. Adm. Code 1307.90 Changes in Ownership

Any change in ownership of a horse or horses or interest therein shall be immediately filed with the United States Trotting Association and the racing secretary.

Part 1308 Racing, Farm, Corporate or Stable Name

11 Ill. Adm. Code 1308.10 Racing, Farm, Corporate or Stable Name

a) Racing, farm, corporate or stable names may be used by owners or lessees if registered with the United States Trotting Association.

b) All owners and persons listed in a registered stable, whether incorporated or not, shall be liable for entry fees and penalties against horses raced by the stable. In the event that one of the owners or persons listed in a registered stable is suspended, all the horses shall be included.

11 Ill. Adm. Code 1308.20 Stable Name

Any horse that is owned by more than one person, or one partnership, must be stabled in one stable and registered only under its own stable name with appropriate fees paid.

History

• Source: Amended at 13 Ill. Reg. 2156, effective February 3, 1989

11 Ill. Adm. Code 1308.30 Partnerships

All partners of a general partnership shall be licensed as owners. In the case of a limited partnership all general partners and limited partners owning a 5% or more interest in the limited partnership shall be licensed as owners. This shall apply to all partnerships owning any interest in a horse. All non-licensed partners shall be eligible for licensure. Any non-licensed partner shall submit application materials sufficient for the Board to verify this status upon a determination by the stewards that it is more probable than not that such person is ineligible for licensure. Such materials shall consist of the name, social security number, fingerprints, or other material required of an applicant for an owner's license. If any non-licensed partner is ineligible for licensure then all partners and the partnership shall be ineligible for licensure.

History

• Source: Added at 13 Ill. Reg. 2156, effective February 3, 1989

11 Ill. Adm. Code 1308.40 Corporations

All officers, directors and shareholders owning 5% or more of any class of a stock of a corporation shall be licensed as owners. This shall apply to all corporations owning any interest in a horse. All non-licensed shareholders shall be eligible for licensure. Any non-licensed shareholder shall submit application material sufficient for the Board to verify this status upon a determination by the stewards that it is more probable than not that such person is ineligible for licensure. Such materials shall consist of the name, social security number, fingerprints, or other material required of an applicant for an owner's license. If any non-licensed shareholder is ineligible for licensure then all officers, directors, shareholders and the corporation shall be ineligible for licensure.

History

• Source: Added at 13 Ill. Reg. 2156, effective February 3, 1989

Part 1309 Eligibility and Qualification for Races

11 Ill. Adm. Code 1309.10 Eligibility Certificate

a) No horse shall be declared in without first possessing a current United States Trotting Association or CTA (Canadian Trotting Association) eligibility certificate at the gait the horse is declared to race. Horse owners violating this rule shall be fined $10. The track shall be fined $5 for accepting a declaration without an eligibility certificate.

b) Telegraphic declarations may be sent and accepted without penalty provided the declarer furnishes adequate program information. The eligibility certificate, however, must be presented when the horse arrives at the track and before he races.

11 Ill. Adm. Code 1309.20 Registration

All matters relating to registration of standardbred horses shall be governed by the rules of the United States Trotting Association.

11 Ill. Adm. Code 1309.30 Leased Horses

Any horse under lease must race in the name of the lessee. No eligibility certificate will be issued to a horse under lease unless a copy of the lease is filed with the United States Trotting Association. Persons violating this rule may be fined, suspended or expelled.

11 Ill. Adm. Code 1309.40 Sale or Lease During Current Year

When a horse is sold or leased after an eligibility certificate is issued for the current year, the new owner or lessee may use that certificate if endorsed to him by the United States Trotting Association. If the certificate is not endorsed to the new owner or lessee, he must apply for a new eligibility certificate.

11 Ill. Adm. Code 1309.50 Tampering with Eligibility Certificate

Persons tampering with eligibility certificates may be fined, suspended or expelled and any winnings after such tampering may be ordered forfeited.

11 Ill. Adm. Code 1309.60 Corrections on Eligibility Certificates

Corrections on eligibility certificates may be made only by a licensed official or a representative of the United States Trotting Association. Persons making corrections shall affix their name and the date to the certificate.

11 Ill. Adm. Code 1309.70 Loss or Destruction of Certificate

In the event of loss or destruction of an eligibility certificate, a replacement certificate must be secured from the United States Trotting Association.

11 Ill. Adm. Code 1309.80 Time Bars Prohibited

No time bars or records shall be used as an element of eligibility in the setting of race conditions. The only use may be for the purposes of establishing qualifying standards.

11 Ill. Adm. Code 1309.90 Racing Secretary Shall Prescribe Conditions

The racing secretary shall prescribe standards to determine whether a horse is qualified to race in overnight events at a meeting.

11 Ill. Adm. Code 1309.100 Conflicting Conditions

In the event there are conflicting published conditions, the more favorable to the nominator shall govern.

11 Ill. Adm. Code 1309.110 Condition Books

Condition books will be prepared by the racing secretary. Such books shall contain at least three days racing programs and be available to horsemen at least 24 hours prior to closing declarations on any race.

11 Ill. Adm. Code 1309.120 Races to Be Offered

In presenting a program of racing, the racing secretary shall use exclusively the following types of races: stakes and futurities, early closing and late closing events, conditioned, claiming and invitational races.

11 Ill. Adm. Code 1309.130 Invitational Races

a) Invitational races are limited to the fastest horses at the meeting. These may be Free For All races, Junior Free for All, or Invitationals. Horses to be used in such races shall be posted in the racing secretary's office at least 24 hours prior to the time of closing. Horses so listed shall not be eligible for conditioned overnight races unless the conditions specifically include horses on the invitational list. Purses offered for such races shall be at least 15 per cent higher than the highest purse offered for a conditioned race programmed the same racing week for horses of equivalent age and sex.

b) No two year, three year or four year old will be eligible to be placed on the invitational list to race against older horses until it has won a lifetime total of $15,000 and five races, unless requested by the owner or an authorized agent. Such request may be withdrawn at any time by the owner or agent and said horse returned to conditioned racing.

c) Where a meeting is in progress in December and continues in January of the subsequent year, races and earnings won at that meeting may be computed in determining whether a horse may be placed on the invitational list.

11 Ill. Adm. Code 1309.140 Rejection of Declarations

The racing secretary may reject the declaration on any horse whose eligibility certificate was not in his possession on the date the condition book was published. The racing secretary may reject the declaration on any horse whose past performance indicated that he would be below the competitive level of other horses declared, provided the rejection does not result in a race being cancelled.

11 Ill. Adm. Code 1309.150 Eligibles Posted

Names of all horses at the track eligible to race in conditioned races shall be posted by gait in the declaration room, together with all the pertinent information concerning such horse that may be required to determine eligibility of such horse to conditioned races offered at the track.

11 Ill. Adm. Code 1309.160 Agid (coggins) Test (repealed)

History

• Source: Repealed at 31 Ill. Reg. 16515, effective December 1, 2007

Part 1311 Stakes and Futurities

11 Ill. Adm. Code 1311.10 Stakes and Futurities

All stake and futurity sponsors shall:

a) Annually file a copy of their conditions with this Board and with the USTA.

b) Give satisfactory evidence of financial responsibility. A surety bond in the amount of the fund conditioned will be demanded if a sponsor's financial statement shows his net worth as less than five times the amount of trust funds received from stakes and futurities payments.

c) Sponsors shall mail a list of the nominations within 20 days after the closing to each nominator, the Board and the United States Trotting Association.

d) Sponsors shall mail within 20 days the complete list of all horses remaining eligible after each payment to the Board and the United States Trotting Association. Sponsors shall mail within 20 days following the last payment before the starting fee, a complete list of all horses remaining eligible to owners of all eligibles, the Board and the United States Trotting Association.

e)

1. Shall set the nominating date and the dates for all sustaining payments except the starting fee on the 15th day of the month, and there shall be no payments on yearlings except a nomination payment and such nomination payment shall be due not later than August 15th. Before taking any sustaining payments during the year the race is to be contested, the date and place of the race shall be stated.

2. Beginning with stakes and futurities closing in 1973, and thereafter, the date for closing of nominations of yearlings to stakes shall be May 15th and the date for closing of the nominations to futurities shall be July 15th.

11 Ill. Adm. Code 1311.20 Announcement of Events

Sponsors shall announce the week and place of any event as soon as racing dates for the year are allocated by the Board.

11 Ill. Adm. Code 1311.30 Failure to Make Payments

Failure to make any payment required by the conditions constitutes an automatic withdrawal from the event.

11 Ill. Adm. Code 1311.40 Refund of Nomination Fees

In the event that a mare nominated to a futurity fails to have a live foal, the nominator shall receive a return on his payment upon notification by December 1st of the year the foaling failed, providing such return is called for in the conditions.

Part 1312 Entries and Declarations

11 Ill. Adm. Code 1312.10 Entries

a) All entries shall be made on forms prescribed by the Board, and all information required on such forms shall be supplied.

b) Entry forms shall be filled out in ink and shall be signed by the owner or his authorized agent, provided that entries may be made by telephone in which case the person receiving the entry shall reduce it to writing on a prescribed form and indicate that the entry was received by telephone.

c) Entries in overnight events shall comply with Rule 12.19. (11 Ill. Adm. Code Section 1312.190)

History

• Source: Amended 4 Ill. Reg. 21, p. 85, effective May 9, 1980

11 Ill. Adm. Code 1312.20 Penalties

The penalty for noncompliance with any of the above requirements is a fine of not less than $5 nor more than $50 for each offense. If the facts are falsely stated for the purpose of deception, the guilty party shall be fined and/or suspended or expelled.

11 Ill. Adm. Code 1312.30 Sale of Horse with Entrance Due

If any person shall sell a horse to be free and clear and it appears thereafter that payments were due or to become due in races of any description and for which suspension has been or is subsequently ordered, such seller shall be held for the amount due with the penalty on the same and fined an amount equal to the amount of suspension. Unless that horse has been suspended prior to a sale, a subsequent suspension for unpaid entry fees will have no effect as against a bona fide purchaser for value without notice.

11 Ill. Adm. Code 1312.40 Receipt of Entries

a) All entries and payments, except in overnight events, not actually received at the hour of closing shall be ineligible, except

1. entries and payments by letter bearing postmark not later than the following day (omitting Sunday); or

2. entries notified by telegraph. The telegram shall be actually received at the office of sending at or before the hour of closing, and such telegram shall state the color, sex and name of the horse, and give the name and residence of the owner and the party making entry.

b) Whenever an entry or payment in a stake, futurity, or early closing race becomes payable on a Sunday or a legal holiday that falls on Saturday, such payment is to be due on the following Monday. If made by mail, the envelope must be postmarked on or before the following Tuesday. If a payment falls on a Monday that is a legal holiday, such payment is due on Tuesday, and if made by mail must be postmarked on or before the following Wednesday.

11 Ill. Adm. Code 1312.50 Postage Meter

Where an entry is received by letter bearing a postage meter date without any postmark by the Post Office, such postage meter date shall be considered to be a postmark for the purposes of this rule if the letter is actually received within seven days following the closing date of the event. The metered date must conform to the postmark date as set forth above in order to be valid.

11 Ill. Adm. Code 1312.55 Limitation on Purse Increases or Reductions

a) No purse for any race may be increased or reduced after the purse has been advertised, published or reflected in the conditions without prior approval of the Executive Director of the Board. If approved, the Racing Secretary shall promptly post the change in purse on the public bulletin board in the Racing Secretary's office for the inspection of owners, trainers and the public, and list it in the "overnight sheets".

b) No purse for any race may be increased or reduced after the first entry is made without prior approval of the Board.

History

• Source: Added at 36 Ill. Reg. 16340, effective November 1, 2012

11 Ill. Adm. Code 1312.60 Deviation from Published Conditions

All entries and payments not governed by published conditions shall be void and any proposed deviation from such published conditions shall be punished by a fine not to exceed $50 for each offense. Any nominator who is allowed privileges not in accordance with the published conditions of the race or which are in conflict with these rules, shall be debarred from winning any portion of the purse, and the said nominator and the secretary or other persons who allowed such privileges shall be deemed to have been parties to fraud.

11 Ill. Adm. Code 1312.70 When Ineligible Horse Races

a) Nominators are required to guarantee the identity and eligibility of their entries and declarations. If given incorrectly, the nominator may be fined, suspended or excluded. When imposing penalties, the stewards shall consider all relevant factors, including, but not limited to

1. Whether the error related to the identification of the horse, the authenticity of eligibility papers, or the accuracy of the declaration; and

2. Whether the error was intentional or the result of negligence.

b) Further, any winnings shall be forfeited and redistributed to eligible entries.

c) A person obtaining a purse or money through fraud or error shall surrender or pay the same to the Board for redistribution or that person together with the parties implicated in the wrong, and the horse or horses shall be suspended until such demand is complied with and such purse or money shall be awarded to the party justly entitled to the same.

History

• Source: Amended at 5 Ill. Reg. 1498, effective February 2, 1981

11 Ill. Adm. Code 1312.80 Transfer of Ineligible Horse

A horse entered in an event to which it is ineligible may be transferred to any event to which it is eligible at the same gait.

11 Ill. Adm. Code 1312.90 Withholding Purse When Ineligible Horse Races

Tracks shall be warranted in withholding the purse won by any horse, without a formal protest, if they shall receive information in their judgment tending to establish that the entry or declaration was fraudulent or ineligible. Purses withheld under this rule shall be forthwith sent to the Board to await the result of an investigation and order of distribution by the Board.

History

• Source: Amended at 5 Ill. Reg. 1498 effective February 2, 1981

11 Ill. Adm. Code 1312.100 Early Closing and Late Closing Events

a) The sponsor shall state the place and date of the event to be raced and no change in date, program, events or conditions can be made after the nominations have been taken without the written consent of the steward and owner or trainer of all horses eligible at the time the conditions are changed. An entry blank shall be filed with the United States Trotting Association.

b) All nominations and payments, other than starting fees, in early closing events, shall be due on the first and fifteenth of the month.

c) A complete list of nominations to any late closing or early closing event shall be published within 20 days after the date of closing and mailed to each nominator, the Board, and the United States Trotting Association.

d) If the event does not fill, each nominator, the Board, and the United States Trotting Association shall be notified within 10 days and refund of nomination fees shall accompany the notice.

11 Ill. Adm. Code 1312.110 Subsequent Payments

If subsequent payments are required, a complete list of those making the payment shall be made within 15 days after the payment was due and the list mailed to each nominator, the Board and the United States Trotting Association.

11 Ill. Adm. Code 1312.120 Trust Funds

All fees paid in added money, early closing events shall be segregated and held as trust funds until the event is contested. If the event is cancelled, all fees and trust fund income shall be refunded.

11 Ill. Adm. Code 1312.130 Stable Space

Tracks accepting nominations to early closing and late closing races, stakes and futurities will give stable space to any horse nominated and eligible to such event the day before, the day of, and the day after such race.

11 Ill. Adm. Code 1312.140 Limitation on Conditions

No conditions of early closing or late closing events shall be used to eliminate horses nominated to an event or to add horses that have not been nominated to an event by reason of the performance of such horses at an earlier meeting held the same season. Early closing events and late closing events shall have not more than two also eligible conditions.

11 Ill. Adm. Code 1312.150 Penalties

Any official or track that fails to comply with any provisions of this rule will be fined, suspended or expelled, unless otherwise provided.

11 Ill. Adm. Code 1312.160 Excess Entry Fees

When entry fees exceed 85 per cent of the advertised purse value, such excess entry fees shall be added to the advertised purse. Where the race is split into divisions, each division shall have a purse value of not less than 75 per cent of the advertised purse. However, entry fees in excess of the amount prescribed above may be used toward the amount that must be added.

11 Ill. Adm. Code 1312.170 Entries and Starters Required

a) Tracks must specify how many entries are required for overnight events and after the condition is fulfilled, the event must be contested except when declared off as provided.

b) In early closing or late closing events, if five or more interests are declared in to start, unless otherwise specified in the conditions, the race must be contested, except when declared off as provided. Stakes and futurities must be raced if one or more horses are declared in to start except when declared off as provided.

c) In an early closing event, if less horses are declared in than are required to start, and all declarers are immediately so notified, the horse or horses declared in and ready to race shall be entitled to all of the entrance money and forfeits from each horse named.

11 Ill. Adm. Code 1312.180 Elimination Heats

a) In any race where the number of horses declared in to start exceeds 12 on a half-mile track or 16 on a larger track, the race, at the option of the track conducting same stated before positions are drawn, may be raced in elimination heats. No more than two tiers of horses, allowing eight feet per horse, will be allowed to start in any race.

b) Where the race is divided, each division must race for at least 75% of the advertised purse. In an added money, early closing event the race may be divided and raced in divisions and each division raced for an equal share of the total purse if the advertised conditions so provide. Extended meetings shall add an additional amount so that each division will race for 75% of the total of the advertised purse and added money. These provisions shall apply to any stake or early closer with a value of $20,000 or less.

c) In any stake race or futurity, where the conditions state that the event shall be raced one dash on a race track of less than a mile at an extended pari-mutuel meeting, and where the number of horses declared in to start exceed 12, the race, at the option of the track operator, stated before positions are drawn, may be divided by lot and raced in two elimination divisions with all money winners from both divisions competing in the final. Each division shall race one elimination heat for 20% of the total purse. The remainder of the purse shall be distributed to the money winners in the final.

11 Ill. Adm. Code 1312.190 Elimination Plans

a) Whenever elimination heats are required, or specified in the published conditions such race shall be raced in the following manner unless conducted under another section of this rule. The field shall be divided by lot and the first division shall race a qualifying dash for 30% of the purse, the second division shall race a quarter dash for 30% of the purse and the horses so qualified shall race in the main event for 40% of the purse. The winner of the main event shall be the race winner.

b) In the event there are more horses declared to start than can be accommodated by the two elimination dashes, then there will be added enough elimination dashes to take care of the excess. The per cent of the purse raced for each elimination dash will be determined by dividing the number of elimination dashes into 60. The main event will race for 40% of the purse.

c) Unless the conditions provide otherwise, if there are two elimination dashes, the first four finishers in each dash qualify for the final; if three or more elimination dashes, not more than three horses will qualify for the final from each qualifying dash.

d)

1. The judges shall draw the positions in which the horses are to start in the main event, i.e., they shall draw positions to determine which of the two dash winners shall have the pole, and which the second position; which of the two horses that have been second shall start in third position; and which in fourth, etc. All elimination dashes and the concluding heat must be programmed to be raced upon the same day or night, unless special provisions for earlier elimination dashes are set forth in the conditions.

2. In the event there are three separate heat or dash winners and they alone come back in order to determine the race winner according to the conditions, they will take post positions according to the order of their finish in the previous heat or dash.

e) In any race where the number of horses declared in to start exceeds 12 on a half-mile track or 16 on a mile track, unless other numbers are specified in the conditions, the race, at the option of the track conducting the same, stated before positions are drawn, may be divided by lot and raced in two divisions with all heat winners from both divisions competing in a final heat to determine the race winner. Each division shall race two heats for 20% of the purse each heat. The remaining 20% of the purse shall go to the winner of the final heat.

f) Whenever elimination heats are required or specified in the published conditions of a stake or futurity, such race may be raced on the three heat plan, irrespective of any provisions in the conditions to the contrary, unless such published conditions provide otherwise. That is, the field shall be divided by lot and the first division shall race for 30% of the purse, the second division shall race for 30%, and the horses qualifying in the first and second divisions shall race the third heat for 30% of the purse. If, after the third heat, no horse has won two heats, a fourth heat shall be raced by only the heat winners. The race winner shall receive the remaining 10% of the purse. The number of horses qualifying to return after each elimination heat will be the same as set out in this rule.

11 Ill. Adm. Code 1312.200 Overnight Events

Not more than 10 horses shall be allowed to start. No horse shall be entered in more than one event on the same program except where the conditions of the race provide that it shall be contested in two or more heats or dashes.

History

• Source: Amended at 25 Ill. Reg. 6390, effective May 1, 2001

11 Ill. Adm. Code 1312.210 Entry Box and Drawing of Horses

a) The entry box shall be opened by the state steward, or his designated representative, at the advertised time. The state steward will be responsible to see that at least one horseman or an official representative of the horsemen is present. Upon request of the racing secretary, 30 minutes prior to the opening of the box, the state steward, or his designated representative, may inform the racing secretary as to the number of horses declared in.

b) No owner or agent for a horse with a declaration in the entry box shall be denied the privilege of being present. Under the supervision of the state steward, all entries shall be listed, the eligibility checked, preference ascertained, starters selected, and post positions drawn. If it is necessary to reopen any race, public announcement shall be made at least twice and the box reopened at a definite time.

c) Such drawings shall be final unless the state steward determines that a horse properly declared was omitted from the race through an error on the part of the track or its agent or employee in which event the race may be redrawn. This provision for a redrawing shall not apply unless the error is discovered prior to the publication of the official program.

History

• Source: Amended September 19, 1975; filed October 2, 1975

11 Ill. Adm. Code 1312.220 Substitute Races

Substitute races may be provided for each day's program and shall be so designated. A substitute race shall be used only if regularly scheduled races fail to fill. Entries in all races shall be posted.

11 Ill. Adm. Code 1312.230 Drivers

a) Declarations shall state who will drive the horse and give the driver's colors. Drivers must be named at the time prescribed by the presiding judge at a meeting.

b) After being named, no driver shall be changed except by permission of the judges. When a nominator starts two or more horses, the judges shall approve or disapprove the second and third drivers.

11 Ill. Adm. Code 1312.240 Declaration and Withdrawing

After declaration to start has been made, no horse shall be drawn except by permission of the judges. A fine not to exceed $500, or suspension, may be imposed for drawing a horse without permission, the penalty to apply to both the horse and the party who violates the regulation.

11 Ill. Adm. Code 1312.250 Qualifying Races

At all extended pari-mutuel meetings, declarations for overnight events shall be governed by the following:

a) A horse that has not raced previously at the gait chosen must go a qualifying race under the supervision of a presiding judge or associate judge and acquire at least one charted line by a licensed charter. To provide complete and accurate chart information on time and beaten lengths, a standard photo-finish shall be in use.

b) A horse that does not show a charted line for the previous season, or a charted line within its last six starts, must go a qualifying race as set forth in Subparagraph a. Uncharted races contested in heats or more than one dash and consolidated according to Subparagraph d will be considered one start.

c) A horse that has not started at a charted meeting by August 1st of a season must go a qualifying race as set forth above in Subparagraph a.

d) When a horse has raced at a charted meeting during the current season, then gone to meetings where uncharted races may be summarized, including each start and consolidated in favor of charted lines, the requirements of Subparagraph b do not apply.

e) A horse's finish in a qualifying race for which no purse is offered shall not be used in determination of eligibility for other races.

11 Ill. Adm. Code 1312.260 Entry or Coupling (repealed)

History

• Source: Repealed at 39 Ill. Reg. 11844, effective August 10, 2015

11 Ill. Adm. Code 1312.265 Uncoupled Entries

Two or more horses owned wholly, or in part, by the same person or persons, shall be uncoupled wagering interests in any race. A wager on one horse in the "entry" shall be a wager on all horses in the "entry". If a race is split in two or more divisions, horses in an "entry" shall be seeded in separate divisions, but the divisions in which they compete and their post positions shall be drawn by lot. Same owner entries will have least preference in overfilled races.

History

• Source: Amended at 39 Ill. Reg. 11844, effective August 10, 2015

11 Ill. Adm. Code 1312.270 Husband-Wife Entries

In case of husband and wife, no entry shall be received from husband or wife while either is disqualified. Husband and wife, unless legally separated shall be considered a single entity. Any ruling which applies to one shall apply equally to the other. This rule shall not apply in the case of a spouse suspended for a driving infraction or in such other cases, in the discretion of the stewards.

11 Ill. Adm. Code 1312.280 Also Eligibles

Not more than two horses may be drawn as also eligibles for a race and their positions shall be drawn along with the starters in the race. In the event one or more horses are excused by the judges, the also eligible horse or horses shall race and take the post position drawn by the horse that it replaces, except in handicap races. In handicap races, the also eligible horse shall take the place of the horse that it replaces in the event the handicap is the same. In the event the handicap is different, the also eligible horse shall take the position on the outside of horses with a similar handicap. No horse may be added to a race as an also eligible unless the horse was drawn as such at the time declarations closed. No horse may be barred from a race to which it is otherwise eligible by reason of its preference due to the fact that it has been drawn as an also eligible. A horse moved into the race from the also eligible list cannot be drawn except by permission of the judges, but the owner or trainer of such a horse shall be notified that the horse is to race and it shall be posted at the racing secretary's office. All horses on the also eligible list not moved into the race by the time specified by the presiding judge shall be released.

11 Ill. Adm. Code 1312.290 Preference

a) Preference shall be given in all overnight events according to a horse's last previous purse race during the current year. The preference date on a horse that has drawn to race and then scratched is the date of the race from which he was scratched. When a horse is racing for the first time in the current year, the date of the first declaration shall be considered its last race and preference applied accordingly.

b) Provided, however, that where an overnight race has been re-opened because it did not fill, all eligible horses declared into the race prior to the re-opening shall receive preference, irrespective of the actual preference dates.

History

• Source: Amended February 13, 1976; filed March 1, 1976

11 Ill. Adm. Code 1312.300 Stewards' List

a) A horse that has been placed on the stewards' list at an extended meeting for the reason that it is a dangerous or unmanageable horse, shall not be thereafter accepted as an entry unless removed from said stewards' list by the presiding judge and state steward.

b) Owners and trainers shall be notified in writing of such action and the reason for such action.

c) The clerk of the course shall make a note on the eligibility certificate of each such horse showing the date the horse was placed on the stewards' list, the reason therefor and the date of removal if the horse has been removed.

11 Ill. Adm. Code 1312.310 Medical Reasons for Ineligibility

A trainer or owner shall not enter or start or cause to be entered or started, a horse which:

a) is not in serviceable, sound racing condition,

b) is a known bleeder,

c) has been trachea tubed,

d) has been nerved or had cryosurgery performed on a nerve; except that horses that have had a neurectomy or cryosurgery performed on the posterior digital nerve below, and not at, the fetlock of one or more feet may be permitted to race,

e) has been "nerve blocked,"

f) is not properly plated,

g) is blind or whose vision is seriously impaired in both eyes. A horse blind in one eye may start only if the other eye has normal vision,

h) does not comply with the rules regarding AGID (Coggins) tests (11 Ill. Adm. Code Section 1309.160).

History

• Source: Amended 4 Ill. Reg. 9, p. 251, effective February 20, 1980

11 Ill. Adm. Code 1313.10 Worker's Compensation (Repealed)

History

• Source: Repealed at 11 Ill. Reg. 20250, effective December 1, 1987

11 Ill. Adm. Code 1313.20 Health Regulations (Repealed)

History

• Source: Repealed at 31 Ill. Reg. 16519, effective December 1, 2007

Chapter I Illinois Racing Board

Subchapter f Rules and Regulations of Harness Racing

Part 1313 General Licensee Rules

11 Ill. Adm. Code 1313.30 Observe Sanitary, Safety, Humane Rules (repealed)

History

• Source: Repealed at 31 Ill. Reg. 16519, effective December 1, 2007

11 Ill. Adm. Code 1313.40 Halters

All horses shall be haltered while in the stall.

11 Ill. Adm. Code 1313.48 Safety Helmets

a) No occupational licensee shall jog, warm–up, or drive a horse on a racetrack facility during a licensed meet unless the licensee is wearing a protective safety helmet, with a chin strap in place, that has been approved by the Illinois Racing Board (Board). The Board, in its approval, shall give consideration to such criteria as the following:

1. Performance characteristics – The helmet shall consist of a durable smooth shell lined with energy absorbing material that can withstand shock to the head during impact. The helmet shall have a suspension system that maintains the position of the helmet on the licensee's head with nape strap which fits behind the head to secure the helmet to the head; mandibular pads/straps which encircle the ears and to which the chin strap attachments are anchored; and chin cup/strap which is shaped to fit over the chin.

2. Finished surface of assembled helmet – The assembled helmet shall be of a smooth and rounded external surface without any reinforcing ridges or other external projections protruding from the helmet.

3. Ventilation – The helmet may have ventilation holes but the holes shall not be greater than 13 millimeters in diameter.

4. Materials – That helmet shall be made of materials that can withstand exposure to typical whether conditions, and the effects of contact with hair and sweat. The helmet shall not be of the type that can cause skin irritation or disease when the helmet comes into contact with the skin.

5. Vision – The helmet shall provide the peripheral visual clearance of 110 degrees.

6. Hearing Ability – The helmet shall not restrict the hearing ability of the individual wearing the helmet with sound absorbing material.

7. Any other factor that will affect the performance characteristics of the helmet shall be considered by the Board.

b) The emphasis of the Board, in its approval, shall be upon performance characteristics, rather than construction and materials, except for determining whether vision and hearing are impaired.

c) The Board may give consideration to any performance tests of helmets conducted by consumer groups or other safety helmet testing associations but the results of such tests shall not be determinative or conclusive upon the Board.

d) In any accident, the safety helmet shall be impounded by the stewards for use in their inquiry of the accident.

e) The Board does not conduct actual testing of helmets. The Board, therefore, disclaims any liability for the use of any helmet that fails to protect an individual from personal injury.

History

• Source: Added at 11 Ill. Reg. 14816, effective August 24, 1987

11 Ill. Adm. Code 1313.50 Equipment Change and Records

The race track operator shall require owners and agents of all horses, before starting in a race conducted by the Illinois Racing Board to register, with the paddock judge of the race track operator, the regular racing equipment to be worn by the horse to be raced. Copies of the same shall be forwarded to the presiding judge and the Board. Any changes or alterations in this equipment must be approved by the judges.

11 Ill. Adm. Code 1313.60 Sulky Performance Standards

a) All styles, types and models of racing sulkies shall pass all performance and testing standards as established in this Part before approval for use is granted. Testing shall include Static Load Testing, Dynamic Load Testing and Track Testing.

b) The sulky shall not create either by design or manufacture any interference or hazard to any driver or horse in a race.

1. All components of the sulky shall be attached to one another in such a way that they remain attached during normal use and testing.

2. No bent shaft style sulky shall be approved.

c) Each sulky shall be equipped with two shafts that are attached independently of one another to the horse. Inside to inside measurement shall be within a range of 42" to 50" at the front of the arch. All shafts shall be equipped with quick-hitch fixtures or attachable by conventional tie-downs. All quick-hitches shall have safety straps.

d) The style of arch must be no narrower than 47" or wider than 56" in distance measuring from the inside of each side of the arch at the axle nuts.

1. The front of the arch to the center line of the harness where a horse is hitched shall be not greater then 76" as measured along the shaft.

2. The distance from the front of the arch to the back of the seat shall be no greater than 19".

3. The distance from the ground to the bottom of the arch shall be between 28" and 35" measured with the wheels attached.

4. The arch shall be parallel to the ground and located a minimum of 1" higher than the tire at all points.

e) Inside measurement between the inside fork assemblies shall be 6" greater than the inside measurements between the shafts as measured at the front of the arch (e.g., shafts 40"/inside forks 46", shafts 46"/inside forks 52"). Fork measurements shall be taken from the inside of each side of the arch at the axle nut. There shall be a fork assembly on both sides of each wheel.

f) Each sulky shall be equipped with two stirrups. Each stirrup shall not be more than 8" wide. The stirrups shall be attached to the inside of each shaft no closer than 30" from stirrup to stirrup.

g) The measurement from the ground to the heel of the stirrup and ground seat plate shall have a spread of no more than 6" as measured with the bike hitched at 54".

1. The seat plate shall be no lower than 1" below the arch.

2. The seat shall be securely attached to the seat bracket in a fixed position.

3. The back of the seat shall be no higher than 4". No high back seats shall be approved.

4. All seats shall have adequate padding to provide comfort for the driver.

h) Each sulky shall contain two wheels. The wheels shall be 26" to 28" with tire attached. All wheels shall be covered by wheel disc covers constructed in such a manner so that they are light weight and durable. Wheel discs shall be either unicolor or colorless.

i) The mud fenders shall be easily attached to the sulky in such a manner as to make them totally secure to the sulky.

j) The sulky must be attached to either side of the horse by a safe and effective method with each shaft hooked separately on each side. The forward ends of the sulky shaft shall not project beyond the shoulder of the horse. The shafts shall not be higher than the withers of the horse.

History

• Source: Amended at 18 Ill. Reg. 15442, effective September 30, 1994

11 Ill. Adm. Code 1313.70 Horses in Paddock

a) All horses must be in the paddock, in their assigned stalls, no later than 3 hours before scheduled post time of the race in which the horse is entered. Absent Stewards verifying an emergency, with written evidence, as determined by the Stewards, failure to have a horse in the assigned stall at the designated deadline shall result in the trainer of record being fined from $200 to $500 and the horse being scratched from the race. Except for warming up, no horse shall leave the paddock until called to post.

b) Only owners, trainers, drivers and grooms of the horses competing in the races on that particular race program, and other persons authorized by the Stewards, may enter the paddock.

History

• Source: Amended at 42 Ill. Reg. 13624, effective June 28, 2018

11 Ill. Adm. Code 1313.80 Body Alcohol Testing

Body alcohol testing of sulky drivers shall be conducted in accordance with the Illinois Racing Board Rules and Regulations.

11 Ill. Adm. Code 1313.90 Deceased and Sick Horses (repealed)

History

• Source: Repealed at 31 Ill. Reg. 16519, effective December 1, 2007

11 Ill. Adm. Code 1313.100 Firearms

No person, except track security personnel and law enforcement officials while engaged in the performance of their official duties, shall possess or discharge any fire arm within any race track enclosure.

History

• Source: Amended June 11, 1973

11 Ill. Adm. Code 1313.110 Private Practice Prohibited

No veterinarians designated as officials at any race meeting shall practice their profession upon the grounds at such race meeting without special permission from the Board, except however, such veterinarian may act in case of an emergency and only for so long as such emergency may exist.

11 Ill. Adm. Code 1313.120 Veterinarian Reports (repealed)

History

• Source: Repealed at 31 Ill. Reg. 16519, effective December 1, 2007

11 Ill. Adm. Code 1313.130 Clean Equipment (repealed)

History

• Source: Repealed at 31 Ill. Reg. 16519, effective December 1, 2007

11 Ill. Adm. Code 1314.10 Number of Races (Repealed)

History

• Source: Repealed at 16 Ill. Reg. 8229, effective May 19, 1992

Chapter I Illinois Racing Board

Subchapter f Rules and Regulations of Harness Racing

Part 1314 General Racing and Track Rules

11 Ill. Adm. Code 1314.20 Extra Races

No additional races on a racing date will be permitted without the written approval of the Executive Director, and subject to conditions by the Board.

History

• Source: Amended at 30 Ill. Reg. 10467, effective June 1, 2006

11 Ill. Adm. Code 1314.30 Postponement of Races

No racing shall be conducted by any race track operator over any track which is dangerous to drivers or horses competing thereon. If at any time inclement weather or other conditions appear to make the track unsafe, representatives of management and the horsemen shall meet to determine whether or not racing shall be conducted. If a difference of opinion exists, the decision of the state steward shall be final.

11 Ill. Adm. Code 1314.40 Postponement Procedure

a) Early closing races, stakes and futurities shall be postponed to a definite hour the next fair day and good track.

b) Any late closing race, early closing race, stake or futurity (except as provided in subparagraph c below) that cannot be raced during the scheduled meeting shall be declared off and the entrance money and forfeits shall be divided equally among the nominators who have horses declared in and eligible to start.

c) Unless otherwise provided in the conditions, in order to transfer stakes and futurities to another meeting, unanimous consent must be obtained from the track and from all those having eligibles in the event.

d) Overnight events may be postponed and carried over not to exceed two racing days.

e) At the option of management, any postponed races may be contested in single mile dashes. Where races are postponed under this rule, management shall have the privilege of selecting the order in which the events will be raced in any combined program.

f) Any stake or futurity that has been started and remains unfinished on the last day of the scheduled meeting shall be declared ended and the full purse divided according to the summary except where the Board allows the track to extend the meeting to complete the race.

11 Ill. Adm. Code 1314.50 Post Time

Post time for the first race of the program may be fixed by the race track operator. If post time must be delayed, the operator must receive approval of the delay from the Stewards.

History

• Source: Amended at 30 Ill. Reg. 10467, effective June 1, 2006

11 Ill. Adm. Code 1314.60 Head Numbers

Each competing horse shall be equipped with numbers of style, type and design approved by the state steward. Numbers shall be arranged so that coupled horses may be distinguished as such, and that horses coupled in the field may be distinguished as such.

11 Ill. Adm. Code 1314.70 License Display

During the course of its race meetings, each licensed race track operator shall display the license issued by the Board for the current year.

11 Ill. Adm. Code 1314.80 Bonafide Contests

All races shall be bonafide contests with the winner receiving the largest share of the purse and the balance of the purse distribution made according to the order of finish. No hippodroming or other arrangement for equal distribution of the purse money among the contestants is permitted. Violation of this rule will subject the track officials in charge and the owners and drivers to fine, suspension and/or expulsion.

11 Ill. Adm. Code 1314.90 Payment Default

Any track that defaults in the payment of a premium that has been raced for, shall, after a hearing before the Board, stand suspended, together with its officers. No deduction, voluntary or involuntary, may be made from any purse or stake or futurity other than for payments to be made to the owners, nominators, or breeders of money winning horses and organization or promotion expenses stipulated for stakes and futurities.

11 Ill. Adm. Code 1314.110 Liability for Promoters

If at a meeting of a licensed track, a race is contested which has been promoted by another party or parties, and the promoters thereof default in the payment of the amount raced for, the same liability shall attach to the licensed track as if the race had been offered by such licensed track.

11 Ill. Adm. Code 1314.120 Bad Checks

If track pays any purse by check, which upon presentation is dishonored, the matter shall immediately be referred to the Board for disposition.

11 Ill. Adm. Code 1314.130 Advertised Purse

When any track advertises minimum purses and conducts any race for less than said advertised minimum, unless previously sanctioned by the Illinois Racing Board, such track shall be fined the difference between the advertised minimum and the lesser purse for which such race was conducted and the proceeds of such fine may be distributed among the money winning horses in proportion to their respective winnings.

11 Ill. Adm. Code 1314.140 Advertising and Awards

Except as herein stated, no track shall advertise to pay or pay any awards other than to owners, nominators, or breeders of money winning horses. Awards may be made to drivers of horses breaking or equalling track or world records, or to leading drivers at meetings.

11 Ill. Adm. Code 1314.150 Allocation of Stalls

a) No race track operator shall allocate stalls except pursuant to a written stall application and agreement, the form of which shall have been approved by the Board. The racing secretary shall be responsible for stall allocation unless some other official is substituted by the race track operator to perform that function and the Board notified of the substitution.

b) Notification

1. The racing secretary shall give each applicant written notice specifying whether an application, with respect to each stall requested, has been accepted, denied, or placed in a pending status. The notice shall be given not later than five days prior to the start of the meeting or ten days after receipt of the stall application, whichever occurs last.

2. Within ten days after initial notification is required by this Section, final action shall be taken and written notice given with respect to any stall application originally placed, in whole or in part, in a pending status.

c) The racing secretary's view of the best interests of racing and of the meeting in question shall govern his action on stall applications, and he shall be allowed broad discretion in performing this function. Nevertheless:

1. No action on a stall application shall be based upon –

A) the race, color, creed, religion, national origin or sex of the applicant, or

B) an arbitrary or capricious decision, or a decision not related to any reasonable view of the best interests of racing or of the meeting in question.

2. No stall allocation shall be conditioned upon the payment, transfer or delivery to the racing secretary, or to any other person designated by him, of any money, property or other thing of value or upon the applicant's promise to make payment, transfer or delivery.

d) Any owner, trainer or other person believing himself to be aggrieved by a violation of this Section may file a written complaint with the Board, which shall conduct a hearing with respect to the alleged violation. If the Board determines that such a violation has occurred, it may impose a fine upon the race track operator not to exceed $500 for each violation, may order that stalls be allocated to the complainant and may take other action as it deems appropriate. In order to facilitate the conduct of inquiries into alleged violations of this Section, the racing secretary shall cause all stall applications, stall agreements, correspondence and other related material to be retained until the close of the meeting or for a longer period as the Board may direct.

e) In passing upon stall applications that are of substantially equal merit, the racing secretary shall give preference to applications submitted with respect to horses owned by Illinois residents.

f) Acceptance of an application for stall space for any horse shall be conditioned upon proof of a negative Coggins test for equine infectious anemia.

History

• Source: Amended at 30 Ill. Reg. 10467, effective June 1, 2006

11 Ill. Adm. Code 1314.160 Paddock and Receiving Barn

a) Every extended pari-mutuel track shall provide a paddock and a receiving barn.

b) The paddock and receiving barn must be completely enclosed with a man-tight fence and all openings through said fence shall be policed so as to exclude unauthorized personnel therefrom.

c) During racing hours, each track shall provide suitable extra equipment as may be necessary for the conduct of racing without unnecessary delay.

d) During racing hours, each track shall provide the services of a blacksmith within the paddock.

e) Each track shall see that the provisions of this rule are rigidly enforced and the Board may impose a fine not to exceed $500 for each violation of this rule.

11 Ill. Adm. Code 1314.170 Photofinish and Starting Gate

a) At all tracks a photo finish and starting gate must be used. Whenever the judges use a photo to determine the order of finish, it shall be posted for public inspection during that same racing program. Photo finish equipment shall be approved by the Stewards.

b) The State Steward and association Steward shall review all photo finishes and confirm or correct the decision of the placing judges before a race is declared official.

History

• Source: Amended at 30 Ill. Reg. 10467, effective June 1, 2006

11 Ill. Adm. Code 1314.180 Driver Insurance

Each track shall prepare and prominently display in the racing secretary's office, a statement giving the name of the company with which it carries driver insurance.

11 Ill. Adm. Code 1314.190 Interference with Officials

Although track operators have the obligation of general supervision of their meetings, interference with the proper performance of duties of any official is hereby prohibited.

11 Ill. Adm. Code 1314.200 Film Recordings

a) All race track operators shall take and make at their own expense a complete recording of all races run. The number and location of recording stations, the type of equipment used, and the quality of the image must be satisfactory to the state steward. The state steward shall certify to the Board, three days prior to the opening of any meeting, in writing, that he approved the recording system, and believes it to be adequate. No system shall be so certified unless it can deliver the recording of the race within two minutes of the finish of that race.

b) These recordings shall be under the control of the state steward and shall not be shown to other persons without his permission. The race track operator shall hold all recordings from one year from the final date of the race meeting at which they are made. Race track operators shall hold for five years, all recordings in which there are infractions or claims of foul and such other recordings as the state steward shall designate.

c) In order to educate and protect the drivers, race track operators shall provide facilities where recordings may be shown to the drivers.

11 Ill. Adm. Code 1314.210 Penalty for Violation of Rules

Any race track operator who violates any provision of the Rules and Regulations of Harness Racing or of the Illinois Horse Racing Act of 1975 may be fined no more than $5000 for each such violation and/or may have said operator's license to conduct a harness racing meeting suspended or revoked.

History

• Source: Added August 8, 1973

11 Ill. Adm. Code 1314.220 Stall Availability

a) That applicant for racing dates which is allotted the first meeting for the harness racing season in any year within Cook County, as a condition to its receiving its license to conduct a racing meeting, shall make available to horsemen and their horses the backstretch and racing surface facilities at the race track at which such first meeting is to be conducted no less than three weeks prior to the commencement of such first meeting.

b) That applicant for racing dates which is allotted the first meeting for the harness racing season in any year at a race track more than 150 miles from Cook County, as a condition to its receiving its license to conduct a racing meeting, shall make available to horsemen and their horses the backstretch and racing surface facilities at the race track at which such first meeting is to be conducted no less than six weeks prior to the commencement of such first meeting.

History

• Source: Added March 15, 1974; filed March 22, 1974

11 Ill. Adm. Code 1314.230 Limitation on Purse Reductions

a) No purse for any race may be reduced after said purse has been advertised, published, or reflected in the conditions unless notice of said reduction is promptly given to the state steward, promptly posted on the public bulletin board in the racing secretary's office for the inspection of owners, trainers, and the public, and listed in the "overnight sheets".

b) No purse for any race may be reduced after the first entry is made for any such race.

History

• Source: Added August 21, 1976; filed August 30, 1976

Part 1316 Starting

11 Ill. Adm. Code 1316.10 Starting Gate

a) Horses shall be started from a starting gate. The starter shall have control of the horses from the formation of the parade until he gives the word "go."

b) After one or two preliminary warming up scores, the starter shall notify the drivers to come to the starting gate. During or before the parade, the drivers must be informed as to the number of scores permitted. Horses may be held on the backstretch not to exceed two minutes awaiting post time, except during an emergency.

c) The horses shall be brought to the starting gate as near one-quarter of a mile before the start as the track will permit.

d) Allowing sufficient time so that the speed of the gate can be increased gradually, the following minimum speeds will be maintained:

1. For the first one-eighth mile, not less than 11 miles per hour.

2. For the next one-sixteenth of a mile, not less than 18 miles per hour.

3. From that point to the starting point, the speed will be gradually increased to maximum speed.

e) On mile tracks, horses will be brought to the starting gate at the head of the stretch and the relative speeds mentioned in sub-section d above will be maintained.

f) The starting point will be a point marked on the inside rail a distance of not less than 200 feet from the first turn. The starter shall give the word "go" at the starting point.

g) When a speed has been reached in the course of a start there shall be no decrease except in the case of a recall.

h) In case of a recall, a light plainly visible to the drivers shall be flashed and a recall sounded, but the starting gate shall proceed out of the path of the horses.

i) There shall be no recall after the word "go" has been given, and, any horse, regardless of his position, or an accident, shall be deemed a starter from the time he entered into the starter's control, unless dismissed by the starter or declared a non-starter by the stewards.

j) The starter shall endeavor to get all horses away in position and on gait but no recall shall be had for a breaking horse.

k) The starter has the authority to sound a recall if:

1. A horse scores ahead of the gate.

2. There is interference.

3. A horse has broken equipment.

4. A horse falls before the word "go" is given.

l) Any horse causing two recalls will be dismissed by the starter.

m) If the starter has not dismissed a horse or ordered a recall and the stewards observe any of the factors enumerated in Section 1316.10(k), the stewards shall declare the horse a non-starter if the horse is unable to finish the race.

n) All wagers on any horse dismissed by the starter or declared a non-starter by the stewards shall be refunded except when a consolation payoff is applicable.

o) A civil penalty not to exceed $100 or suspension from driving not to exceed 15 days, or both, shall be applied to any driver for:

1. Delaying the start.

2. Failure to obey the starter's instructions.

3. Rushing ahead of the inside or outside wing of the gate or rushing the gate.

4. Coming to the starting gate out of position.

5. Crossing over before reaching the starting point.

6. Interference with another driver during the start.

7. Failure to come into position and/or failure to stay in position.

p) The stewards shall discuss the matter with the driver before any penalty is imposed.

History

• Source: Amended at 8 Ill. Reg. 11458, effective June 21, 1984

11 Ill. Adm. Code 1316.20 Use of Loudspeaker

Use of a mechanical loudspeaker for any purpose other than to give instructions to drivers is prohibited. The volume shall be no higher than necessary to carry the voice of the starter to the drivers.

11 Ill. Adm. Code 1316.30 Two Tiers

In the event there are two tiers of horses, the withdrawing of a horse that has drawn or earned a position in the front tier shall not affect the position of the horses that have drawn or earned positions in the second tier. Whenever a horse is drawn from any tier, horses on the outside move in to fill up the vacancy.

11 Ill. Adm. Code 1316.40 Horses Must Go the Course

The horses shall be deemed to have started when the word "go" is given by the starter and all horses must go the course except in case of an accident in which it is the opinion of the judges that it is impossible to go the course. Drivers must be mounted at the finish of the race or the horse must be placed as not finishing.

11 Ill. Adm. Code 1316.50 Unmanageable Horses

If in the opinion of the judges or the starter a horse is unmanageable or liable to cause accidents or injury to any other horse or to any driver, it may be sent to the barn, but the entry and declaration fees on the horse shall then be refunded. In no event shall such a horse be placed on the outside. When a horse is sent to the barn, the starter will notify the judges who will in turn notify the public.

11 Ill. Adm. Code 1316.60 Starting Gate Shields

The arms of all starting gates shall be provided with a screen or a shield in front of the position for each horse, and such arms shall be perpendicular to the rail.

11 Ill. Adm. Code 1316.70 Riding with the Starter

No persons shall be allowed to ride in the starting gate except the starter and his driver or assistant, and a patrol judge, unless permission has been granted by the state steward.

Part 1317 Drivers, Trainers, and Agents

11 Ill. Adm. Code 1317.10 Proper License

No driver is eligible to participate in races without a driver's license issued by the United States Trotting Association. Drivers lacking said license must petition the Board for an Illinois driver's license.

11 Ill. Adm. Code 1317.20 Approval of License (repealed)

History

• Source: Repealed at 43 Ill. Reg. 10120, effective September 1, 2019

11 Ill. Adm. Code 1317.30 Driver's Bench (repealed)

History

• Source: Repealed at 28 Ill. Reg. 15800, effective December 1, 2004

11 Ill. Adm. Code 1317.40 Disorderly Conduct

The following shall constitute disorderly conduct and be reason for a civil penalty, suspension, or revocation of a driver's license:

a) Failure to obey the stewards' or judges' orders;

b) Failure to drive when programmed unless excused by the stewards;

c) Appearing in the paddock in an unfit condition to drive;

d) Fighting.

e) Assaults;

f) Offensive and profane language;

g) Smoking on the track in silks during actual racing hours or in the barns and stables;

h) Warming up a horse prior to racing without silks; or

i) Disturbing the peace.

History

• Source: Amended at 10 Ill. Reg. 10144, effective May 27, 1986

11 Ill. Adm. Code 1317.50 Caretakers

No attendant of a horse shall appear upon the track one hour preceding post time of the first event of the day or night without proper uniform. No attendant of a horse shall smoke upon the track.

11 Ill. Adm. Code 1317.60 Colors

Drivers must wear distinguishing colors and shall not be allowed to start in a race or other public performance unless in the opinion of the judges they are properly dressed. In any race or appearance on the race track during the racing program, raingear worn by a driver shall be in his own or his owner's colors.

History

• Source: Amended at 11 Ill. Reg. 14813, effective August 24, 1987

11 Ill. Adm. Code 1317.70 Restricted Areas for Drivers in Colors

No driver wearing colors shall appear at a betting window, grandstand or clubhouse, or at a bar or in a restaurant or any other such place unless permitted by the stewards.

History

• Source: Amended at 14 Ill.Reg. 17639, effective October 16, 1990.

11 Ill. Adm. Code 1317.80 Driver Substitutions

No driver can decline to be substituted by Stewards. Refusal of substitution shall result in a scratch.

History

• Source: Amended at 43 Ill. Reg. 10120, effective September 1, 2019

11 Ill. Adm. Code 1317.85 Conflict of Interest

a) No driver shall drive a horse in a race in which there shall start another horse that he in any way represents or handles, unless coupled as an entry.

b) No driver shall drive a horse in a race in which there shall start another horse in which he has a financial or business interest, or an interest that is injurious to racing as determined by the stewards, unless coupled as an entry.

History

• Source: Added at 28 Ill. Reg. 15800, effective December 1, 2004

11 Ill. Adm. Code 1317.90 Driving Violations

Where the penalty is for a driving violation and does not exceed in time a period of five days, the driver may complete the engagements of all horses declared in before the penalty becomes effective. Such driver may drive in stake, futurity, early closing and feature races during a suspension of five days or less, but the suspension will be extended one day for each date he drives in such a race.

11 Ill. Adm. Code 1317.100 Color Registration

Drivers holding a full license or registered stables shall register their racing colors with the United States Trotting Association.

11 Ill. Adm. Code 1317.110 Repeated Violations

Repeated rule violations shall be considered grounds for refusal to grant or grounds for revocation of any driver's license.

11 Ill. Adm. Code 1317.120 Accidents

In the event any person is involved in an accident on the track, the Board may order that person to submit to a physical examination.

History

• Source: Amended at 43 Ill. Reg. 10120, effective September 1, 2019

Chapter I Illinois Racing Board

Subchapter f Rules and Regulations of Harness Racing

Part 1317 Drivers, Trainers, and Agents

11 Ill. Adm. Code 1317.130 Physical Examination

a) An applicant for a driver's license may be required to take a physical examination before his application will be considered.

b) The Illinois Racing Board reserves the right to require any driver to take a physical examination at any time.

11 Ill. Adm. Code 1317.140 Objections

The stewards must decide every objection pertaining to a race.

History

• Source: Amended December 22, 1977; filed December 30, 1977

11 Ill. Adm. Code 1317.150 Drivers Meeting

Before the first race at any pari-mutuel meet is contested, officials and drivers shall meet and discuss the Rules and Regulations.

History

• Source: Amended at 43 Ill. Reg. 10120, effective September 1, 2019

11 Ill. Adm. Code 1317.160 Traffic Procedure (repealed)

History

• Source: Repealed at 43 Ill. Reg. 10120, effective September 1, 2019

Part 1318 Racing Rules

11 Ill. Adm. Code 1318.10 Racing Conduct

Although a leading horse is entitled to any part of the track except after selecting his position in the home stretch, neither the driver of the first horse or any other driver in the race shall do any of the following things, which shall be considered violations of driving rules:

a) Change either to the right or left during any part of the race when another horse is so near him, that in altering his position he compels the horse behind him to shorten his stride, or causes the driver of such other horse to pull him out of his stride;

b) Jostle, strike, hook wheels, or interfere with another horse or driver;

c) Cross sharply in front of a horse or cross over in front of a field of horses in a reckless manner, endangering other drivers;

d) Swerve in and out or pull up quickly;

e) Crowd a horse or driver by "putting a wheel under him;"

f) "Carry a horse out" or "sit down in front of him," take up abruptly in front of other horses so as to cause confusion or interference among the trailing horses, or do any other act which constitutes helping;

g) Let a horse pass inside needlessly;

h) Lay off a normal pace and leave a hole when it is well within the horse's capacity to keep the hole closed;

i) Commit any act which shall impede the progress of another horse or cause him to "break;"

j) Change course after selecting a position in the home stretch and swerve in or out, or bear in or out, in such manner as to interfere with another horse or cause him to change course or take back;

k) Drive in a careless or reckless manner;

l) Whip under the arch of the sulky; or

m) Failure to set and maintain a proper pace while driving.

11 Ill. Adm. Code 1318.20 Complaints

a) All complaints by drivers of any foul driving or other misconduct during a heat or dash must be made at the termination thereof, unless the driver is prevented from doing so by an accident or injury. At the conclusion of each heat or dash, every driver shall return in the sulky to the judges' stand to be dismissed by the judges or barrier judge. Any driver desiring to enter a claim of foul or other complaint of violation of the rules must before dismounting indicate to the barrier judge his desire to enter such claim or complaint and forthwith upon dismounting shall proceed to the telephone or judges' stand where and when such claim, objection or complaint shall have been entered and considered.

b) After being dismissed by the judges or barrier judge, all drivers must return to the paddock and remain there until the race is made official.

11 Ill. Adm. Code 1318.30 Disqualification of Entries

a) If two or more horses are coupled in the betting as an entry and one or more of them is guilty of interference or is disqualified for violation of any portion of this Part (11 Ill. Adm. Code 1318), the other horse coupled as an entry shall also be disqualified if the stewards determine that it improved its finishing position as a direct result of the violation.

b) In determining the extent of disqualification, the stewards shall disqualify and place the offending horse or horses behind such horses as may have suffered by reason of the violation of the rules.

History

• Source: Amended at 28 Ill. Reg. 14658, effective November 1, 2004

11 Ill. Adm. Code 1318.40 Penalties

In the case of interference, collision, or violation of any part of this rule, the offending horse may be placed behind all the unoffending horses in that heat or dash, and in the event such collision or interference prevents any horse from finishing the heat or dash, the offending horse may be disqualified from receiving any winnings; and the driver may be fined not to exceed the amount of the purse or stake contended for, or may be suspended or expelled.

11 Ill. Adm. Code 1318.50 Unsatisfactory Driving

a) Every heat in a race must be contested by every horse in the race and every horse must be driven to the finish. If the judges believe that a horse is being driven, or has been driven with the design to prevent his winning a heat or dash which he was evidently able to win, or is being raced in an inconsistent manner, or to perpetrate or to aid a fraud, they shall consider it a violation and the driver, and anyone in concert with him, to so affect the outcome of the race or races, may be fined, suspended or expelled. The judges may substitute a competent and reliable driver at any time. The substituted driver shall be paid at the discretion of the judges and the fee retained from the purse money due the horse, if any.

b) In the event a drive is unsatisfactory due to lack of effort or carelessness, and the judges believe that there is no fraud, gross carelessness, or a deliberate inconsistent drive, they may impose a penalty under this sub-section not to exceed 10 days suspension or a $100 fine.

11 Ill. Adm. Code 1318.60 Driver Substitution

If in the opinion of the judges, a driver is for any reason unfit or incompetent to drive or refuses to comply with the directions of the judges, or is reckless in his conduct and endangers the safety of horses or other drivers in the race, he may be removed and another driver substituted at any time after the positions have been assigned in a race, and the offending driver shall be fined, suspended or expelled. The substitute driver shall be properly compensated.

11 Ill. Adm. Code 1318.70 Failure to Finish

If for any cause other than being interfered with, or broken equipment, a horse fails to finish after starting in a heat, that horse shall be ruled out.

11 Ill. Adm. Code 1318.80 Improper Conduct

Loud shouting or other improper conduct is forbidden in a race. After the word "go" is given, both feet must be kept in the stirrups until after the finish of the race. Drivers must have both feet in the stirrups when horses are parading to the post and during qualifying races.

11 Ill. Adm. Code 1318.90 Use of the Whip

a) Drivers will be allowed whips not to exceed 4 feet in total length plus a snapper not longer than 6 inches. All whips are subject to inspection and measurement by the Board. Whips shall not be modified and snappers shall not be knotted.

b) Whipping below the shafts, including but not limited to the stifle area, is prohibited.

c) The following actions shall be considered as excessive and/or abusive:

1. Whipping a horse during a post parade, scoring down, or after the finish of a race, except when necessary to control the horse;

2. Use of the whip as a poking or goading device;

3. Striking any part of the horse under the tail or between the legs;

4. Whipping a horse that is not advancing or is out of contention;

5. Causing visible injury; or

6. Use of any object or stimulating device.

d) Whipping a horse during the race, when it is necessary to control the horse, shall not be considered excessive and/or abusive.

e) Drivers shall keep a line in each hand from the start of the race until the beginning of the open stretch or the ⅞ mile pole, as applicable. One handed whipping from the beginning of the open stretch or the ⅞ mile pole to the finish of the race is restricted to elbow and wrist action only. The whipping arm shall not be raised above shoulder height or behind the driver. One-handed whipping shall be prohibited entering the stretch the first time on a ½ mile racetrack.

f) Penalties

Penalties for violation of any of the provisions of this Section are as follows:

1. 1st offense − minimum fine of $200 to a maximum fine of $500;

2. 2nd offense within a 365 day period after the 1st offense − minimum fine of $400 to a maximum fine of $1,000;

3. 3rd offense within a 365 day period after the 1st offense − minimum fine of $1,000 and a 7 day suspension;

4. For a 4th or subsequent offense within a 365 day period after the 1st offense − minimum fine of $2,000 and a 10 day suspension.

History

• Source: Amended at 40 Ill. Reg. 3757, effective March 1, 2016

11 Ill. Adm. Code 1318.100 Goading Devices (Repealed)

History

• Source: Repealed at 34 Ill. Reg. 2324, effective January 27, 2010

Chapter I Illinois Racing Board

Subchapter f Rules and Regulations of Harness Racing

Part 1318 Racing Rules

11 Ill. Adm. Code 1318.110 Accidents

In the case of accidents, only so much time shall be allowed as the judges may deem necessary and proper.

11 Ill. Adm. Code 1318.120 Use of Hopples

Any person found guilty of removing or altering a horse's hopples for the purpose of fraud shall be suspended, or expelled. Any horse habitually wearing hopples shall not be permitted to start in a race without them except by the permission of the judges. Any horse habitually racing free-legged shall not be permitted to wear hopples in a race except with the permission of the judges. No horse shall be permitted to wear a headpole protruding more than 10 inches beyond its nose.

11 Ill. Adm. Code 1318.130 Breaking

a) When a horse or horses break from their gait in trotting or pacing, their driver shall at once, where clearance exists, take such horse to the inside or outside and pull it to its gait.

b) The following shall be considered violations of this Section:

1. Failure to properly attempt to pull the horse to its gait.

2. Failure to take to the inside or outside where clearance exists.

3. Failure to lose ground by the break.

4. An extended break (i.e., any break in gait that lasts 1/16 mile or more).

c) If there has been no failure on the part of the driver in complying with sub-sections (b)(1), (b)(2), (b)(3) and (b)(4), the horse shall not be set back unless a contending horse on its gait is lapped on the hind quarter of the breaking horse at the finish.

d) The judges may set any horse back one or more places if in their judgment any of the above violations have been committed and the driver may be punished.

e) If a horse goes offstride during any part of the race, and, in the opinion of the stewards, interferes with any horse or horses, that interference shall constitute a violation. The offending horse shall be placed behind all horses interfered with unless the driver of the horse or horses interfered with failed to exercise reasonable care to avoid the incident.

History

• Source: Amended at 30 Ill. Reg. 9188, effective May 1, 2006

11 Ill. Adm. Code 1318.140 Breaking on Purpose

If, in the opinion of the judges, a driver allows his horse to break for the purpose of fraudulently losing a heat or dash, he shall be liable to the penalties elsewhere provided for fraud and fouls.

11 Ill. Adm. Code 1318.150 Call Out Breaks

To assist in determining the matters contained in sections 7.02 and 7.03, (11 Ill. Adm. Code Sections 1307.20 and 1307.30) it shall be the duty of one of the judges to call out every break made, and the clerk shall at once note the break and character of it in writing.

11 Ill. Adm. Code 1318.160 Right of Course

Horses called for a race shall have the exclusive right of the course and all other horses shall vacate the track at once, unless permitted to remain by the judges.

11 Ill. Adm. Code 1318.170 Penalties

Any violation of any sections of the above rule, unless otherwise provided, may be punished by a fine and/or suspension or by expulsion.

11 Ill. Adm. Code 1318.180 Harness Tracks Without a Continuous Hub Rail

a) In the event a horse or part of the horse's sulky leaves the course, and if, in the opinion of the stewards, that action gives the horse an unfair advantage over the other horses in the race, the horse may be disqualified or placed back one or more positions. In any such disqualification or placing, the horse gaining an unfair advantage shall be disqualified or placed behind the horse or horses affected.

b) In the event a horse or part of the horse's sulky leaves the course for any reason, it shall be the driver's responsibility to take all reasonable steps to safely re-enter the race course as soon as possible.

History

• Source: Added at 16 Ill. Reg. 7489, effective April 27, 1992

11 Ill. Adm. Code 1318.190 Open Stretch Racing

a) With approval of the Board, a track may extend the width of its homestretch up to 10 feet inward in relation to the width of the rest of the racetrack. The criteria for Board approval shall include, but not be limited to, the size of the race track, the length of the homestretch, the necessity for conversion from harness to thoroughbred racing surfaces and rails, and the type of existing rail.

b) In the event the home stretch is expanded pursuant to subsection (a), the following shall apply:

1. No horse shall pass on the extended inside lane entering the stretch the first time on a ½ mile track.

2. The lead horse in the homestretch shall maintain as straight a course as possible while allowing trailing horses full access to the extended inside lane.

3. Horses using the open stretch must first have complete clearance of the pylons. Any horse or sulky running over the pylons and/or going to the inside of the pylons to clear may be disqualified by the Steward.

4. No horse may be driven into the open stretch for the purpose of blocking or impeding a trailing horse. It shall be presumed that a horse that blocks or impedes a trailing horse in the open stretch without advancing on a leading horse is being driven for the purpose of blocking or impeding a trailing horse. Violation of this provision may result in a disqualification, and the driver may be fined.

History

• Source: Amended at 35 Ill. Reg. 8500, effective May 23, 2011

Chapter I Illinois Racing Board

Subchapter f Rules and Regulations of Harness Racing

Part 1319 Placing and Money Distribution

11 Ill. Adm. Code 1319.10 Placing

Unless otherwise provided in the conditions, all purses shall be distributed on the dash basis with the money awarded according to a horse's position in each separate race or heat of a race.

11 Ill. Adm. Code 1319.20 Money Distribution

a) Unless otherwise specified in the conditions, the money distribution in dashes shall be 50 per cent, 25 per cent, 12 per cent, 8 per cent and 5 per cent. In early closing events, late closing events or added money events, if there are less than five starters, the remaining premium shall go to the race winner unless the conditions call for a different distribution. In overnight events if there are less than five starters, the premium for the positions for which there are no starters may be retained by the track.

b) If horses have started for any premium or premiums but were unable to finish due to an accident or otherwise, all unoffending horses who did not finish will share equally in such premium or premiums.

Part 1320 Forbidden Conduct

11 Ill. Adm. Code 1320.10 Improper Conduct

No owner, trainer, driver, attendant of a horse, or any other person shall use improper language to an official, or be guilty of any improper conduct toward such officers or judges or persons serving under their orders, such improper language or conduct having reference to the administration of the course, or of any race thereon.

11 Ill. Adm. Code 1320.20 Assault and/or Battery

No licensee on organization grounds shall commit an assault or battery.

History

• Source: Amended at 18 Ill. Reg. 17751, effective November 28, 1994

11 Ill. Adm. Code 1320.30 Conspiracy Not to Race

If any owner, trainer, or driver of a horse shall threaten or join with others in threatening not to race, or not to declare in, because of the entry of a certain horse or horses, or a particular stable, thereby compelling or trying to compel the racing secretary to reject certain eligible entries, it shall be immediately reported to the state steward and the offending parties may be suspended pending a hearing.

11 Ill. Adm. Code 1320.40 Demand Special Rewards

No owner, agent or driver who has entered a horse shall thereafter demand of the track a bonus of money or other special award or consideration as a condition for starting the horse.

11 Ill. Adm. Code 1320.50 Betting on Starters

No owner, trainer, driver, agent, employee or attendant shall bet or cause any other person to bet on his behalf on any other horse in any race in which a horse owned, trained, or driven or in which he in any way represents or handles is a starter.

11 Ill. Adm. Code 1320.60 Fraudulent Proposals

If any person under the jurisdiction or control of the Board is approached with any offer or promise of a bribe, or with a request or a suggestion for a bribe, or for any improper, corrupt or fraudulent act or practice in relation to a race or racing, or that any race shall be conducted otherwise than fairly in accordance with the Rules and Regulations of the Board, it shall be the duty of such person to report immediately such matters to the judges and the Board. Persons violating this section will be suspended for a period of not less than 30 days to a lifetime suspension.

11 Ill. Adm. Code 1320.70 Acts Injurious to Racing

Any misconduct on the part of a race track operator or participant, fraudulent in its nature or injurious to the character of the turf, although not specified in these rules, is forbidden. Any person or persons who individually or in concert with one another, shall fraudulently and corruptly, by any means, affect the outcome of any race or affect a false registration or commit any other act injurious to the sport, shall be guilty of a violation.

11 Ill. Adm. Code 1320.80 Conspiracy to Violate Rules

If two or more persons shall combine and confederate together in any manner, regardless of where the said persons may be located, for the purpose of violating any of these rules and shall commit some act in furtherance of the said purpose and plan, it shall constitute a conspiracy and a violation.

11 Ill. Adm. Code 1320.90 Sworn Oaths

In any case where an oath is administered by judges, or a representative of this Board under the Rules and Regulations, or a Notary Public, or any other person legally authorized to administer oaths, if the party knowingly swears falsely or withholds information pertinent to the investigation, he shall be fined, suspended, or both, or expelled.

11 Ill. Adm. Code 1320.100 Association with Undesirables

No owner, driver, trainer, groom, attendant or any other person having charge of or access to any horse shall at any time associate with, consort with or in any manner communicate with any known bookmaker, tout or persons of similar pursuits either on or off the track. If the reputation of a gambler, bookmaker, tout or person of similar pursuit is notorious, the owner, driver, trainer, groom, attendant or other persons having charge of, or access to any horse shall be presumed to have knowledge of the fact. Persons violating this section will be suspended for a period of not less than 30 days to a lifetime suspension.

11 Ill. Adm. Code 1320.110 Bookmaking

Anyone guilty of making a handbook on the grounds of any race track operator shall be ejected from the grounds, and denied further admission thereto, and any owner, driver, or other person interested in any horse or horses at said meeting, who shall be guilty of betting with or through any such handbook, shall be ejected from the grounds or denied admission by order of the stewards.

11 Ill. Adm. Code 1320.120 Solicitation of Wagers

If any trainer, driver, stable employee or other person solicits bets from the public by correspondence or other methods, to be made on the horses in any stable, or passes information to outsiders for betting purposes, such person or persons so offending shall be ruled off the course or denied admission by order of the stewards.

11 Ill. Adm. Code 1320.130 Betting by Board Employees

Any person appointed or approved by the Board is prohibited from betting or having anyone bet for him. Employees violating this rule shall be removed from their positions.

11 Ill. Adm. Code 1320.140 Sale of Products by Board Appointees (Repealed)

History

• Source: Repealed at 9 Ill. Reg. 11653, effective July 15, 1985

11 Ill. Adm. Code 1320.150 Humane Treatment of Horses (Repealed)

History

• Source: Repealed at 31 Ill. Reg. 16524, effective December 1, 2007

Chapter I Illinois Racing Board

Subchapter f Rules and Regulations of Harness Racing

Part 1322 Fines, Suspension, and Expulsion

11 Ill. Adm. Code 1322.10 Suspension Until Paid

All persons who shall have been fined under these Rules and Regulations shall be suspended until said fine shall have been paid in full.

11 Ill. Adm. Code 1322.20 Fines and Penalties Recorded

All fines and other penalties imposed by the judges or starter on any person or horse on the grounds of a track shall be recorded in the judges' book. Written or printed notice thereof shall be delivered to the person penalized; notice shall be posted immediately at the office of the track, and notice shall be forwarded immediately to the office of the United States Trotting Association. All penalties imposed on a driver shall be recorded by track officials on the reverse side of the driver's United States Trotting Association or Illinois license.

11 Ill. Adm. Code 1322.30 Definition of Suspension

Whenever the penalty of suspension is prescribed in these rules, it shall be construed to mean an unconditional exclusion and disqualification from the time of receipt of written notice of suspension from privileges and uses of the course and grounds of a track during the progress of a race meeting, unless otherwise specifically limited when such suspension is imposed, such as a suspension from driving. A suspension or expulsion of either a husband or wife shall apply in each instance to both the husband and wife. The suspension becomes effective when notice is given unless otherwise specified.

11 Ill. Adm. Code 1322.40 No Right to Compete

No horse shall have the right to compete while owned or controlled wholly or in part by a suspended, expelled, disqualified or excluded person. An entry made by or for a person or of a horse suspended, expelled or disqualified, shall be held liable for the entrance fee thus contracted without the right to compete unless the penalty is removed. A suspended, disqualified or excluded person who shall drive, or a suspended or disqualified horse which shall perform in a race shall be fined not less than $50, nor more than $100, for each offense.

11 Ill. Adm. Code 1322.50 Fraudulent Transfer

The fraudulent transfer of a horse by any person or persons under suspension in order to circumvent said suspension, shall constitute a violation.

11 Ill. Adm. Code 1322.60 Track Enforcement of Penalties

Any track wilfully allowing a suspended, disqualified or excluded person to drive in a race, or a suspended or disqualified horse to start in a race or a performance against time, after notice, shall be, together with its officers, subject to fine not exceeding $100 for each offense, or suspension of license.

11 Ill. Adm. Code 1322.70 Use of Track Grounds

Any track wilfully allowing the use of its grounds by an expelled or unconditionally suspended person or horse shall be, together with its officers, subject to a fine not exceeding $500 for each offense or suspension of license.

11 Ill. Adm. Code 1322.80 Exclusion

Whenever a person is excluded from a pari-mutuel track by the track, this Board and the United States Trotting Association shall be notified.

11 Ill. Adm. Code 1322.90 Track Officers

An expelled, suspended, disqualified or excluded person cannot act as an officer of a track. A track shall not, after notice from the Board, employ or retain in its employ an expelled, suspended, disqualified or excluded person. Any track found violating this rule shall be fined not to exceed $500.

11 Ill. Adm. Code 1322.100 Dishonored Check (repealed)

History

• Source: Repealed at 38 Ill. Reg. 21236, effective November 1, 2014

Part 1323 Protests and Appeals

11 Ill. Adm. Code 1323.10 Protests

Protests may be made only by an owner, manager, trainer or driver of one of the contending horses, at any time before the winnings are paid over, and shall be reduced to writing and sworn to, and shall contain at least one specific charge which, if true, would prevent the horse from winning or competing in the race.

11 Ill. Adm. Code 1323.20 Testify Under Oath

The judges shall in every case of protest demand that the driver and the owner or owners, if present, shall immediately testify under oath. In case of their refusal to do so, the horse shall not be allowed to start or continue in the race, but shall be ruled out, with a forfeit of entrance money.

11 Ill. Adm. Code 1323.30 Race Under Protest

Unless the stewards find satisfactory evidence to warrant excluding the horse, they shall allow it to start or continue in the race under protest and the purse, if any is won by that horse, shall be held by order of the Stewards to allow the parties interested an opportunity to sustain the allegations of the protest.

History

• Source: Amended at 5 Ill. Reg. 1498, February 13, 1981; effective February 2, 1981

Chapter I Illinois Racing Board

Subchapter f Rules and Regulations of Harness Racing

Part 1323 Protests and Appeals

11 Ill. Adm. Code 1323.40 Frivolous Claim

Any person found guilty of protesting a horse falsely and without cause or merely with intent to embarrass a race, shall be punished by a fine not to exceed $100 or by suspension or expulsion.

11 Ill. Adm. Code 1323.60 Change in Penalties

The Board may vacate, modify or increase any penalty imposed by the judges. In the event an appellant fails to appear at the hearing on his appeal without good cause, he may be fined not to exceed $100 or a suspension not to exceed 30 days to be effective at the first meeting at which he has horses entered for racing.

11 Ill. Adm. Code 1323.70 Distribution of Pools

Nothing herein contained shall affect the distribution of the pari-mutuel pools when such distribution is made upon the official placing at the conclusion of the heat or race.

11 Ill. Adm. Code 1323.90 Purse Held

In case of an appeal or protest, the purse money affected will be ordered held pending the decision of the appeal or protest.

History

• Source: Amended at 5 Ill. Reg. 1498, February 13, 1981, effective February 2, 1981

Chapter I Illinois Racing Board

Subchapter f Rules and Regulations of Harness Racing

Part 1323 Protests and Appeals

11 Ill. Adm. Code 1323.100 Suspension of Judge

Any judge may be suspended for refusal to accept a protest or appeal or for refusing to act as witness for a person seeking to swear to a protest or appeal.

Part 1325 Security and Admissions

11 Ill. Adm. Code 1325.10 Stable Enclosures Fenced

All stable enclosures must be properly fenced and all race track operators shall control entries and departures to said area. A watchman shall grant entry only to those persons properly identified. A record shall be kept of all visitors lacking proper credentials. They shall be admitted only after approval is given by the state steward or racing secretary.

11 Ill. Adm. Code 1325.20 Report of Arrival and Departure of Horses

a) All horses arriving or leaving a race meeting must be registered with a gateman. Upon entering, a horse's health certificate must be turned in at the gate.

b) The departure slip must be signed by the racing secretary before horses can be moved off the grounds. This slip must be collected by the gateman.

11 Ill. Adm. Code 1325.30 Stable Area Security

a) Each race track operator shall furnish gatemen and night watchmen for all stable enclosures. The operator shall furnish to the state steward a complete tabulation showing name, duty, place stationed, and portions of enclosures supervised by such gatemen and night watchmen. In the event horses are stabled outside the race track, that are eligible to race at a meeting of the race track operator, the same precautions apply.

b) The race track operator shall also employ a sufficient number of guards to patrol the stable areas and make investigations.

c) A guard shall be hired to stand watch at the State Detention Barn and to transport samples to the State Testing Laboratories.

History

• Source: Amended at 4 Ill. Reg. 41, p. 164, effective September 26, 1980

11 Ill. Adm. Code 1325.40 Policing of Premises

The race track operator shall provide a sufficient number of guards and also watchmen to maintain order on all parts of the racing enclosure. No tipsters shall be allowed on any part of the licensed premises. No groom or stable attendant shall loiter in the betting ring or any place else with the evident intention of making tips for remunerations or for free. Anyone so found shall be brought to the stewards and his identification shall be taken up. Said offender will then be excluded from the premises. A written report shall be made by the stewards to said offender's employer; any employer continuing to harbor or employ any such person so reported will be suspended, at the discretion of the stewards.

History

• Source: Amended at 4 Ill. Reg. 41, p. 164, effective September 26, 1980

11 Ill. Adm. Code 1325.50 Admission to Parts of Premises

a) Only the following listed persons shall be entitled to enter the stable area of a race track operator: members, officers and employees of the Board who must show their identification cards; management and employees performing duties therein; racing officials; police officers; owners, trainers, grooms and others performing official duties in the stable area and who possess a valid license from the Board.

b) Except that the race track operator may authorize the entry of other persons, subject to the following minimum conditions:

1. that such authorized persons be required to sign a daily guest log, and record the time of entry and the time of departure; and

2. that such authorized persons be required to indicate the name of the person whom they are visiting.

c) The race track operator shall adopt such rules and procedures as deemed necessary to protect the security of the stable area and to prevent the entry of unauthorized persons to that portion of the premises.

d) Any person violating this section shall be evicted from the licensed premises by the race track operator and thereafter may be denied admission as a patron or otherwise to any portion of the licensed premises.

History

• Source: Amended at 48 Ill. Reg. 18275, effective December 12, 2024

11 Ill. Adm. Code 1325.60 Identification Cards and Badges (Repealed)

History

• Source: Repealed at 37 Ill. Reg. 20406, effective December 16, 2013

Chapter I Illinois Racing Board

Subchapter f Rules and Regulations of Harness Racing

Part 1325 Security and Admissions

11 Ill. Adm. Code 1325.70 Admission Statements

Each race track operator must prepare weekly an itemized, certified admission statement showing:

a) A summary, showing number of fully paid admissions, complimentary admissions, and tax free admission for officials, corporation officers, press, horsemen, employees, racing officials and/or other persons entering on tax exempt admissions;

b) the amount due to the State on account of the 15 cents admission tax. See 230 ILCS 5/25(a).

History

• Source: Amended at 48 Ill. Reg. 18275, effective December 12, 2024

11 Ill. Adm. Code 1325.80 Admissions Tax

a) The race track operator shall pay to the Board at such time or times as the Board shall prescribe, the sum of 15 cents for each person entering the grounds or enclosure of the race track operator upon a ticket of admission. If tickets are issued for more than one day, then the sum of 15 cents shall be paid for each person using the ticket each day that the ticket is used. No charge shall be made on tickets issued to and in the name of directors, officers, partners, agents or employees of the race track operator, or to owners, trainers and drivers and their employees, or to any person or persons entering the grounds for the transaction of business in connection with the race meeting. No charge shall be made on tax exempt tickets of admission issued by the Board.

b) Pursuant to subsection (a), the State Director of Mutuels shall direct and supervise the conduct of the admissions department during each race meeting. The State Director shall be empowered to direct the race track operator to adopt, subject to the approval of the Board, procedures, methods and systems as may be deemed necessary to ensure strict compliance with the rules and regulations of the Board.

c) Intertrack wagering location licensees shall pay to the Board, within 48 hours, any admission taxes due to local municipalities and counties.

d) The Board shall remit monthly any admission taxes due to local municipalities and counties.

History

• Source: Amended at 35 Ill. Reg. 8504, effective May 23, 2011

11 Ill. Adm. Code 1325.90 Admissions Records

a) The race track operator shall keep accurate books and records showing total attendance, admissions, both paid and complimentary, the number of taxable and tax free admissions and the gross receipts from admissions for each racing day of a meeting. These books and records shall be open to the Board and its duly authorized representatives for examinations and checks to ascertain the amount of taxes due and whether or not such taxes have been paid.

b) All such reports shall be delivered to the Board before 2 p.m. on the following day, when day programs are run, and before 6 p.m. on the following day, when night programs are run. The weekly reports previously mentioned shall be a complete consolidation of all daily reports.

11 Ill. Adm. Code 1325.100 Board Approval of Tickets and Credentials (repealed)

History

• Source: Repealed at 48 Ill. Reg. 18275, effective December 12, 2024

11 Ill. Adm. Code 1325.110 Credential and Ticket Specimens

a) The operator shall require each printer or other supplier to file with the Board certified copies of all manifests, showing serial number and the various types of admission tickets and credentials, including tax exempt and taxable, furnished to the track immediately after they are ordered.

b) Each operator must file a certified gate card, showing in complete detail specimen tickets and credentials, with the secretary of the Board at least 10 days before the opening of a race meeting. Said tickets and credentials must be approved by the Board secretary before they can be sold or distributed by the operator.

11 Ill. Adm. Code 1325.120 Tax Exempt Credentials

a) The racing secretary shall issue tax exempt credentials of admissions only to those persons showing a current license or receipt therefore, and such others as may be authorized by the secretary of the Board.

b) Designated employees and officials of the race track may issue tax exempt credentials for employee admission, subject to requirements, restrictions and limitations as set forth in each respective classification as follows:

1. Regular employee's tax exempt admission credentials shall be issued only to persons directly on the operator's payroll, and actively employed during the race meeting.

2. Concessionaire tax exempt admission credentials shall be issued only to persons actually on concessionaire payroll and working during the race meeting. Concession tax exempt employee credentials shall be issued only with the use of a large round identification button, provided by the concessionaire, showing the employee's concession number and name. Said button shall be attached to a garment and prominently worn.

c) Designated employees and officials of the operator and in behalf of the operator, must file requisitions with the secretary of the Board in order to obtain authorization for the issuance of tax exempt tickets or credentials of admission to members of the working press, service employees, officials, and to persons having official business at the track during a race meeting. Said requisition prescribed by the secretary of the Board shall be submitted in duplicate under the signature of the head of the department along with duplicate listing of passes requested, and shall be subject to approval by the secretary of the Board.

d) The following requirements, restrictions and limitations shall be observed in the issuance of tax exempt admission credentials in the classification as hereinafter set forth.

1. Service employee's tax exempt admission credentials shall be issued only to persons actually engaged in providing service at a race meeting for a contractor, service company, public utility or others employed during a race meeting. Request for credentials must be made on purveyor's official stationery under duly authorized signature setting forth name of each such employee, duties and justification for each pass requested.

2. Business tax exempt admission credentials may only be issued to persons having official business at the track during racing hours and not classified as service employees. Requests for such credentials must be made on company or agency official stationery under the signature of ranking official, setting forth the name of each person for whom a pass is requested, along with duties and justifications.

3. Press tax exempt credentials may only be issued to members of the working press when requested on the publication's official stationery under the signature of the editor or manager. All requests shall be subject to limitations based on circulation.

4. Official tax exempt credentials may only be issued to corporate officials and directors of the track, racing officials and to such others (e.g., out-of-state racing officials and/or commission members) which are supported with proper identification.

History

• Source: Amended at 15 Ill. Reg. 5748, effective April 4, 1991

11 Ill. Adm. Code 1325.130 Tax Exempt Credentials Report (Repealed)

History

• Source: Repealed at 14 Ill. Reg. 17665, effective October 16, 1990

Chapter I Illinois Racing Board

Subchapter f Rules and Regulations of Harness Racing

Part 1325 Security and Admissions

11 Ill. Adm. Code 1325.140 Track Responsible for Credentials

a) The operator and his duly appointed issuing agents and/or employees issuing tax exempt credentials in behalf of the Board shall be held accountable for all tax exempt tickets and credentials received, issued, voided and on hand until the final audit has been completed by representatives of the Board.

b) All unissued and voided tax exempt tickets and credentials shall be retained until they are released by the Secretary of the Board. Upon release, they are to be destroyed by burning.

11 Ill. Adm. Code 1325.150 Board Access to Records

a) Representatives of the Board shall have access to all payrolls and other supporting evidence to verify the eligibility of all holders of tax exempt tickets and/or credentials.

b) The operator shall be subject to the payment of 40 cents state tax on all disallowed tax exempt tickets or credentials, issued, requisitioned or unaccounted for by the operator. Additional assessment for unaccounted and disallowed tax exempt tickets or credentials will be computed on the basis of 40 cents for each such ticket multiplied by the number of racing days granted to the operator or on a daily usage basis if certified to by a Certified Public Accountant.

(Editor's Note: The Illinois Horse Racing Act of 1975 (Ill. Rev. Stat. 1979, chap. 8 par. 37-25) now provides for a 15 cents admissions tax instead of 40 cents)

11 Ill. Adm. Code 1325.160 Turnstiles and Electronic Scanning Devices

All gates for the admission of patrons shall have turnstiles equipped with meters or electronic scanning devices, and the turnstiles or electronic scanning devices must be numbered consecutively or have other means of individual identification. The race track operator shall test the equipment at the opening of each racing day. The test is to be made under the supervision and direction of the Board or such agents as the Board may appoint. A daily reconciliation is to show a beginning reading and final reading of each device, the total admitted, and also a classified breakdown of all types of admittance. The operator must employ methods, subject to the approval of the Board, to record serial numbers and code letters or numbers each day a tax exempt ticket or credential is used for admittance, in order to substantiate all tax exempt admissions.

History

• Source: Amended at 31 Ill. Reg. 15099, effective November 1, 2007

11 Ill. Adm. Code 1325.170 Admission to Track

a) No person shall be admitted to any race track after the admission gates have been manned and until the sixth race is run, except by tax exempt ticket or credentials or the payment of 40 cents state tax.

b) The operator must employ methods and procedures in coordination with the start of manning admission gates each day to conduct a thorough check of admission enclosure areas allowing only those persons to remain who produce tax exempt credentials of admission. All others shall be escorted to the gate and readmitted only through turnstiles on admissions subject to 40 cents state tax.

(Editor's Note: The Illinois Horse Racing Act of 1975 (Ill. Rev. Stat. 1979, ch. 8, par. 37-25) now provides for a 15 cents admission tax instead of 40 cents)

11 Ill. Adm. Code 1325.180 Revocation of Credentials

a) It shall be the duty of each operator to revoke and take up all tax exempt tickets and/or credentials immediately of all employees who have been terminated or leave employment and all others whose admission credentials have been revoked by the track operator, and/or the Board. All such tickets and/or credentials shall be submitted to the Board's admission revenue representative.

b) Two copies of each revocation order, prescribed by the Board, duly signed by the head of the department authorizing revocation, shall be submitted to the Board's admission revenue representative. Said order to state the reasons for the revocation.

11 Ill. Adm. Code 1325.190 Inspections and Searches (repealed)

History

• Source: Repealed at 32 Ill. Reg. 16498, effective October 1, 2008

11 Ill. Adm. Code 1325.200 Investigative Authority

The Chief Investigator of the Illinois Racing Board and Special Agents of the Illinois Bureau of Investigation, or other designees of the Department of Law Enforcement assigned to assist the Chief Investigator, shall have the authority to conduct investigations concerning all matters within the jurisdiction of the Illinois Racing Board.

History

• Source: Added October 25, 1973; filed November 26, 1973

Subchapter g Rules and Regulations of Horse Racing (thoroughbred)

Part 1402 Stewards

11 Ill. Adm. Code 1402.10 Definition

Whenever the word "steward" or "stewards" is used, it means steward or stewards of the meeting or their duly appointed deputies.

11 Ill. Adm. Code 1402.20 Number of

a) There shall be three stewards to supervise each race meeting, two of whom shall be appointed by the Illinois Racing Board and shall be designated as state stewards.

b) No more than three persons, including the state stewards, shall be appointed or serve as stewards at any one time during a meeting.

c) The Racing Board shall designate one of the two state stewards as the Chief Steward.

History

• Source: Amended at 17 Ill. Reg. 19309, effective October 25, 1993

11 Ill. Adm. Code 1402.30 State Steward

a) The Chief Steward is the presiding steward at all race tracks at which he serves under the jurisdiction of the Illinois Racing Board. All other stewards shall report to the state steward all action taken by them.

b) One of the state stewards shall lock all pari-mutuel ticket issuing machines and sound the off bell when the horses leave the starting gate. The horses shall be at the starting gate at post time, which shall not be changed after the horses leave the paddock. The starter shall immediately load the horses in the starting gate and start the horses as soon as possible thereafter in order to avoid excessive delay. The state stewards may delay compliance with this rule in unusual circumstances.

History

• Source: Amended at 17 Ill. Reg. 19309, effective October 25, 1993

11 Ill. Adm. Code 1402.40 Assistants to Stewards

If or when one or more persons are appointed to assist the three stewards at a meeting, such persons so appointed shall be designated as "assistants to the stewards" and they shall perform such duties as the stewards may prescribe.

11 Ill. Adm. Code 1402.50 Powers of Stewards

The stewards shall have control over all the other officials of the meeting and of all horse owners, trainers, jockeys, grooms and all other persons.

History

• Source: Amended at 17 Ill. Reg. 19309, effective October 25, 1993

11 Ill. Adm. Code 1402.60 Settle Racing Questions

All questions pertaining directly to racing arising during the period of a meeting shall be determined by the stewards.

11 Ill. Adm. Code 1402.70 Penalties Imposed by Stewards

The Stewards shall have the power to suspend an occupation license or to impose a civil penalty not to exceed $5,000 or both, for a violation of the rules. If, in the opinion of the Stewards, a license should be revoked, they shall so recommend to the Boards.

History

• Source: Amended at 5 Ill. Reg. 13722, effective December 2, 1981

11 Ill. Adm. Code 1402.80 Supervise Declarations and Entries

The stewards shall have supervision over all entries and declarations.

11 Ill. Adm. Code 1402.90 Accept Decision of Stewards

Participants in racing in any capacity on licensed Illinois tracks agree in so doing to accept the decision of the stewards on any questions relating to a race or to racing.

History

• Source: Amended at 17 Ill. Reg. 19309, effective October 25, 1993

11 Ill. Adm. Code 1402.100 Control of and Access to Grounds

The stewards shall have control over and free access to all stands, weighing rooms, enclosures, and other places in use for the purpose of racing.

11 Ill. Adm. Code 1402.110 Exclusion

The stewards shall exclude from all places under their control, persons who are warned or ruled off. They may also exclude any person declared guilty of any corrupt or fraudulent turf practices by turf authorities of any country, or stewards of any recognized meeting, and the names of all persons penalized shall be promptly reported to the Board.

11 Ill. Adm. Code 1402.120 Persons Under Suspension

No one under suspension by the Board or the stewards shall be allowed on the grounds of any operator unless authorized to be there by the Board or the stewards.

History

• Source: Amended at 17 Ill. Reg. 19309, effective October 25, 1993

11 Ill. Adm. Code 1402.130 Steward's Deputy

Each steward may appoint a deputy to act for him at any time. If only one steward is present, he shall, if necessary, appoint one or more persons to act with him. If none of the stewards is present, the racing secretary shall designate at least two persons to act during the absence of the stewards, reporting such absence to the Board.

11 Ill. Adm. Code 1402.140 May Fill Vacancies

a) When vacancies occur among the officials, other than the stewards, and the operator has not notified the stewards prior to the time fixed for the first race of the day that it has been filled, the stewards shall fill such vacancy immediately.

b) Should the vacancy occur after the racing for the day has started, the stewards shall fill the vacancy at once, the appointment standing for the day only, unless the operator shall fail to fill the vacancy on the following day, and notify the stewards of their action one hour before the time fixed for the first race.

11 Ill. Adm. Code 1402.150 Starting Time

During each racing day, the stewards shall assemble at the official building on the grounds of the operator where the race meeting is being held not later than three hours prior to post time for the first race to exercise the authority and perform the duties imposed on them by the Rules and Regulations.

11 Ill. Adm. Code 1402.160 Seek Proof of Qualification

The stewards have power to call for proof that a horse is neither disqualified in any respect, nor nominated by, nor the property, wholly or in part, of a disqualified person, and in default of such proof being given to their satisfaction, they may declare the horse disqualified.

History

• Source: Amended June 19, 1976, filed June 25, 1976

11 Ill. Adm. Code 1402.165 Stewards List

The stewards shall maintain a list of such disqualified horses and other horses that, in the opinion of the stewards, are not competitive at that meeting or are dangerous to themselves, riders, or other horses. Horses on said list may not enter until permission to do so is given by the stewards. A workout of a specified distance may be required by the stewards in order to remove a horse from said list. No horse may be placed on said list unless prior thereto the stewards state, in writing, the reasons for placement of the horse thereon.

History

• Source: Added June 19, 1976, filed June 25, 1976

11 Ill. Adm. Code 1402.170 Examination of Horse

The stewards shall have power at any time to order an examination, by such person or persons as they think fit, of any horse entered for a race, or which has run in a race.

11 Ill. Adm. Code 1402.180 Minute Book

Action by the stewards in performing their duties shall be reported to the Board. Where one steward disagrees with the majority, that fact shall be noted in the report and the dissenting steward shall have the right to file with the Board a written report setting forth the reason or reasons for the disagreement. The stewards shall keep a minute book, recording therein all complaints made to them and the disposition thereof and all investigations by the stewards and their findings thereon and all rulings made by the stewards.

11 Ill. Adm. Code 1402.190 Reports

The stewards shall, as soon as possible and not later than seven days after the end of each meeting, make a report in writing, to the Board of all infractions of the Rules and Regulations, and all rulings of the stewards upon matters coming before them during the meeting. All rulings and orders of the stewards may in the discretion of the Board be reviewed by it and such rulings or orders reversed or modified in any way the Board may deem proper.

11 Ill. Adm. Code 1402.200 Paddock Judge

One of the stewards or one of their appointed representatives shall be in the paddock 20 minutes before each race and until the horses go to the post.

11 Ill. Adm. Code 1402.210 Disqualification

It shall be left to the discretion of the stewards to rule on the disqualification of a horse or horses in a race, and the placing of such horse or horses as a result of the disqualification.

11 Ill. Adm. Code 1402.220 Substitute Riders, Trainers

In their discretion, the stewards shall have the right to put upon a horse a rider selected by them and to place the horse in charge of a trainer they may select. Any owner or trainer who refuses to permit a rider or trainer to be changed as herein provided, shall be suspended pending further action by the Board.

History

• Source: Filed March 22, 1974

11 Ill. Adm. Code 1402.230 Consult Veterinarian

The stewards shall consult with official veterinarians in each case where there is a question of a horse's condition.

11 Ill. Adm. Code 1402.240 Limit On Authority (Repealed)

History

• Source: Repealed at 17 Ill. Reg. 19309, effective October 25, 1993

Chapter I Illinois Racing Board

Subchapter g Rules and Regulations of Horse Racing (thoroughbred)

Part 1402 Stewards

11 Ill. Adm. Code 1402.245 Stewards' Notice

The stewards may take notice of any questionable conduct with or without complaint thereof.

History

• Source: Added at 17 Ill. Reg. 19309, effective October 25, 1993

11 Ill. Adm. Code 1402.250 Final Report

At the close of each meeting, each steward shall make a written report to the Executive Director of the Illinois Racing Board of the condition of the meeting and any recommendation he deems advisable.

History

• Source: Amended at 17 Ill. Reg. 19309, effective October 25, 1993

11 Ill. Adm. Code 1402.260 Cases and Penalties

Should any case occur which may or may not be covered by these Rules and Regulations, it shall be determined by the stewards of the meeting in conformity with justice and the usage of the turf; and when no penalty is provided, the stewards of the meeting are here given authority to impose such penalties pursuant to Section 1402.70 hereof as they think just, recommending to the Board the imposition of more severe penalties if, in their judgement, the penalty should be more drastic.

History

• Source: Amended at 17 Ill. Reg. 19309, effective October 25, 1993

11 Ill. Adm. Code 1402.270 Stewards Supersede Other Officials

The laws of Illinois, and the Rules and Regulations of the Illinois Racing Board, supersede the conditions of a race or the regulations of a race meeting when there is a conflict, and in matters pertaining to racing, the orders of the stewards supersede the orders of the officials of the operators.

11 Ill. Adm. Code 1402.280 Authority to Declare a Race Void

The stewards shall have the authority to declare a race void and to order all wagers made thereon refunded if they determine that any occurrence before or during the running of such race calls for such action by them.

History

• Source: Added at 17 Ill. Reg. 19309, effective October 25, 1993

Part 1403 Officials of Meeting

11 Ill. Adm. Code 1403.10 Designation of Officials

In addition to the stewards, officials of a race meeting shall include the following: three placing judges, patrol judges (at least three at tracks of one mile or over), clerk of the scales, jockey room custodian, racing secretary, timer, paddock judge, and veterinarians (two of whom shall be appointed by the Board and designated as the state veterinarians).

History

• Source: Amended at 28 Ill. Reg. 11264, effective August 1, 2004

11 Ill. Adm. Code 1403.20 Wagering Prohibited

No official may wager money or any other thing of value on the result of a race.

11 Ill. Adm. Code 1403.30 Patrol Judges

Each operator shall appoint, subject to the approval of the Board, at least three patrol judges whose stations shall be designated by the stewards. The operator shall provide telephone communications between each station of the patrol judges and the stewards.

11 Ill. Adm. Code 1403.40 Leaving Employment

Any official who desires to leave his employment while a race meeting is in progress must first obtain permission from the Board to leave such employment.

11 Ill. Adm. Code 1403.60 State Veterinarians Report Examinations (repealed)

History

• Source: Repealed at 31 Ill. Reg. 16528, effective December 1, 2007

11 Ill. Adm. Code 1403.63 Veterinarians' List (repealed)

History

• Source: Repealed at 31 Ill. Reg. 16528, effective December 1, 2007

11 Ill. Adm. Code 1403.66 Reports at Close of Meeting (repealed)

History

• Source: Repealed at 31 Ill. Reg. 16528, effective December 1, 2007

11 Ill. Adm. Code 1403.68 Dental Work on Horse (Repealed)

History

• Source: Repealed at 20 Ill. Reg. 13058, effective October 1, 1996

Chapter I Illinois Racing Board

Subchapter g Rules and Regulations of Horse Racing (thoroughbred)

Part 1403 Officials of Meeting

11 Ill. Adm. Code 1403.70 Paddock Judge

The paddock judge shall be in charge of the paddock and inspect all race horses and their equipment prior to each race, and shall observe and report forthwith to any steward any violation observed in such inspection.

11 Ill. Adm. Code 1403.74 Inspection of Bandages (repealed)

History

• Source: Repealed at 31 Ill. Reg. 16528, effective December 1, 2007

11 Ill. Adm. Code 1403.77 Ice Bandages (repealed)

History

• Source: Repealed at 31 Ill. Reg. 16528, effective December 1, 2007

11 Ill. Adm. Code 1403.80 Jockey Room Custodian

The jockey room custodian shall have charge of the jockeys' quarters. Moreover, he shall take custody of the clothing and personal effects of the jockeys and provide for their safekeeping. He shall uphold the rules of the Board and be particularly vigilant concerning rule 149 (11 Ill. Adm. Code Section 1411.190)

Part 1404 Racing Secretary

11 Ill. Adm. Code 1404.10 Racing Secretary

a) A person appointed by the race track operator shall be the racing secretary, following approval by the Board. He also shall be clerk of the course and, unless it is otherwise specified, he shall act as handicapper.

b) He shall keep a complete record of all races and shall prepare the program for each racing day.

c) He shall receive all stakes, entrance money, jockey's fees, purchase money in claiming races and other moneys that can properly come into his possession.

d) The racing secretary shall record all necessary information each day of winning horses on an official record and file same with The Jockey Club Registration Certificate of each horse.

e) The racing secretary's office shall keep up-to-date performance files on all horses registered to race with the race track operator. Such past performance file shall be furnished intact and up-to-date to the Racing Secretary of the succeeding race meeting of each season in Northern Illinois or Southern Illinois as the case may be.

History

• Source: Amended May 9, 1975, filed May 15, 1975

11 Ill. Adm. Code 1404.20 Maintain Records

The racing secretary shall maintain all ownership records in accordance with the Rules and Regulations and directions of the Illinois Racing Board.

11 Ill. Adm. Code 1404.30 Duties of Racing Secretary

He shall discharge all duties, expressed or implied, required by the Rules and Regulations, and he shall report to the state steward all violations of the Rules and Regulations.

11 Ill. Adm. Code 1404.40 Receive Money

He shall keep complete records of all moneys received by him and within five days after the close of the meeting render a true copy thereof to the operator.

Part 1405 Clerk of the Scales

11 Ill. Adm. Code 1405.10 Clerk of the Scales

The clerk of the scales or assistant shall weigh out and weigh in the riders of all horses participating in a race.

11 Ill. Adm. Code 1405.20 Weighing in and Out

All riders must be weighed out (the horse in each instance being specified) not less than 30 minutes before the time fixed for the race, and the number of the horse shall be exhibited officially as soon as possible, and riders of horses finishing in the money must be weighed in at the judges' stand at the conclusion of a race.

11 Ill. Adm. Code 1405.30 Overweight Limit

No horse shall carry more than five pounds overweight, except in races confined exclusively to amateurs or to riders who are officers in the United States Army or Navy or of the Illinois National Guard.

11 Ill. Adm. Code 1405.40 Declare Overweight

If the overweight is more than two pounds in excess of the weight the horse is to carry (the owner or trainer consenting) the jockey shall declare the amount of overweight to the clerk of the scales at least 45 minutes before the time appointed for the race, and the clerk shall have the overweight announced over the public address system and posted immediately on the notice board. Failure on the part of any jockey to comply with this rule shall be reported to the stewards.

11 Ill. Adm. Code 1405.50 Permission to Dismount

Every jockey must, immediately, after pulling up, ride his horse to the place of weighing, dismount only after obtaining permission from the official in charge and present himself to be weighed in by the clerk of the scales; provided that if a jockey be prevented from riding to the place of weighing by reason of accident or illness by which he or his horse is disabled, he may walk or be carried to the scales.

11 Ill. Adm. Code 1405.60 Weighing in Regulations

If a jockey does not present himself to be weighed in; or if he is more than two pounds short of his weight or if he is guilty of any fraudulent practice with respect to weight or weighing; or if, unless he or his horse is ill or disabled, he dismounts before reaching the scales or dismounts without permission; or if he touch, except accidentally, before weighing in, any person or thing other than his own equipment, the clerk of the scales shall so report to the stewards and the horse may be disqualified and the jockey himself may be fined or suspended.

11 Ill. Adm. Code 1405.70 Excess Weight After Race

If a horse carries more than two pounds over his proper or declared weight, the fact shall be reported by the clerk of the scales to the stewards, and the jockey shall be fined or suspended unless the stewards are satisfied that such excess weight has been caused by rain or mud, and the case shall be reported to the Board for such action as it may deem proper to take.

11 Ill. Adm. Code 1405.80 Weighing of Equipment

Included in the jockey's weight shall be saddle and its attachments. No whip, numbercloth, blinkers, bridle, martingale, hood or breastplate shall be weighed.

11 Ill. Adm. Code 1405.90 Saddle Cloth Numbers

Jockeys must carry numbers on the saddle cloth corresponding to the numbers of the horses as exhibited after weighing out.

11 Ill. Adm. Code 1405.100 Uniform Saddle Cloth Colors and Numbers (repealed)

History

• Source: Repealed at 18 Ill. Reg. 11610, effective July 7, 1994

11 Ill. Adm. Code 1405.110 Change of Jockey

Any subsequent change of jockey must be noted by the clerk of the scales and sanctioned by the stewards who, if no satisfactory reason is given for the change, may fine or suspend any person they may think culpable in the matter.

11 Ill. Adm. Code 1405.120 Extra or Special Weight

Any extra or special weight declared for any horse, or any alteration of colors or change in equipment or declaration to win shall be exhibited by the clerk of the scales upon the notice board, and announced over the public address system.

11 Ill. Adm. Code 1405.130 Statement of Weight Carried

At the close of each day's racing, the clerk of the scales shall prepare for the racing secretary a statement of the weight carried in every race and the names of the jockeys, specifying overweight, if any.

Part 1406 Judges

11 Ill. Adm. Code 1406.10 Procedures of Judges

The judges must occupy the judges' stand at the time the horses pass the winning post, and place the horses. They must announce their decisions promptly, and such decisions shall be final, unless objection to the winner, or any horse placed within the purse is made and sustained, but this rule shall not prevent the judges from correcting any mistake, such correction being subject to confirmation by the stewards.

11 Ill. Adm. Code 1406.20 Determine Finish

a) The judges shall determine the order of finish of as many horses as they may think proper. When the judges differ, the majority shall govern.

b) The placing of horses shall be determined as exclusively indicated by their noses.

11 Ill. Adm. Code 1406.30 Photo Finishes

a) Where photographs by cameras approved by the Board are taken of finishes, placing judges shall, before making decision, order and inspect photographs of all finishes where the winning margin is less than half a length, and in other cases, where the horses are widely spaced across the track. Copies of such photographs shall be posted in convenient places for the inspection of the public.

b) The stewards shall review all such decisions of the placing judges and confirm or correct such decisions before a race is declared official.

History

• Source: Amended April 11, 1974, filed and effective April 30, 1974

11 Ill. Adm. Code 1406.40 Official Time

The official time of each race shall be determined by the official timer.

Subchapter g Rules and Regulations of Horse Racing

Part 1407 License and Applications; Association Licenses (thoroughbred)

11 Ill. Adm. Code 1407.10 Application for Association License

On printed application forms or blanks prepared by the Board, each operator applying for license and racing dates shall include all information, data and estimates as may be required by such forms. Eight executed copies of application for license and dates, together with eight certified sets of exhibits shall be filed with the Illinois Racing Board.

11 Ill. Adm. Code 1407.13 Application Deadline

All applications for licenses to conduct race meetings for each calendar year shall be filed with the Board prior to November 1 of any year. The Board may receive applications at a subsequent date if unusual need can be proven to the Board's satisfaction.

(Editor's Note: Section 20 of the Illinois Horse Racing Act of 1975 (Ill. Rev. Stat. 1979, ch. 8, par. 37-20) now requires applications for horse race meetings to be filed prior to September 1, instead of November 1.)

11 Ill. Adm. Code 1407.16 Formal Acceptance

When the Board approves an application and notifies said applicant of its approval, that applicant shall within 10 days after the mailing of the Board's notice of approval, file an acceptance with the Board, pay the additional amount equal to 10 per cent of the full amount of license fees as provided in Section 37-20(j) of the Illinois Horse Racing Act of 1975, and at least 20 days prior to the first day of each racing meeting, file with the Board the bonds as required by Section 37-20(j) of the Illinois Horse Racing Act of 1975.

11 Ill. Adm. Code 1407.18 Application Withdrawal

Failure to comply with the 10 day time limit shall cause the application for license to be considered withdrawn and of no effect.

11 Ill. Adm. Code 1407.20 Enforce Rules and Regulations

Imposed on each operator is the duty of enforcing the Rules and Regulations of the Board, said Rules and Regulations being a condition under which the licenses are granted, the Board reserving the right to amend or strike down any rule, regulation or condition herein imposed, or to supplement said Rules and Regulations by giving the operator three days' notice, except where shorter notice is herein otherwise provided.

11 Ill. Adm. Code 1407.24 Notice of Changes

Racing dates and the license to conduct a horse race meeting are deemed personal in nature and non-transferable, and will terminate upon a substantial change of ownership of the operator, unless the Board has granted prior approval. The sale or transfer of 25 per cent or more of the equity of an operator shall be considered a substantial change of ownership.

11 Ill. Adm. Code 1407.28 Lease of Race Track (repealed)

History

• Source:Repealed at 6 Ill. Reg. 11063, effective September 1, 1982

11 Ill. Adm. Code 1407.40 Minimum Purse Required for License

No license to conduct a race meeting shall be issued to any applicant who shall award in purses less than an average per day as provided by law during the proposed race meeting.

11 Ill. Adm. Code 1407.50 Amount of Purse

The operator shall inform the Board of the amount of purses or prizes to be given for its races and the Board shall first approve such schedule thereof, provided however, that the Board shall not compel any operator to give as purses, stakes and rewards, an amount exceeding the aggregate for any one racing day, the sum as provided by statute.

11 Ill. Adm. Code 1407.52 Admissions (repealed)

History

• Source: Repealed at 28 Ill. Reg. 6601, effective April 19, 2004

11 Ill. Adm. Code 1407.53 Inspection Report

At least 30 days prior to the beginning of any racing meeting, the race track operator shall submit to the Board copies of inspection reports issued by appropriate state or local governmental authorities relating to the condition of the buildings, the health and sanitation of the facilities, and the fire prevention, detection, and suppression equipment at the race track at which the racing meeting is to be conducted. Said inspections shall be made no earlier than 45 days prior to the beginning of a racing meeting.

History

• Source: Added October 25, 1973, filed December 17, 1973

11 Ill. Adm. Code 1407.54 Licensed Concessionaire

No license shall be issued to conduct a racing meeting unless, prior to the commencement of such meeting, the applicant for such license has obtained the services of a concessionaire licensed by the Board to provide adequate food and drink services for race track patrons or is providing such services itself.

History

• Source: Added January 11, 1974, filed January 21, 1974

11 Ill. Adm. Code 1407.56 Lottery Events at Race Tracks (repealed)

History

• Source: Repealed at 34 Ill. Reg. 7746, effective May 24, 2010

11 Ill. Adm. Code 1407.58 Off-Track Betting Agencies of Other States

a) No race track operator shall, without the prior approval of the Board, enter into or implement an agreement with any legally constituted off-track betting agency of any other state providing for pari-mutuel wagering to be conducted in such state on races held at licensed meetings in Illinois.

b) Any race track operator seeking Board approval of an agreement with any legally constituted off-track betting agency of any other state shall submit a copy of the proposed agreement together with such request and shall supply such other information relative to the proposal as the Board may require.

History

• Source: Added May 9, 1975, filed May 15, 1975

11 Ill. Adm. Code 1407.59 Reporting of Horsemen's Purse Account

Each organization licensee shall weekly submit to the Board Secretary a report reflecting the current status of the "Horsemen's Purse Account." Said report shall be submitted on forms provided by the Board.

History

• Source: Added August 21, 1976, filed August 30, 1976

Subchapter g Rules and Regulations of Horse Racing (thoroughbred)

Part 1408 Licensing of Participants

11 Ill. Adm. Code 1408.10 Participants Must Be Licensed (repealed)

History

• Source: Repealed at 11 Ill. Reg. 20209, effective December 1, 1987

11 Ill. Adm. Code 1408.20 Application for License (repealed)

History

• Source: Repealed at 11 Ill. Reg. 20209, effective December 1, 1987

11 Ill. Adm. Code 1408.30 Form of Application (repealed)

History

• Source: Repealed at 11 Ill. Reg. 20209, effective December 1, 1987

11 Ill. Adm. Code 1408.40 Revocation of License (repealed)

History

• Source: Repealed at 11 Ill. Reg. 20209, effective December 1, 1987

11 Ill. Adm. Code 1408.50 Who Shall Be Licensed (repealed)

History

• Source: Repealed at 11 Ill. Reg. 20209, effective December 1, 1987

11 Ill. Adm. Code 1408.54 Responsibility of Employer on Discharge of Employee

When an owner or trainer discharges a groom or other attendant, or when a groom or other attendant voluntarily leaves the employ of an owner or trainer, the said owner or trainer shall immediately notify the state steward of such discharge or resignation of such employee. The failure to so notify the state steward shall subject the owner or trainer to a fine or suspension, or both.

11 Ill. Adm. Code 1408.57 Responsibility of Employee When Discharged (repealed)

History

• Source: Repealed at 7 Ill. Reg. 1427, effective January 24, 1983

11 Ill. Adm. Code 1408.60 Possession of Credentials

All licensees shall carry on their person at all times within the stable area of a racetrack their Board photo identification badge. Every person so identified is subject to examination by the Board or its agents or employees, and by officials of the race track operator or its designated agents or employees, at any time they may deem necessary or proper. The Board may require visible display of a license in a restricted area. A license may only be used by the person to whom it is issued.

History

• Source: Amended at 33 Ill. Reg. 6708, effective May 1, 2009

11 Ill. Adm. Code 1408.70 Persons Barred (Repealed)

History

• Source: Repealed at 11 Ill. Reg. 20209, effective December 1, 1987.

11 Ill. Adm. Code 1408.80 Denial of License a Ruling (Repealed)

History

• Source: Repealed at 11 Ill. Reg. 20209, effective December 1, 1987

Chapter I Illinois Racing Board

Subchapter g Rules and Regulations of Horse Racing (thoroughbred)

Part 1408 Licensing of Participants

11 Ill. Adm. Code 1408.84 Financial Responsibility (repealed)

History

• Source: Repealed at 11 Ill. Reg. 20209, effective December 1, 1987

11 Ill. Adm. Code 1408.87 Worker's Compensation (Repealed)

History

• Source: Repealed at 11 Ill. Reg. 20209, effective December 1, 1987

Chapter I Illinois Racing Board

Subchapter g Rules and Regulations of Horse Racing (thoroughbred)

Part 1408 Licensing of Participants

11 Ill. Adm. Code 1408.90 Revocation of License

The Illinois Racing Board shall have the power to rule off or suspend any licensee or revoke the license of any licensee for any of the reasons as set forth in the Rules and Regulations, including the provisions of Section 1303.70 (11 Ill. Adm. Code 1303.70) "Financial Responsibility".

History

• Source: Amended at 15 Ill. Reg. 5745, effective April 4, 1991

11 Ill. Adm. Code 1408.100 Unauthorized Use of Credentials

No licensee shall permit any unauthorized person or persons to use his badge or credentials for entering into any part of the race track. Any licensee who violates this rule is liable to suspension or a fine of not exceeding $200. or both and if he continues to violate the rule, he may be ruled off or otherwise less severely punished, as the Board may decide.

11 Ill. Adm. Code 1408.110 Authorized Agents (Owners) (Repealed)

History

• Source: Repealed at 11 Ill. Reg. 20209, effective December 1, 1987

11 Ill. Adm. Code 1408.120 Authorized Agents (Trainers) (Repealed)

History

• Source: Repealed at 11 Ill. Reg. 20209, effective December 1, 1987

11 Ill. Adm. Code 1408.130 Jockey Agents (Repealed)

History

• Source: Repealed at 11 Ill. Reg. 20209, effective December 1, 1987

11 Ill. Adm. Code 1408.135 Agent Fees (Repealed)

History

• Source: Repealed at 7 Ill. Reg. 1427, effective January 24, 1983

11 Ill. Adm. Code 1408.140 Veterinarians (Repealed)

History

• Source: Repealed at 11 Ill. Reg. 20209, effective December 1, 1987

11 Ill. Adm. Code 1408.145 Owning Horses (Repealed)

History

• Source: Repealed at 11 Ill. Reg. 20209, effective December 1, 1987

Chapter I Illinois Racing Board

Subchapter g Rules and Regulations of Horse Racing (thoroughbred)

Part 1408 Licensing of Participants

11 Ill. Adm. Code 1408.150 Rules of Employment and Payment of Fines

Any person who shall employ anyone in contravention of these rules may be fined or suspended; and any person who pays a fine imposed upon another shall be punished.

11 Ill. Adm. Code 1408.160 Payment (Repealed)

History

• Source: Repealed at 11 Ill. Reg. 20209, effective December 1, 1987

11 Ill. Adm. Code 1408.170 Duration of License (Repealed)

History

• Source: Repealed at 11 Ill. Reg. 20209, effective December 1, 1987

11 Ill. Adm. Code 1408.180 New Riders (Repealed)

History

• Source: Repealed at 11 Ill. Reg. 20209, effective December 1, 1987

Chapter I Illinois Racing Board

Subchapter g Rules and Regulations of Horse Racing (thoroughbred)

Part 1408 Licensing of Participants

11 Ill. Adm. Code 1408.190 Probationary Permit

Probationary permits may be issued by the Board to jockeys, apprentices and exercise boys who have been disciplined. During the period of the aforementioned probationary permit, it may be revoked by the Board upon the recommendation of the Board of Stewards. After one year, said probationer, shall be eligible for a regular license in his proper classification.

Part 1409 Ownership, Partnership, and Stable Name

11 Ill. Adm. Code 1409.5 Racing Colors

Owners or trainers shall provide racing colors, which may be subject to the approval of the Board, except at racetracks where colors are furnished by the organization licensee. Racing colors shall be registered with the Racing Secretary. The Stewards may authorize a temporary substitution of racing colors when necessary. The racing colors to be worn by each jockey in a race shall be described in the program, and any change shall be announced to the public prior to the commencement of the race.

History

• Source: Amended at 35 Ill. Reg. 15088, effective September 1, 2011

11 Ill. Adm. Code 1409.10 Application for Colors (repealed)

History

• Source: Repealed at 35 Ill. Reg. 15088, effective September 1, 2011

11 Ill. Adm. Code 1409.20 Deviations

Any deviation from the recorded colors of the owner or lessee must be approved by the stewards, and posted by the clerk of the scales on the notice board.

History

• Source: Amended at 17 Ill. Reg. 12429, effective July 16, 1993

11 Ill. Adm. Code 1409.30 Register Name of Real Owner and Lessee

All horses shall be registered in the name of the real owner or owners and lessee or lessees with the racing secretary of the race track operator at which it is intended to race such horses. Before making registration, trainers shall learn the facts of ownership or leasehold interest of all horses registered by said trainer.

History

• Source: Amended at 17 Ill. Reg. 12429, effective July 16, 1993

11 Ill. Adm. Code 1409.40 Owner-Trainer Registrations

If the registration is made by the trainer, owner, trainer and lessee shall be bound by such registration.

History

• Source: Amended at 17 Ill. Reg. 12429, effective July 16, 1993

11 Ill. Adm. Code 1409.50 Change in Ownership

Any change in ownership of a horse or horses or leasehold or other interest therein shall be immediately made in Registration Book and additional affidavit filed if necessary.

History

• Source: Amended at 17 Ill. Reg. 12429, effective July 16, 1993

11 Ill. Adm. Code 1409.60 False Registration

In the event of any false registration or false affidavit, the guilty parties shall be fined, suspended or ruled off, and the horse or horses involved suspended or ruled off.

11 Ill. Adm. Code 1409.70 List of Changes

The Registration Clerk shall furnish the stewards and the Board each day, a complete list of any changes in ownership, leasehold interest, or trainer of any horse or horses.

History

• Source: Amended at 17 Ill. Reg. 12429, effective July 16, 1993

11 Ill. Adm. Code 1409.80 Stable Names

a) A person wishing to race under a stable name may do so by registering and by paying the fee of $50, the said registration being effective only during the calendar year.

b) A person cannot register more than one stable name at the same time, nor can he use his real name so long as he has a registered one.

c) A stable name may be changed at any time by registering a new stable name and paying the fee of $50.

d) A person cannot register as his stable name one which has already been registered by any other person or one which is the real name of any owner or lessee of race horses.

e) Any person who has registered under a stable name may at any time abandon it after he has given written notice and the fact of the abandonment has been duly advertised.

f) The stable name must be carried on the official program with the name of at least one owner or lessee. If stable name consists of more than one owner or lessee, the program will list the name of the owner or lessee a long with the phrase "et al."

History

• Source: Amended at 17 Ill. Reg. 12429, effective July 16, 1993

11 Ill. Adm. Code 1409.90 Registration of Stable Names

All registration of stable names by The Jockey Club (New York), the National Steeplechase and Hunt Association, and the incorporated Canadian Racing Associations, shall be respected in Illinois, provided however, that the Board may at any time demand any one engaged in racing on the Illinois tracks to disclose his or her real name, the Illinois Racing Board being an agency for the registration of stable names.

11 Ill. Adm. Code 1409.100 Trainers' Use of Stable Names

Where an application is filed for a stable name or farm name, or nom de course which must have been properly registered, such application shall be accompanied by proper affidavit of ownership or leasehold interest as provided for under Sections 120, 180 and 185 of this Part.

History

• Source: Amended at 17 Ill. Reg. 12429, effective July 16, 1993

11 Ill. Adm. Code 1409.110 Affidavit of Ownership

Where an application is filed for a stable name or farm name, or nom de course which must have been properly registered, such application shall be accompanied by proper affidavit of ownership or leasehold interest as provided for under Sections 120, 180 and 185 of this Part.

History

• Source: Amended at 17 Ill. Reg. 12429, effective July 16, 1993

11 Ill. Adm. Code 1409.120 Partnerships

All partnerships must be registered and the name and address of every person having any interest in a horse, the relative proportions of such interests and the terms of any sale with contingencies, lease or other arrangement must be signed by all the parties or by their authorized agents and be lodged with the racing secretary, a copy of which shall be transmitted after the race meeting to the office of the Illinois Racing Board. All the partners and each of them shall be jointly and severally liable for all stakes and forfeits. All partners of a general partnership shall be licensed as owners. In the case of a limited partnership, all general partners and limited partners owning a 5% or more interest in the limited partnership shall be licensed as owners. These licensure requirements shall apply to all partnerships owning any interest in a horse. All non-licensed partners shall be eligible for licensure. Any non-licensed partner shall submit application materials sufficient for the Board to verify his status whenever the stewards have determined that it is more probable than not that such person is ineligible for licensure. Such materials shall consist of the name, social security number, fingerprints, or other material required of an applicant for an owner's license. If any non-licensed partner is ineligible for licensure then each of the partners and the partnership shall be ineligible for licensure.

History

• Source: Amended at 17 Ill. Reg. 12429, effective July 16, 1993

11 Ill. Adm. Code 1409.130 Corporations

All corporations having an interest in a horse shall at the time of filing application for an owner's license file statement in duplicate setting forth the names and addresses of all officers, directors, and stockholders of said corporation, together with the amount of the respective holdings of each stockholder and a statement as to whether or not said stock is paid in full, and including the designation of an authorized agent or agents of said corporation. The said statement shall be signed by the president of the corporation, attested to by its secretary, and the corporate seal attached. A copy of said statement shall be transmitted promptly to the office of the Illinois Racing Board by the state steward. All officers, directors and shareholders owning 5% or more of any class of stock of a corporation shall be licensed as owners. These licensure requirements shall apply to all corporations owning any interest in a horse. All non-licensed shareholders shall be eligible for licensure. Any non-licensed shareholder shall submit application materials sufficient for the Board to verify his status whenever the stewards have determined that it is more probable than not that such person is ineligible for licensure. Such materials shall consist of the name, social security number, fingerprints, or other material required of an applicant for an owner's license. If any non-licensed shareholder is ineligible for licensure then each of the shareholders and the corporation shall be ineligible for licensure.

History

• Source: Amended at 17 Ill. Reg. 12429, effective July 16, 1993

11 Ill. Adm. Code 1409.132 Number of Stockholders (Repealed)

History

• Source: Repealed at 13 Ill. Reg. 1841, effective January 27, 1989

Chapter I Illinois Racing Board

Subchapter g Rules and Regulations of Horse Racing (thoroughbred)

Part 1409 Ownership, Partnership, and Stable Name

11 Ill. Adm. Code 1409.135 File Reports with Board

Any corporation and all stockholders or members thereof which lease horses for racing purposes in the State of Illinois shall file with the Board upon request a report or reports containing such information as the Board may specify. Upon refusal or failure to file such report or reports the Board may refuse a license to any lessee or lessees of such corporation and/or may revoke any such license which it may have granted.

History

• Source: Amended at 17 Ill. Reg. 12429, effective July 16, 1993

11 Ill. Adm. Code 1409.138 Board May Waive Requirements

Any of the above requirements may be waived by the Board.

History

• Source: Amended at 17 Ill. Reg. 12429, effective July 16, 1993

11 Ill. Adm. Code 1409.140 Change in Officers

Any transfer of stock of such corporation or change in the officers or directors thereof shall be reported in writing to the state Stewards at the track where the corporation is racing horses within 48 hours of such change. The state Stewards shall immediately transmit such information to the Illinois Racing Board.

History

• Source: Amended at 17 Ill. Reg. 12429, effective July 16, 1993

11 Ill. Adm. Code 1409.150 Entries, Declarations and Winnings

All statements of sales and contingencies or arrangements, by partnerships, corporations, lessors or lessees shall declare to whom winnings are payable, in whose name the horse shall run and with whom rests the power of entry or declaration of forfeit. A copy of this information shall be transmitted to the Illinois Racing Board.

History

• Source: Amended at 17 Ill. Reg. 12429, effective July 16, 1993

11 Ill. Adm. Code 1409.160 Signature by Racing Secretary

In cases of emergency, the authority to sign a declaration of partnership may be given to the racing secretary by a telegram promptly confirmed in writing.

History

• Source: Amended at 17 Ill. Reg. 12429, effective July 16, 1993

11 Ill. Adm. Code 1409.170 Consent of Partners

The part owner of any horse cannot assign his share, or any part of it, without the written consent of the other partners. The consent shall be filed with the racing secretary.

History

• Source: Amended at 17 Ill. Reg. 12429, effective July 16, 1993

11 Ill. Adm. Code 1409.180 Name All Owners

If a stable name or nom de course is used, even though printed in the program with the personal name of the owner or owners, lessors or lessees, or if a horse is actually owned or leased in whole or in part by any person other than the registered owner, or any lien or contingent interest in said horse is held by any other person or if the registered owner or owners, lessors or lessees of any horse has or have borrowed money for the purchase or lease of said horse in whole or in part, or for the upkeep or maintenance thereof, an affidavit shall be filed at the time of such registration in duplicate. One copy shall be retained by the racing secretary of the track operator and one shall be filed with the Board, on a printed form to be furnished by the Board. A registration so made at one track need not be repeated at succeeding tracks in the same racing season unless required by change in ownership. The racing secretary of the track operator shall, at the termination of its meeting, immediately forward all affidavits on file with him to the racing secretary of the succeeding meeting in the area or state.

History

• Source: Amended at 17 Ill. Reg. 12429, effective July 16, 1993

11 Ill. Adm. Code 1409.185 Corporation with Stable Name

Nothing herein contained shall excuse a corporation which owns or leases a horse running under a stable name or nom de course from complying with the provisions of Sections 1409.120 and 1409.130.

History

• Source: Amended at 17 Ill. Reg. 12429, effective July 16, 1993

Part 1410 Trainers and Owners

11 Ill. Adm. Code 1410.10 Absence of Trainers

In the absence of a trainer (more than six consecutive days from the stable), due to sickness or any other cause, he shall, with the approval of the stewards, appoint an alternate trainer licensed by the Board, to fulfill his duties. In this event, joint responsibility will rest with both parties, and the names of both parties shall appear in the racing program.

History

• Source: Amended at 13 Ill. Reg. 1846, effective January 25, 1989

11 Ill. Adm. Code 1410.15 Deadline on Absence (Repealed)

History

• Source: Repealed at 13 Ill. Reg. 1846, effective January 25, 1989

Chapter I Illinois Racing Board

Subchapter g Rules and Regulations of Horse Racing (thoroughbred)

Part 1410 Trainers and Owners

11 Ill. Adm. Code 1410.20 Report Disabled Horses (repealed)

History

• Source: Repealed at 31 Ill. Reg. 16532, effective December 1, 2007

11 Ill. Adm. Code 1410.25 Deceased or Sick Horses (repealed)

History

• Source: Repealed at 31 Ill. Reg. 16532, effective December 1, 2007

11 Ill. Adm. Code 1410.30 Horses Entered in the Daily Double (Repealed)

History

• Source: Repealed at 6 Ill. Reg. 10014, effective August 3, 1982

Chapter I Illinois Racing Board

Subchapter g Rules and Regulations of Horse Racing (thoroughbred)

Part 1410 Trainers and Owners

11 Ill. Adm. Code 1410.40 State Veterinarians' List (repealed)

History

• Source: Repealed at 31 Ill. Reg. 16532, effective December 1, 2007

11 Ill. Adm. Code 1410.50 Obey Sanitary, Humane and Safety Laws (repealed)

History

• Source: Repealed at 31 Ill. Reg. 16532, effective December 1, 2007

11 Ill. Adm. Code 1410.55 Halters

All horses shall be haltered while in the stall, provided however, that halters may be removed during the hours of 7 a.m. and 11 a.m. and 3 p.m. to 4:00 p.m.

History

• Source: Amended October 17, 1975, filed October 21, 1975

11 Ill. Adm. Code 1410.60 Report Deaths of Horses (repealed)

History

• Source: Repealed at 31 Ill. Reg. 16532, effective December 1, 2007

11 Ill. Adm. Code 1410.65 Fillies and Mares Bred

Fillies and mares that have been bred shall be reported to the racing secretary as having been bred, prior to being entered in a race. The secretary shall post on the bulletin Board the names of all fillies or mares that have been bred and to what stallion or stallions.

11 Ill. Adm. Code 1410.70 Trainer Responsibility

A trainer shall at all times be responsible for the condition of his horse, and for the protection of his horse against fraudulent practices, including administration of prohibited drugs by any persons.

11 Ill. Adm. Code 1410.80 Employment of Veterinarians

No owner or trainer shall employ any veterinarian who has not been duly licensed by the State of Illinois and the Illinois Racing Board as a veterinarian.

11 Ill. Adm. Code 1410.90 Harboring Unauthorized Persons

Any trainer, owner, or stable foreman or others who harbor anyone not provided with credentials shall be immediately reported to the stewards of the meeting so they may make investigation thereof, take appropriate action and report the facts to the Illinois Racing Board.

11 Ill. Adm. Code 1410.95 Harboring of Drug Addicts

No owner or trainer shall employ or harbor any known or suspected drug addict.

11 Ill. Adm. Code 1410.100 Workout After Finish

Except with permission of the stewards, no owner or trainer shall instruct a jockey of any horse in a race to work said horse out a longer distance after passing the finish line.

11 Ill. Adm. Code 1410.110 Addition to Owner-Trainer Rules

Regulations herein set forth pertaining to trainers and owners are in addition to those rules otherwise applying to them in relation to licenses, entries, employment, and other phases of their racing activities.

11 Ill. Adm. Code 1410.115 Ownership of Horses

No licensed or authorized trainer shall have any ownership interest in a horse of which he is not the trainer at any race track at which said trainer is in charge of a stable.

Part 1411 Jockeys, Apprentices, Jockey Agents, and Valets

11 Ill. Adm. Code 1411.5 Colors Worn by Riders

A jockey must wear the colors of the owner or owners of the horse he is riding (except by special permission of the stewards, which permission shall be posted on the bulletin Board, together with notice of the colors the jockey shall wear), and the number of the horse is as exhibited after weighing out. When the horse is being warmed up, the same number must be exhibited upon the arm of its rider.

11 Ill. Adm. Code 1411.10 Jockey Fees (repealed)

History

• Source: Repealed at 7 Ill. Reg. 1423, effective January 24, 1983

11 Ill. Adm. Code 1411.20 Paying Fines

All fines imposed on jockeys must be paid by the jockeys themselves.

11 Ill. Adm. Code 1411.30 Jockey Ownership of Horse

No jockey shall be the owner of any race horse.

11 Ill. Adm. Code 1411.40 Under Suspension

When a jockey is under suspension for any cause except fraud, he may be permitted to fulfill engagements for the following racing day only, except that when the 48 hour entry policy is in effect, a jockey may be permitted to fulfill engagements for the following two racing days only.

11 Ill. Adm. Code 1411.50 Betting by Jockey

No jockey shall bet on any race except through the owner of and on the horse which he rides, and any jockey who shall be proved to the satisfaction of the stewards to have any interest in any race horse, or to have been engaged in any betting transaction, except as permitted by this rule, or to have received presents from persons other than the owner, shall have his license revoked.

11 Ill. Adm. Code 1411.60 Record of Jockey Betting

All owners so betting for a jockey on any horse shall keep a record thereof, so that at no time will said owners be in a position of failing to remember any such transaction.

11 Ill. Adm. Code 1411.65 Interrogation by Stewards

All owners, trainers, jockeys, employees, agents or other persons in any way connected with said operator may be, at any time, interrogated by the stewards in reference to the making or placing of any bets anywhere on any race run at said course.

11 Ill. Adm. Code 1411.70 Racing Against Employer's Starter

A jockey shall not ride in any race against a starter of his contract employer unless his mount and his contract employer's starter are both in the hands of the same trainer.

11 Ill. Adm. Code 1411.72 Spouses Riding Against Each Other (repealed)

History

• Source: Repealed at 19 Ill. Reg. 12687, effective September 1, 1995

11 Ill. Adm. Code 1411.75 Owner or Trainer as Spouse

Jockeys married to owners or trainers may not ride against the spouses's horse, whether or not the spouse holds any ownership interest in said horse.

11 Ill. Adm. Code 1411.78 Racing Against Agent's Horse

A jockey shall not ride in any race against a horse owned and/or trained by his agent.

11 Ill. Adm. Code 1411.80 Priority of Retainers

Employers retaining the same jockey have precedence according to priority of the retainers as specified in the contracts.

11 Ill. Adm. Code 1411.90 Conflicting Claims on Jockeys

Conflicting claims for the services of a jockey shall be decided by the stewards.

11 Ill. Adm. Code 1411.100 Riding Crops and Other Equipment

a) Riding Crops

All riding crops are subject to inspection and approval by the Stewards and the Clerk of Scales.

1. Riding crops shall have a shaft and a flap and will be allowed in flat racing, including training, only as follows:

A) Maximum weight of eight ounces;

B) Maximum length, including flap, of 30 inches;

C) Minimum diameter of the shaft of one-half inch; and

D) Smooth shaft contact area, with no protrusions or raised surface, covered by shock absorbing material that gives a compression factor of at least one millimeter throughout its circumference.

2. The flap is the only allowable attachment to the shaft and must meet the following specifications:

A) Length beyond the end of the shaft − maximum of one inch;

B) Width − a minimum of 0.8 inch and a maximum of 1.6 inches;

C) No reinforcements or additions beyond the end of the shaft;

D) No binding within seven inches of the end of the shaft; and

E) Shock absorbing characteristics similar to those required by subsection (a)(1)(D).

3. Although the use of a riding crop is not required, any jockey who uses a riding crop during a race shall do so only in a manner consistent with exerting his or her best efforts to win.

4. In all races in which a jockey will ride without a riding crop, an announcement of that fact shall be made over the public address system.

5. Riding crops shall not be used on two year old horses before April 1 of each year.

6. The riding crop shall only be used for safety, correction and encouragement.

7. All riders shall comply with the following when using a riding crop:

A) Showing the horse the riding crop and giving it time to respond before striking the horse;

B) After using the riding crop, giving the horse a chance to respond before using it again; and

C) Using the riding crop in rhythm with the horse's stride.

8. Prohibited use of the riding crop includes, but is not limited to, striking a horse:

A) on the head, flanks or any other part of its body other than the shoulders or hindquarters, except when necessary to control a horse;

B) during the post parade or after the finish of the race, except when necessary to control the horse;

C) excessively or brutally causing welts or breaks in the skin;

D) when the horse is clearly out of the race or has obtained its maximum placing;

E) persistently, even though the horse is showing no response under the riding crop; or

F) striking another rider or horse.

9. After the race, horses will be subject to inspection by a racing official or veterinarian looking for cuts, welts or bruises in the skin. Any adverse findings shall be reported to the Stewards.

b) Other Equipment

1. No bridle shall exceed two pounds.

2. A horse's tongue may be tied down with clean bandages, gauze or a tongue strap.

3. No licensee may add blinkers to a horse's equipment or discontinue their use without the prior approval of the Starter.

4. No electrical or mechanical device or other expedient designed to increase or retard the speed of a horse, other than the riding crop approved by the Stewards, shall be possessed by anyone, or applied by anyone, to the horse at any time on the grounds of the association during the meeting, whether in a race or otherwise.

c) The giving of instructions by any licensee that, if obeyed, would lead to a violation of this Section may result in disciplinary action being taken against the licensee who gave the instructions, as well as the person who took, or failed to take, the action.

History

• Source: Amended at 34 Ill. Reg. 2816, effective February 12, 2010

Chapter I Illinois Racing Board

Subchapter g Rules and Regulations of Horse Racing (thoroughbred)

Part 1411 Jockeys, Apprentices, Jockey Agents, and Valets

11 Ill. Adm. Code 1411.110 Illegal Whipping (repealed)

History

• Source: Repealed at 34 Ill. Reg. 2816, effective February 12, 2010

11 Ill. Adm. Code 1411.120 Leaving Operating Track (repealed)

History

• Source: Repealed at 41 Ill. Reg. 11572, effective September 1, 2017

11 Ill. Adm. Code 1411.130 Jockey Rules Apply to Apprentices

All apprentice applicants shall be bound by all of the rules for jockeys, except insofar as said rules may be in conflict with the specific regulations for apprentices.

11 Ill. Adm. Code 1411.140 Apprentice Rule

a) An applicant for an apprentice jockey license:

1. shall:

A) be at least 16 years old or, if under age with the written consent of his/her parents or legal guardian;

B) not have been previously licensed as a jockey;

C) be found physically able to ride in competitive horse races by a licensed physician designated by the stewards; and

D) have served with a racing stable in some licensed capacity for at least one year; or

2. shall have an apprentice certificate issued by another racing jurisdiction or a valid contract, found acceptable by the Board under the standards established in this subsection (a)(2), with a trainer or owner to serve as an apprentice jockey for at least three and no more than five years.

A) All owners or trainers with an apprentice jockey under contract shall be subject to investigation as to character, ability, facilities, and financial responsibility; and shall, at the time of entering into the contract, be the legal owner or trainer of at least three horses eligible to race.

B) Contracts for apprentice jockeys shall require the apprentice to be at least 16 years old or, if under age, to have the written consent of his/her parents or legal guardian, and shall provide for fair remuneration, adequate medical attention and suitable board and lodging for the apprentice.

C) All apprentice contracts described in this Part shall be filed with the Board within 30 days after execution thereof or upon filing application for license, whichever occurs first.

D) Any amendments to the contract must be in writing, signed by each of the parties, with copies delivered to each of the parties and to the Board.

E) Any owner or trainer who fails to file such contract with and obtain approval of the Board may be subject to disciplinary action by the Board.

F) The Board, in its discretion, may issue an apprentice certificate indicating each winner ridden, in the event an apprentice contract is terminated.

G) The stewards, in their discretion, may permit an apprentice jockey who has been issued a certificate to contract with a licensed owner or trainer for the remainder of a terminated contract.

b) An apprentice jockey may claim the following weight allowances in all overnight races except stakes and handicaps:

1. Ten pound allowance beginning with the first mount and continuing until the apprentice has ridden five winners.

2. A seven pound allowance until the apprentice has ridden an additional 35 winners.

3. If an apprentice has ridden a total of 40 winners prior to the end of a period of one year from the date of riding his/her fifth winner, he/she shall have an allowance of five pounds until one year from the date of the fifth winning mount.

4. If, after one year from the date of the fifth winning mount, the apprentice jockey has not ridden 40 winners, the applicable weight allowances shall continue for one more year from the date of the fifth winning mount, or until the 40th winner, whichever comes first. In no event shall a weight allowance be claimed for more than two years from the date of the fifth winning mount, unless an extension has been granted pursuant to subsection (e) of this Section.

5. A contracted apprentice may claim an allowance of three pounds for an additional one year when riding horses owned or training by the original contract employer.

c) The stewards may extend the weight allowance of an apprentice jockey when, in their discretion, an apprentice jockey is unable to continue riding due to:

1. Physical disablement or illness,

2. Military service,

3. Attendance in an institution of secondary or higher education,

4. Restriction on racing, or

5. Other valid reasons.

d) An apprentice jockey may qualify for an extension if he/she has been unable to ride for a period of not less than seven consecutive days during the period in which the apprentice was entitled to an apprentice weight allowance. Under exceptional circumstances, total days lost collectively will be given consideration.

e) The stewards may grant an extension to an eligible apprentice only after the apprentice has produced, on the approved form, documentation verifying time lost was a result of a qualifying event as defined in subsection (c) of this Section.

f) An apprentice may petition one of the racing jurisdictions in which he/she is licensed and riding for an extension of time for claiming apprentice weight allowances, and the apprentice shall be bound by the decision of the jurisdiction so petitioned.

History

• Source: Amended at 22 Ill. Reg. 5076, effective March 1, 1998

11 Ill. Adm. Code 1411.150 Change of Agent

A jockey or apprentice must continue with his jockey agent until notifying the stewards of change of agent.

History

• Source: Amended at 17 Ill. Reg. 21852, effective December 3, 1993

11 Ill. Adm. Code 1411.160 Rough or Careless Riding

At the discretion of the stewards, a jockey guilty of rough or careless riding, as described at 11 Ill. Adm. Code 1416.5, shall be subject to a suspension of not less than 3 days and/or a fine. The criteria for determining fines and/or suspensions shall include, but not be limited to, what action was taken by the violator to avoid the violation, whether the violator has been found guilty of a rough or careless riding violation in this or any other racing jurisdiction, and the purse of the race.

History

• Source: Amended at 21 Ill. Reg. 3226, effective March 4, 1997

11 Ill. Adm. Code 1411.170 Yearly Examination

All jockeys must pass a physical examination once a year, before the commencement of a meeting, by a doctor designated by the Board. The stewards may or may not allow any jockey to ride until he successfully passes such examination.

11 Ill. Adm. Code 1411.180 Examination Because of Illness

Injured jockeys, or jockeys cancelling engagements because of illness must undergo a physical examination before resuming race riding.

11 Ill. Adm. Code 1411.190 Jockey's Valet

Any jockey's valet who shall make a bet for himself or place for another a bet upon a race shall be suspended and his case referred to the Board for appropriate action.

11 Ill. Adm. Code 1411.195 Valet's Fees (repealed)

History

• Source: Repealed at 7 Ill. Reg. 1423, effective January 24, 1983

11 Ill. Adm. Code 1411.200 Record of Jockey Engagements by Agent

Each jockey agent shall keep, on a form provided by the operator, a record by races of all engagements made by him of the riders he is representing. This record must be kept up to date and held ready at all times for inspection by the stewards. If any jockey agent gives up the making of engagements for any rider, he shall immediately notify the stewards, and he shall also turn over to the stewards a list of any unfulfilled engagements he may have made for that rider. A jockey agent may not drop a rider without notifying the Board of Stewards in writing. All rival claims for the services of a rider will be adjudged by the stewards.

11 Ill. Adm. Code 1411.210 Falsifying Engagement Records

Any agent who falsified his record may be, in the discretion of the stewards, suspended, and they may refer his case to the Board for further action and the Board may revoke the license of any agent who falsifies his record. Jockey agents will be called upon to explain rival claims for any mount or for any rider and inability to satisfy the stewards that the rival claim arose through an honest and bona fide error shall be considered a falsification of records.

11 Ill. Adm. Code 1411.220 Agent Barred from Paddock and Track

Except by special permission of the stewards, jockey agents shall not be permitted within the saddling enclosure during the period of racing hours; nor shall said agents be allowed on the race track proper or in the unsaddling enclosure or winners' circle at the conclusion of any race run.

11 Ill. Adm. Code 1411.230 Engagements Made Through Agent

Within the period in which an agent represents a jockey or apprentice, such jockey or apprentice shall make riding engagements or commitments only through said agent, and engagements shall be fulfilled as made, unless excused by the stewards.

11 Ill. Adm. Code 1411.240 Safety Equipment

a) All jockeys and stable employees when exercising horses shall wear a safety helmet approved by the stewards. The criteria for approving helmets shall be based on the construction, durability, sturdiness and safety of the helmet. This rule shall be enforced by all trainers. No change shall be made in any helmet without the approval of the stewards.

b) No jockey or apprentice jockey shall be permitted to ride in any race unless he or she wears a safety vest with a shock absorption protection rating of at least five (5), as certified by the British Equestrian Trade Association. A safety vest shall weigh no more than two pounds and shall not be included in a jockey's or apprentice jockey's weight when weighing out to race.

History

• Source: Amended at 18 Ill. Reg. 2092, effective January 21, 1994

11 Ill. Adm. Code 1411.250 Designated Races

a) If a jockey is suspended ten days or less for a riding infraction not involving rough and/or extreme careless riding, said jockey may be permitted at the discretion of the stewards to fulfill engagements in designated stakes races so long as he or she is named on the said horse at the time of entry. The suspension will be extended one day for each date the jockey rides in such a race.

b) For the purpose of this rule, the stewards shall determine and post a list of designated races at the beginning of each meeting. If the stewards do not post such a listing, all stakes races shall be designated.

c) No jockey subject to a suspension is entitled to the privilege extended in subsection (a) above unless, at the time of the suspension, he notifies the stewards of his engagement in a stakes race, designated by the stewards in subsection (b) above.

History

• Source: Added at 17 Ill. Reg. 12426, effective July 15, 1993

Part 1412 Weights, Penalties, and Allowances; Scale of Weights for Age

11 Ill. Adm. Code 1412.10 Weight Allowances

a) With the exception of apprentices allowances, handicap races, three-year-old horses entered to run in races against horses four years old and upwards, and the allowance provided in subsection (b) of this Section, no jockey shall be assigned a weight of less than 118 pounds. For three-year-old horses entered to run in races against horses four years old and upwards from January 1 through August 31, no jockey shall be assigned a weight of less than 116 pounds.

b) Except in handicaps, fillies two years old shall be allowed 3 pounds and fillies and mares three years old and upward shall be allowed 5 pounds before September 1, and 3 pounds after September 1 in races in which they compete against horses of the opposite sex.

c) A notice shall be included in the daily program that all jockeys will carry approximately 3 pounds more than the published weight to account for safety equipment (vest and helmet) that is not included in required weighing out procedures. Additionally, jockeys may weigh in with an additional 3 pounds for inclement weather gear when approved by the Stewards.

d) Quarter Horses minimum scale weights shall be 120 pounds for two year olds, 122 pounds for three year olds and 124 pounds for four year olds and older.

History

• Source: Amended at 36 Ill. Reg. 13675, effective August 20, 2012

11 Ill. Adm. Code 1412.20 Extra Allowances

No horse shall carry extra weight, nor be barred from any race for having run second or in any lower place in a race; nor shall extra weight be incurred in respect to private sweepstakes and match races.

11 Ill. Adm. Code 1412.30 When Readjustments Allowed

A horse shall not receive allowance of weight or be relieved from extra weight for having been beaten in one or more races; provided that this rule shall not prohibit maiden allowances or allowance to horses that have not won within a specified time or that have not won races of a specified value.

11 Ill. Adm. Code 1412.40 Readjustments, When Claimed

Allowances must be claimed at the time of entry and these allowances shall not be abandoned except by the consent of the stewards, who may, before scratch time, make readjustments to the proper weights and allowances in conformity with the conditions of the race. Sex allowances shall not be waived. The stewards may, in their discretion, impose penalties upon persons who negligently claim improper allowances.

11 Ill. Adm. Code 1412.50 Penalties and Allowances Not Cumulative

Penalties and allowances are not cumulative unless so declared by the conditions of the race.

11 Ill. Adm. Code 1412.60 Handicaps

The handicapper shall append to the weights for every handicap, the day and hour from which winners will be liable to a penalty, and no alteration shall be made after publication except in case of omission through error of the name or weight of a horse duly entered, in which case, by permission of the stewards the omission may be rectified by the handicapper.

Part 1413 Entries, Subscriptions, and Declarations

11 Ill. Adm. Code 1413.10 Registration with Jockey Club

No horse shall be entered or permitted to start unless duly registered and named through The Registry Office of The Jockey Club (New York).

11 Ill. Adm. Code 1413.20 Registration Rules

The rules of The Jockey Club (New York) with respect to the registration of horses shall apply in Illinois.

11 Ill. Adm. Code 1413.30 Eligibility

A horse must be eligible to run at time of entry.

11 Ill. Adm. Code 1413.40 How Entries Are Made

All entries shall be made on forms prescribed by the Board, and all information required on such forms shall be supplied.

History

• Source: Amended at 26 Ill. Reg. 12367, effective August 1, 2002

11 Ill. Adm. Code 1413.42 Number of Entries

a) A trainer may enter no more than two horses of the same or of separate ownership. When entering two horses of the same ownership, the owner or trainer must express a preference as to which horse will be entered if the number of entries received exceeds the number of horses permitted to start in the race. Two horses of the same ownership may not start to the exclusion of a single entry except when required by the conditions of the race. However, when a trainer enters two horses of separate ownership, for the purposes of eligibility to start, such horses shall be treated as if they were also entered by separate trainers.

b) This Section shall not apply to stakes and handicap races.

History

• Source: Amended at 26 Ill. Reg. 12367, effective August 1, 2002

11 Ill. Adm. Code 1413.44 48- or 72-Hour Entries

Any horse entered on the overnight entry list shall not be entered in any other race with a 48- or 72-hour entry box without permission of the stewards and shall not be entitled to preference in either or those races.

History

• Source: Amended at 17 Ill. Reg. 21848, effective December 3, 1993

11 Ill. Adm. Code 1413.46 Also Eligibles Under 48- or 72-Hour Rule

Any horse entered on an overnight entry list as an also eligible may be entered in another race with a 48- or 72-hour entry box, and receive preference, provided a scratch is entered at the same time the entry into either entry box is made.

History

• Source: Amended at 17 Ill. Reg. 21848, effective December 3, 1993

11 Ill. Adm. Code 1413.48 Uncoupled Entries (repealed)

History

• Source: Repealed at 39 Ill. Reg. 10636, effective July 17, 2015

11 Ill. Adm. Code 1413.50 Racing Secretary Receives Entries

For all races, except sweepstakes, for which the closing time occurs immediately preceding or during the period of the race meeting, the racing secretary is the person authorized to receive entries and declarations. For races closing at other times, entries and declarations may be made to the racing secretary or general manager or other authorized executive of the race track operator.

11 Ill. Adm. Code 1413.60 Supervision of Entries

All entries and declarations for races closing immediately prior to or during the period of the race meeting are under the supervision of the stewards; and all other entries and declarations are under the supervision of the Board.

11 Ill. Adm. Code 1413.70 When Entries Close

Entries for all races shall not be closed earlier than the advertised time.

History

• Source: Amended July 16, 1976, filed July 23, 1976

11 Ill. Adm. Code 1413.75 Limitation on Purse Increases or Reductions

a) No purse for any race may be increased or reduced after the purse has been advertised, published or reflected in the conditions without prior approval of the Executive Director of the Board. If approved, the Racing Secretary shall promptly post the change in purse on the public bulletin board in the Racing Secretary's office for the inspection of owners, trainers and the public, and list it in the "overnight sheets".

b) No purse for any race may be increased or reduced after the first entry is made without prior approval of the Board.

History

• Source: Amended at 36 Ill. Reg. 16344, effective November 1, 2012

11 Ill. Adm. Code 1413.80 Closing in Absence of Conditions

In the absence of conditions of notice to the contrary, all entries to overnight races except handicaps are to be considered as closed not later than 2 p.m. of the day preceding the one on which the race is to be run.

11 Ill. Adm. Code 1413.90 Entry by Telegraph

Entries by telegraph are binding if promptly confirmed in writing, but in overnight races said confirmation can have force only in case the name of the horse so entered has been printed on the official program. Failure to confirm in writing a bonafide entry by telegraph may subject the offender to the penalty of being suspended, or fined, in the discretion of the stewards.

11 Ill. Adm. Code 1413.100 List of Entries

The racing secretary shall, each day at the advertised closing time for filing entries, prepare a typewritten list to be designated "overnight entries" and immediately post the same on the public bulletin board in the racing secretary's office for the inspection of owners, trainers and the public. Said list of "overnight entries" shall become official 30 minutes after such posting. No change thereafter shall be made therein because of any omissions or inaccuracies except that weights may be corrected upward at any time when improper allowances have been claimed, and in cases where, in the opinion of the stewards, Section 1412.40 (11 Ill. Adm. Code 1412.40) may apply.

History

• Source: Amended at 17 Ill. Reg. 21848, effective December 3, 1993

11 Ill. Adm. Code 1413.110 Limitations on Entries

All entries and declarations made in overnight races are under the supervision of the stewards, and they may, without notice, refuse the entries of any persons, or the transfer of any entries, and they may also in their discretion, limit entries by providing that no horse shall be entered for two races in any one day unless one is a sweepstakes. However, the owner, or trainer or authorized agent who enters the same horse in more than one race on the same day, must declare said horse out of all races, except one, by scratch time of the day said horse is so entered. In any overnight race where a person has entered more than one horse and there are horses on the also eligible list, the owner, trainer, or authorized agent must declare one horse out of said race by the regular scratch time or both horses must start in said race unless excused by the stewards for just reason.

11 Ill. Adm. Code 1413.114 Uncoupled Entries

All entries, either same owner or separate owner, shall be uncoupled wagering interests in any race. Second part of same owner entries will have least preference in overfilled races. If a race is split in two or more divisions, same owner entries shall be seeded in separate divisions, but the divisions in which they compete and their post positions shall be drawn by lot.

History

• Source: Amended at 39 Ill. Reg. 10636, effective July 17, 2015

11 Ill. Adm. Code 1413.118 Further Definition of Coupling (Repealed)

History

• Source: Repealed at 26 Ill. Reg. 12367, effective August 1, 2002

Chapter I Illinois Racing Board

Subchapter g Rules and Regulations of Horse Racing (thoroughbred)

Part 1413 Entries, Subscriptions, and Declarations

11 Ill. Adm. Code 1413.120 Riders Designated

At the time of making entry, the owner, trainer or authorized agent shall designate a jockey only if the jockey named is definitely engaged. If the jockey is not definitely engaged, then an entry shall be made without designating the jockey at the time of entry. Change of jockey designated may be made only by authorization of the stewards. Any violation of this rule will subject violators to fine or suspension.

11 Ill. Adm. Code 1413.130 Carding Purse and Handicap Races (repealed)

History

• Source: Repealed at 40 Ill. Reg. 13022, effective September 1, 2016

11 Ill. Adm. Code 1413.131 Carding Purse and Handicap Races

a) On or before June 30, 2021, except as otherwise provided in subsection (a)(1), all non-claiming races (with the exception of maiden races) and claiming races with a claiming value of $20,000 or more, having eight or more separate interests, must be carded and run. Exceptions:

1. The following races must be carded and run with seven or more betting interests:

A) Illinois maiden special weights;

B) Illinois claiming races $20,000 and above;

C) Illinois allowance "one other than" or "other than" and "non-winners of two other than".

2. Illinois conceived and/or foaled stake races must be carded and run with six or more betting interests. If scratches reduce the number of interests in any race to fewer than six, the association may run the race as a non-wagering exhibition and card and run a substitute race for wagering purposes.

b) Notwithstanding subsection (a), the track shall card races pursuant to this subsection. All non-claiming races (including maiden special weights, but with the exception of other maiden races) and claiming races with a claiming value of $20,000 or more having seven or more separate interests must be carded and run. However, if scratches reduce the number of interests in such a race to fewer than six, the association may run the race as a non-wagering exhibition and card and run a substitute race for wagering purposes.

History

• Source: Amended at 48 Ill. Reg. 18280, effective December 12, 2024

11 Ill. Adm. Code 1413.134 Race Fails to Fill

If a race fails to fill and is declared off, the names of all the horses that were entered therein shall be made known to the state steward not later than 1 p.m. of the same day.

11 Ill. Adm. Code 1413.138 Substitute and Extra Races (repealed)

History

• Source: Repealed at 40 Ill. Reg. 13022, effective September 1, 2016

11 Ill. Adm. Code 1413.139 Substitute and Extra Races

a) On or before June 30, 2021, whenever a posted race is cancelled, the Racing Secretary will first use the substitute races listed in the Condition Book and then use the extra races, except for Illinois bred races, for which priority goes to the next listed Illinois bred race and then to an Illinois bred extra race.

b) Beginning July 1, 2021, the track shall card races pursuant to this subsection. Whenever a posted race is cancelled, the Racing Secretary shall first use the substitute races in the order listed in the Condition Book and then use the extra races in the order listed, except:

1. when a feature or handicap race fails to fill, the extra race that can be used as a feature race shall take precedence over the other substitute and extra races;

2. when an Illinois conceived and foaled or an Illinois foaled race fails to fill, the substitute Illinois conceived and foaled or Illinois foaled race shall be scheduled if possible;

3. when a posted Illinois conceived and foaled or an Illinois foaled race fills, the substitute or extra Illinois race need not be considered in making up other cancelled races;

4. when a posted race is split;

5. when a substitute or extra race is to be used in the program as a race upon which trifecta wagering is offered.

History

• Source: Added at 40 Ill. Reg. 13022, effective September 1, 2016

11 Ill. Adm. Code 1413.140 Right to Declare Out

a) In purse races and overnight handicaps with nine or more interests, trainers shall have the right to declare out to that number before the time stipulated by the regulations of the operator on the day of the race. When more than one trainer expresses the desire to declare out, the right to declare out shall be determined by lot. Declarations below nine interests may only be made by permission of the stewards when a note from a veterinarian licensed under the Veterinary Medicine and Surgery Practice Act of 2004 [225 ILCS 115] establishes a medical reason to excuse the horse from the race or when there is a request from the Racing Secretary to fill a different race. The other horses eligible for the race shall have the preference to scratch over regularly carded horses. Trainer declarations will only be considered following the time at which the removal of horses from a race has been received by stewards from veterinarians for veterinary related scratches.

b) In purse races and overnight handicaps moved off the turf with more than nine interests, trainers shall have the right to declare out to that number before the time stipulated by the regulations of the operator on the day of the race. When more than one trainer expresses the desire to declare out, the right to declare out shall be determined by lot. Declarations below nine interests may only be made by permission of the stewards.

c) Horses may be scratched out of stake races not later than 45 minutes before post time of the race.

History

• Source: Amended at 48 Ill. Reg. 18280, effective December 12, 2024

11 Ill. Adm. Code 1413.150 Number of Entries

A list of names not to exceed six may be drawn from the overflow entries and listed as eligible to start if originally carded horses are withdrawn. If an also eligible list is prepared, and any regularly carded horses have been excused from a race, a new drawing shall be taken from horses on the also eligible list and order of eligibility and post positions shall be determined by the sequence in which they are drawn. If the conditions of a stakes race specify otherwise, those conditions shall govern and this rule shall not apply.

History

• Source: Amended at 18 Ill. Reg. 11612, effective July 7, 1994

11 Ill. Adm. Code 1413.160 Fee to Enter

The entrance to a purse race shall be free, unless otherwise stipulated in its conditions. If the conditions require an entrance fee, it must accompany the entry, except for fee handicaps, when it must be paid at the time of acceptance of the weight allotted.

11 Ill. Adm. Code 1413.170 Refunds

Entrance money is not refunded on the death of a horse, or his failure to start.

11 Ill. Adm. Code 1413.180 Error in Entry

A person making a wrong entry or nomination is liable for stakes and forfeits under that nomination.

11 Ill. Adm. Code 1413.190 Irrevocable Declaration

Declaring a horse out of a race is irrevocable.

11 Ill. Adm. Code 1413.200 Notice of Declaration

Until the owner or his authorized agent has given notice to the proper authority either in writing or by telegram, promptly confirmed in writing, no horse shall be considered as struck out of any of his engagements.

11 Ill. Adm. Code 1413.210 Entry of Unfit Horse

The owner or trainer of any horse, before making the entry of such horse in any overnight race, must have said horse in condition to race, and if for any reason, said horse is not in such condition, it must be reported to the stewards and secretary.

11 Ill. Adm. Code 1413.220 Refusal for Inconsistency

The stewards shall have the authority to order the refusal of entry of any horse or all of the entries of any owner because of inconsistent running of any horse or horses, and the stewards are empowered to make any investigation, formal or informal, to come to a determination and decision in respect thereto. Any such ruling shall be immediately reported, in writing, to the Board by said stewards.

11 Ill. Adm. Code 1413.230 Horse Ineligible

a) No horse is qualified to run in any race unless he is duly entered for that race.

b) No disqualified horse shall be entered for a race.

c) No disqualified person shall enter a horse in a race.

d) In case of husband and wife, no entry shall be received from husband or wife while either is disqualified. Husband and wife, unless legally separated, shall be considered a single entity. Any ruling which applies to one shall apply equally to the other. This rule shall not apply in the case of a spouse suspended for a riding infraction or in such other cases, in the discretion of the stewards.

e) The burden of proof of qualifications rests upon the individual in whose name the horse is entered.

f) No horse on the starter's schooling list shall be entered for a race.

g) No horse on the state veterinarian's list (see Rule #51A) (11 Ill. Adm. Code Section 1403.63) or the steward's list (see Rule #34B) (11 Ill. Adm. Code 1402.165) shall be entered for a race.

h) No horse shall be started unless he has had a race or an officially clocked workout within the previous 30 days.

i) A first time starter shall not have less than three officially observed and clocked workouts.

j) A horse is ineligible if it is not qualified to participate in a specific race under the rules and conditions of that race.

History

• Source: Amended at 26 Ill. Reg. 12367, effective August 1, 2002

11 Ill. Adm. Code 1413.240 Who May Enter

No person not having an interest in a horse, equal at least to the interest or property of any other one person is entitled to enter in a race as the owner.

11 Ill. Adm. Code 1413.250 Medical Reasons for Ineligibility

A trainer or owner shall not enter or start, or cause to be entered or started, a horse that:

a) is not in servicable, sound racing condition;

b) has an active tracheostomy;

c) has been nerved or had cryosurgery performed on a nerve; except that horses that have had a neurectomy or cryosurgery performed on the posterior digital nerve below, and not at, the fetlock of one or more feet may be permitted to race;

d) is blind or whose vision is seriously impaired in both eyes. A horse blind in one eye may start only if the other eye has normal vision;

e) does not comply with the rules regarding Coggins tests (see 11 Ill. Adm. Code 1309, 1313, 1424 and 1431).

History

• Source: Amended at 25 Ill. Reg. 15608, effective December 1, 2001

11 Ill. Adm. Code 1413.260 Sweepstakes Entries

Any entry of a horse in a sweepstakes is a subscription to the sweepstakes and the subscriber is liable for stake or forfeit, but should he transfer the entry, he is liable only in case of default of the transferee. Similarly, the vendor of a horse with engagements is liable for stake or forfeit if the engagements are not kept.

11 Ill. Adm. Code 1413.265 Receipt for Nomination

It shall be the responsibility of the nominator to any stake or handicap race to confirm telephone nominations or entries with written or faxed copies of the same. No appeal or dispute regarding lost nominations or errors shall be entertained by the stewards without such documented proof.

History

• Source: Amended at 18 Ill. Reg. 17749, effective November 28, 1994

11 Ill. Adm. Code 1413.270 Previous Engagements

If a horse is sold by private sale, or at public auction, the written acknowledgement of both parties is necessary to prove the fact that he was sold with his engagements, but when a horse is sold or claimed out of a claiming race, the horse's engagements are included unless the advertised conditions of the race state specifically to the contrary. A sale, under any circumstances, to a person ruled off, or to a disqualified person, shall have the effect of a declaration of forfeit as if made by the vendor on the date of sale.

11 Ill. Adm. Code 1413.280 Transfer of Engagements

Subscriptions and all entries or rights of entry are valid when a horse is sold with his engagements duly transferred; in duly registered partnerships when subscriptions, entries and rights of entries survive in the remaining partners; and when entries under the decedent's subscription have been made previous to the decedent's death by the transfer of the right of entry. No entry, subscriptions, or right of entry under it shall become void on the death of the nominator or subscriber, the engagement or engagements made for the horse following him unless the conditions of the race or races for which he was entered stated otherwise.

11 Ill. Adm. Code 1413.290 Transfer of Sweepstakes Engagements

Subscribers to sweepstakes may, before the time fixed for naming, transfer the subscription, but a person making an entry under another subscription when forfeit must be declared by a particular time, shall be considered as having taken the engagement upon himself, and it shall be transferred to his name. Also before the time fixed for closing an entry of a horse in any race may be corrected, or another horse may be substituted but a subscription cannot be withdrawn.

11 Ill. Adm. Code 1413.300 Jockey Club Certificates

No horse shall be allowed to start unless his Jockey Club Registration Certificate is filed in the office of the racing secretary, with the exception that the stewards may, at their discretion, waive this requirement, if horses are shipped in for sweepstakes, or have been lip tattooed, and otherwise are properly identified.

History

• Source: Amended at 25 Ill. Reg. 178, effective January 1, 2001

11 Ill. Adm. Code 1413.305 Transfer of Jockey Club Certificate

Commencing with foals of 1960, each racing secretary shall require that all transfers of title be properly recorded in the spaces provided on the reverse side of The Jockey Club Registration Certificate. Any transfers not so recorded will not be recognized and the thoroughbred will be ineligible to start, except that the stewards of the meeting may excuse any horse from this requirement for cause, permitting it to start and providing an opportunity for the owner to meet this requirement.

History

• Source: Passed July 11, 1972

11 Ill. Adm. Code 1413.310 Number of Races in a Day

No horse may be entered for two races in any one day unless one is a sweepstake and in such cases, it must be declared out of one of the races by regular scratch time.

Part 1415 Starting

11 Ill. Adm. Code 1415.10 Identification of Horses

No horse shall be permitted to start that has not been fully identified. The responsibility in the matter of establishing the identity of a horse, of his complete and actual ownership, shall be as binding on the persons so identifying or undertaking to establish identification as it is on the person having the horse requiring identification. And the same penalty shall apply to them in case of fraud or attempt at fraud. The paddock judge in such instances shall keep a written record of such identification and by whom made.

11 Ill. Adm. Code 1415.15 Lip Tattoo or Microchip

No horse will be permitted to start at a pari-mutuel race meeting unless it has been tattooed on the upper lip with an identification number or implanted with an electronic horse identification microchip that accurately identifies the horse and is compliant with the international standards (International Organization for Standardization, ISO Central Secretariat, 1, ch. De la Voie-Creuse, CP 56, CH-1211 Geneva 20 Switzerland, ISO Standard 11784:1996, no later editions or amendments). However, the requirement of a lip tattoo shall not apply to horses entered in stakes races when the horses are fully identified pursuant to Section 1415.10 and when the horses have raced at pari-mutuel race meetings outside of North America.

History

• Source: Amended at 35 Ill. Reg. 16733, effective October 1, 2011

11 Ill. Adm. Code 1415.20 Authority of Starter

Horses are in the hands of the starter from the moment they leave the paddock until the start is made.

11 Ill. Adm. Code 1415.30 Jockeys to Dismount

In the case of delay at the post, the starter may permit the jockeys to dismount and the horses be cared for during the delay; otherwise, no jockeys shall dismount.

11 Ill. Adm. Code 1415.40 All Horses Parade

All horses shall parade, and under penalty of disqualification, carry their weight from the paddock to the starting post, such parade to pass the stewards' stand. A rider thrown on the way to the post must remount at the point at which he was thrown.

11 Ill. Adm. Code 1415.50 Horses Led to Post

The paddock judge may permit a horse to be led to the post with weight up, keeping a reasonable distance from the other horses in the race, and any horse so led must pass the stewards' stand.

11 Ill. Adm. Code 1415.60 Starter's Orders

The starter shall give all orders necessary to obtain a fair start.

11 Ill. Adm. Code 1415.70 Starter's Assistants

The starter may appoint his assistants who must be licensed by the Board. The starter, or his chief assistant, shall keep records of horses handled, by which assistant, and equipment used if other than the ordinary lead strap.

11 Ill. Adm. Code 1415.80 Causes of Delay

a) Causes of delay, if any occur, shall be reported to the stewards by the starter.

b) Post parades shall be for a period of 10 minutes unless a different period is approved by the state steward. Persons causing a delay in the post parade may be fined or suspended.

History

• Source: Amended June 14, 1974, filed June 24, 1974

11 Ill. Adm. Code 1415.90 Report Presence on Grounds

A horse shall not be qualified to start in any race unless not less than 30 minutes before the time set for the race:

a) Its presence on the grounds of the operator is reported to the paddock judge;

b) It is announced to the clerk of the scales as a starter; and

c) The name of its jockey is given to the latter official.

11 Ill. Adm. Code 1415.100 Jockey Fees Paid

No horse shall be allowed to start for any race and no jockey shall be weighed out for any horse until there has been paid or guaranteed the jockey fee or any stake or entrance money due, by the owner in respect to that race, which information shall be supplied by the racing secretary.

11 Ill. Adm. Code 1415.110 Licensed Trainer

No horse shall be qualified to start in any race unless in the hands of a licensed trainer.

11 Ill. Adm. Code 1415.120 Veterinarians' List

No horse on the veterinarians' list shall be qualified to enter or start.

11 Ill. Adm. Code 1415.130 Scratches and Refunds

a) The Board of Stewards may excuse any horse and order it scratched from a race at any time before the race is actually started.

b) The operator shall also refund to the owner of such horse the starting fee, if any is required under the conditions of the race.

11 Ill. Adm. Code 1415.140 Number of Starters

The number of starters in overnight races shall be limited by the width of the track at the starting post, the maximum number to be determined by the stewards. The number of starters in such overnight races, except handicaps, shall be reduced to the proper number by lot, or by division (also by lot) of the race, at the option of the operator. The division of overnight handicaps shall be made by the racing secretary in his entire discretion.

11 Ill. Adm. Code 1415.150 Horse Must Run the Course

Every horse whose starting is obligatory is expected to run the course, unless excused by the stewards, and in case of failure to do so, the stewards may fine or suspend any person responsible therefor.

11 Ill. Adm. Code 1415.160 Starting Gate

Except in cases of emergency, a padded starting gate, approved by the Board, shall be used in starting all races.

History

• Source: Amended at 14 Ill. Reg. 20056, effective December 4, 1990

11 Ill. Adm. Code 1415.170 Post Positions

All horses will enter the starting gate in the order of their announced post positions unless otherwise ordered by the starter with the approval of the stewards. Vicious and unruly horses may be placed on the outside of the line.

11 Ill. Adm. Code 1415.180 Horse, When a Starter

Where a starting gate is used, no horse entered in any race is classed as a starter unless the starting gate opens in front of him simultaneously with the opening of the gates in front of the other horses at the start of the race. Refusal of a horse to break with his field shall not deem him a non-starter.

11 Ill. Adm. Code 1415.190 Failure of Starting Gate

If for any reason the doors in front of any stall in a mechanically or electrically operated gate should fail to open, thereby preventing a horse from starting when the starter dispatches the field, these rules shall apply.

a) If the conditions for a race include a starting fee, such fee shall be repaid to the owner of the horse prevented from starting in the race through failure of the gates to open.

b) Where the film patrol is not used, the starter shall make the sole decision on the question of what horse or horses are prevented from starting in a race through failure of the gates to open.

c) No recall or recall flag shall be used because of the failure of the gates to open.

d) If in any race less than two horses leave the stalls, the operator shall not be obliged to make payment of purse money to the one horse which finishes, but shall endeavor to re-card the race at the earliest time possible.

11 Ill. Adm. Code 1415.200 Start Without Gate

When a race is started without a gate, there shall be no start until, and no recall after, the assistant starter has dropped his flag in answer to that of the starter.

11 Ill. Adm. Code 1415.210 Horse, When a Starter Without a Gate

Where no starting gate is used, a horse entered is a starter when the official starter starts the race.

11 Ill. Adm. Code 1415.220 Schooling

Horses shall be schooled to face the barrier under the supervision of the starter or his assistant, who shall designate the horses that are to constitute the schooling list.

11 Ill. Adm. Code 1415.230 Twitches and War Bridles (repealed)

History

• Source: Repealed at 6 Ill. Reg. 10013, effective August 3, 1982

11 Ill. Adm. Code 1415.240 Starter (repealed)

History

• Source: Repealed at 7 Ill. Reg. 2170, effective February 4, 1983

11 Ill. Adm. Code 1415.250 Starter Reports Fines (repealed)

History

• Source: Repealed at 7 Ill. Reg. 2170, effective February 4, 1983

11 Ill. Adm. Code 1415.260 Inspection of Plating

A representative of the operator shall inspect the plating of each horse as it enters the paddock before the race, record the type of shoes worn on a board provided for that purpose in the paddock and keep a written record for the stewards. Any deficiency in shoeing shall be reported immediately by the inspector to the paddock steward. A trainer or owner shall not enter or start, or cause to be entered or started, a horse that, if plated, is not plated properly, as determined by the paddock blacksmith. If a horse is intended to start without shoes, it must be declared at the time of entry.

History

• Source: Amended at 27 Ill. Reg. 538, effective January 01, 2003

11 Ill. Adm. Code 1415.270 Change in Course

By permission of the Board, races may be run over a race course other than the one over which they have been announced to be run.

11 Ill. Adm. Code 1415.280 Equipment Changes

a) Permission for a horse to wear blinkers, or to discontinue the use of them, must be approved by the starter before being granted by the stewards. Any request for such a change must be stated at the time of entry.

b) Permission for a horse to wear blinkers, or to discontinue the use of them, following a winning race may be granted at the discretion of the stewards.

History

• Source: Added at 18 Ill. Reg. 11620, effective July 7, 1994

Chapter I Illinois Racing Board

Subchapter g Rules and Regulations of Horse Racing (thoroughbred)

Part 1415 Starting

11 Ill. Adm. Code 1415.290 Prohibited Equipment

Shoes (racing plates) that have toe grabs with a height greater than 2 millimeters (0.15748 inches) and bends, jar caulks, stickers and any other traction devices shall be prohibited on the front shoes of thoroughbred horses while racing or training on all racing surfaces.

History

• Source: Added at 33 Ill. Reg. 4165, effective March 1, 2009

Part 1416 Rules of the Race

11 Ill. Adm. Code 1416.5 Disqualification in Race

a) When clear, a horse may be taken to any part of the course, provided that crossing or weaving in front of any horse may constitute interference or intimidation for which the offending jockey may be disciplined.

b) A horse crossing in front of another horse so as actually to impede the latter may be disqualified, unless the impeded horse was partly in fault or the crossing was wholly caused by the fault of some other horse or jockey.

c) If a horse or jockey jostles another horse, the aggressor may be disqualified, unless the impeded horse or his jockey was partly in fault or the jostling was wholly caused by the fault of some other horse or jockey.

d) If a jockey willfully strikes another horse or jockey, or rides wilfully or carelessly so as to injure another horse which is in no way in fault or so as to cause other horses to do so, his horse is disqualified.

e) When a horse is disqualified under this rule every horse in the same race entered by the same trainer, whether belonging to the same owner or not may also be disqualified at the discretion of the stewards.

f) Complaints under this rule can only be received from the owner, trainer or jockey of the horse alleged to be aggrieved, and must be made to the clerk of the scales or to the stewards before that jockey has passed the scales. When applicable, the complaint shall be made to the stewards through the outriders (fast officials). But nothing in this rule shall prevent the stewards taking cognizance of foul riding.

g) Any jockey against whom a foul is claimed shall be given the opportunity to speak with the stewards before any decision is made by them.

h) A jockey whose horse has been disqualified, or an owner, trainer or jockey who complains frivolously that his horse was crossed or jostled, may be fined or suspended.

History

• Source: Amended at 17 Ill. Reg. 19306, effective October 25, 1993

11 Ill. Adm. Code 1416.10 Foul Riding

If the stewards at any time are satisfied that the riding of any race was intentionally foul or that any jockey was instructed or induced to so ride, all persons guilty of complicity shall be suspended and the case shall be reported to the Board for such additional action as they may consider necessary.

11 Ill. Adm. Code 1416.20 Leaving Course

If a horse leaves the course, he must turn back and run the course from the point at which he left it.

11 Ill. Adm. Code 1416.30 Division of Purse in Dead Heat

In races where a dead heat occurs for first, second, third or fourth places, there shall be no runoff for the purse money, and prizes shall be equally divided among those engaged in dead heats.

11 Ill. Adm. Code 1416.40 Dead Heat for First Place

Each horse which runs a dead heat for first place in a race shall be deemed a winner of that race, and shall be liable, as such winner, to any disability or penalty attaching to same, but only in the amount of winnings actually received.

11 Ill. Adm. Code 1416.50 Official Records of Horse

If a horse winning a race equals or betters a track record and is disqualified, the record will be recognized as a track record unless the horse was disqualified for being stimulated. This track record shall be noted with an asterisk which will reveal that the horse was disqualified at the time it established the record.

History

• Source: Amended at 19 Ill. Reg. 2471, effective February 15, 1995

11 Ill. Adm. Code 1416.60 Walkover

a) If only one horse shall have weighed out, that horse shall be ridden past the judge's stand and go to the post, and shall then be deemed the winner.

b) In sweepstakes, even if all the horses but one have declared forfeit, that horse must walkover except by the written consent of all the persons who pay forfeit.

c) In case of a walkover, one-half of the money offered to the winner is given.

d) When a walkover is the result of arrangements by owners of horses engaged, no portion of the added money nor any other prize need be given.

11 Ill. Adm. Code 1416.70 Value of Race

a) The value of a race to the winner shall be estimated by deducting the amount of the winner's stake (if any) and by deducting the money payable to other horses or to any person out of the stakes or out of the added value. Entrance money to purses and entrance money going to the operator shall also be deducted.

b) The value of prizes not in money will not be estimated in the value of the race.

c) In estimating the value of a series of races in which an extra sum of money is won by winning two or more races, the extra sum shall be estimated in the last race by which it was finally won.

d) Foreign winnings shall be estimated on the basis of the current rate of exchange.

11 Ill. Adm. Code 1416.80 Surplus

In all races, should there by any surplus from entries, or subscriptions over the advertised value, it shall be paid to the winner, unless stated by the conditions to go to other horses in the race.

11 Ill. Adm. Code 1416.90 Winnings

Winnings during the year shall include all winnings from the first of January preceding to the time appointed for the start, and shall apply to winnings in any country and winnings shall include dividing, walking over, or receiving forfeit.

11 Ill. Adm. Code 1416.100 Winnings in One Race

Winning of a fixed sum is understood to be winning it in one race, unless specified to the contrary.

11 Ill. Adm. Code 1416.110 Winner a Walkover

Any money or prize which by the conditions is to go to the horse placed second, or in any lower place in the race, shall, if the winner has walked over, or no horse has been so placed, be dealt with as follows:

a) If part of the stake, it shall go to the winner; or

b) If a separate donation from the operator, or any other source, it shall not be given at all; or

c) If entrance money for the race, it shall go to the operator.

11 Ill. Adm. Code 1416.120 Race Not Run or Void

If a race never is run or is void, stakes and entrance money shall be returned.

11 Ill. Adm. Code 1416.130 No Horse in Race

A race may be declared void if no qualified horse covers the course according to rule.

11 Ill. Adm. Code 1416.140 Horse Ridden Out

Every horse in every race must be ridden so as to finish as near as possible to first, and show the best and fastest race it is capable of at that time and shall not be eased up or coasted, even if it has no apparent chance to win first, second, third or fourth prize, so that the record of that race may, as truly as possible, show its real ability.

Part 1417 Objections

11 Ill. Adm. Code 1417.10 Objections

The stewards must decide every objection pertaining to a race.

History

• Source: Amended December 22, 1977, filed December 30, 1977

11 Ill. Adm. Code 1417.13 Hearing on Suspension of License

a) If the stewards at any race meeting shall suspend a license of any horse owner, trainer, jockey, groom, stable foreman, exercise boy, veterinarian, or other occupation licensee, the license of said person shall be suspended pending a hearing of the Board.

b) A ruling or recommendation of the stewards shall be presumed correct and the election of a party who is the subject of the same to forego an appeal during the prescribed time period, may be considered by the Board as a waiver of the rights here provided and an admission that said ruling or recommendation is correct and should be affirmed.

History

• Source: Amended December 22, 1977, filed December 30, 1977

11 Ill. Adm. Code 1417.16 Denial of License

The stewards shall have the authority to recommend the denial of a license after application of any horse owner, jockey, groom, stable foreman, exercise boy, veterinarian, or other occupation licensee to the Board.

History

• Source: Amended December 22, 1977, filed December 30, 1977

11 Ill. Adm. Code 1417.20 Objection to Horse in a Race

a) Objections to a horse engaged in a race must be made by the owner, trainer, or jockey, of some other horse engaged in the same race, or by the officials of the race meeting to one of the stewards.

b) All objections, except claims of interference during a race, must be made to the stewards in writing and signed by the objector, and must be filed not later than one hour before post time. The stewards, however, may scratch an ineligible horse at any time.

11 Ill. Adm. Code 1417.30 Who May Make Objections

Complaints of what occurs in a race in so far as they apply to horse or jockey must be made by the owner, trainer or jockey of the horse alleged to be aggrieved, and must be made to the clerk of the scales or the stewards before or immediately after the jockey has been weighed in.

11 Ill. Adm. Code 1417.40 Proof of Qualifications

Proof of the qualifications of any horse against which a protest has been lodged, as provided in these rules, may be demanded by the stewards, and in default of such proof being given, they may declare the horse disqualified.

11 Ill. Adm. Code 1417.50 Objection to Clerk of Scales Decision

Objections to any decision of the clerk of the scales must be made within 15 minutes of the start of the race, if, in the opinion of the stewards, the circumstances did not permit longer notice.

11 Ill. Adm. Code 1417.60 Time Limit on Objections

Objections to a horse, based on what occurred in a race, must be made before the numbers of the horses placed in the race have been officially confirmed.

11 Ill. Adm. Code 1417.70 Frivolous Complaints

Owners and trainers who make frivolous complaints may be fined.

11 Ill. Adm. Code 1417.80 Erroneous Awards

If by reason of an objection to a horse, a race or place is erroneously awarded to another horse, the owner so wronged is entitled to the money of which he was deprived, and in case of default, the stewards shall disqualify the owner who retains the money.

11 Ill. Adm. Code 1417.90 Pending Decisions

Pending a decision based on an objection, any purse which the horse against which the objection is lodged may have won or may win in the race, or any money held by the racing secretary as the price of a horse claimed or bought in a selling race (if involved in the determination of the case), shall be withheld until the objection is determined.

11 Ill. Adm. Code 1417.100 Race in Dispute

When a race is in dispute, both the horse which finished first and any horse for which the race is claimed shall be liable to all penalties attaching to the winner of that race until the matter is decided.

11 Ill. Adm. Code 1417.110 Fraud and Deception

In all cases of fraud or wilful deception, the time limitations shall not apply, provided the stewards are satisfied that the allegations are bonafide and are susceptible to verification. The stewards may, on their own initiative, call for proof that a horse neither is disqualified in any respect, nor nominated by, nor the property, wholly or in part, of a disqualified person. In default of such proof, they may declare the horse disqualified.

11 Ill. Adm. Code 1417.120 Withdrawing Objections

Permission of the stewards is necessary before an objection can be withdrawn.

11 Ill. Adm. Code 1417.130 Cost of Determination

a) Persons lodging an objection must pay all the costs and expenses incurred in determining the objection, in such proportions as the stewards shall decide, unless relieved from such expense by the Board.

b) Before considering an objection, the stewards may require a cash deposit of $50., which may be forfeited if the objection is held to be frivolous or vexatious.

11 Ill. Adm. Code 1417.140 Complaints Against Officials

Complaints against an official or officials shall be made to the stewards in writing signed by the complainants. All such complaints shall be reported to the Board, together with the action taken on them by the stewards.

Part 1420 Employment

11 Ill. Adm. Code 1420.10 Minimum Age

Except for summer employment, properly certified by school authorities, and in such other cases in the discretion of the Stewards, no person who has not attained the age of sixteen years shall be employed within the confines of any race track operator by said operator or by any owner, trainer, or other licensee, licensed by the Board.

11 Ill. Adm. Code 1420.20 Violation of Age Limit

Any owner, trainer or race track operator employing a person in violation of the foregoing rule is liable to a fine of not exceeding $200, and if such employment is continued after notice to desist has been served on him by the Board, the offender may be ruled off or otherwise less severely punished, as the Board may decide.

11 Ill. Adm. Code 1420.30 Unlicensed Employees

Any owner, trainer, or other licensee, licensed by the Board, who shall employ an exercise boy, groom, or other stable employee, who is not licensed by the Board, shall be subject to suspension by the stewards, and the case be referred to the Board.

Part 1422 Corrupt Practices

11 Ill. Adm. Code 1422.10 Disbarment of Officials

No one interested in the result of a race either because of ownership of any horse entered or because of bets or other material interest such as might accrue in a futurity or produce stake, shall act as judge, starter or official therein; for any violation of this rule, the guilty person or persons may be suspended or ruled off.

11 Ill. Adm. Code 1422.20 Bribes to Officials

Every person committing the following offenses shall be ruled off:

a) If any person gives or offers, or promises to directly or indirectly bribe in any form any person having official duties in relation to any race or race horse, or to any trainer, jockey or agent, or to any other person having charge of, or access to, any race horse; or

b) If any person having official duties in relation to a race, or if any trainer, jockey, agent or other person having charge of, or access to, any race horse, accept, or offer any bribe in any form; or

c) Wilfully enter, or cause to be entered, or to start for any race a horse which he knows or believes to be disqualified; or

d) If any person be guilty of, or shall conspire with any other person for the commission of, or shall connive with any person being guilty of, any corrupt or fraudulent practice in relation to racing in this or any other country.

11 Ill. Adm. Code 1422.30 Betting by Assistant Starters and Other Employees

No assistant starter or track employee having duties in relation to a race may wager money or other valuable thing on the result of a race.

11 Ill. Adm. Code 1422.40 Fraudulent Practices

Every person committing the following offenses shall be ruled off:

a) If any person fraudulently offers or receives any amount of money for declaring an entry out of a purse or stake; or

b) If any person is a part owner or trainer of a horse in which a jockey has any interest; or

c) If any person makes a bet with or on behalf of a jockey, unless it be a bet by the owner on a horse that the jockey is riding; or

d) If any person offers or gives to any jockey any money, reward, or present in connection with the riding of any race by said jockey, unless said person is the employer of or the owner or trainer of the horse the jockey is riding; or

e) If any jockey accepts a mutuel ticket or makes a bet on any horse other than the one he rides; or

f) If any person be guilty of any other corrupt or fraudulent practice on the turf, in this or any other country.

11 Ill. Adm. Code 1422.50 Intentional Foul

If the stewards at any time are satisfied that the riding of any race was intentionally foul, or that any jockey was instructed or induced so to ride, all persons guilty of complicity shall be suspended and the case shall be reported to the Board for such action as it may deem necessary.

11 Ill. Adm. Code 1422.60 Disqualified Horse

Any horse that has been the subject of fraudulent practice may be disqualified, the stewards of the meeting disqualifying the horse for no longer period than the duration of the meeting and reporting the circumstances to the Board for such action as it may deem proper.

11 Ill. Adm. Code 1422.70 Jockey Interest in Horse

Any person knowingly acting in the capacity of part owner or trainer of any horse in which a jockey possesses any interest or making any bet with or on behalf of any such jockey, shall be suspended and his case reported to the Board for such further action as it may deem necessary.

11 Ill. Adm. Code 1422.80 Foreign Book

No operator giving a race meeting under license issued by the Illinois Racing Board shall permit bets to be made on the grounds of said operator on any race run outside of the grounds, and no foreign book or gambling device of any kind shall be permitted on said grounds.

11 Ill. Adm. Code 1422.90 Handbooks

Anyone guilty of making a handbook on the grounds of any operator licensed by the Board, shall be ejected from the grounds, and denied further admission thereto. Any person interested in any horse at said meeting who shall be guilty of betting with or through any such handbook, shall be ejected from the grounds or denied admission by order of the stewards.

11 Ill. Adm. Code 1422.100 Touting

If any trainer, jockey, stable employee or other person solicits bets from the public by correspondence or other methods, to be made on a horse in any stable, such person or persons so offending shall be ruled off the course or denied admission by the stewards.

11 Ill. Adm. Code 1422.110 Offering a Bribe

Any person who, with intent to influence any person participating in, officiating or connected with any professional or amateur athletic contest, sporting event or exhibition, gives, offers or promises any money, bribe or other thing of value or advantage to induce such participant, official or other person not to use his best efforts in connection with such contest, event or exhibition shall be fined from $1,000 to $5,000 or imprisoned in the penitentiary from one to five years, or both.

(Editor's Note: This is a quote from Ill. Rev. Stat. 1979 ch. 38, par. 29-1 prior to its amendment by P.A. 77-2638. Current text makes this offense a class 4 felony).

11 Ill. Adm. Code 1422.113 Accepting a Bribe

Any person participating in, officiating or connected with any professional or amateur athletic contest, sporting event or exhibition who accepts or agrees to accept any money, bribe or other thing of value or advantage with the intent, understanding or agreement that he will not use his best efforts in connection with such contest, event or exhibition shall be fined from $1,000 to $5,000 or imprisoned in the penitentiary from one to five years or both.

(Editor's Note: this is a quote from Ill. Rev. Stat. 1979 ch. 38, par. 29-1 prior to its amendment by P.A. 77-2638. Current text makes this offense a class 4 felony).

11 Ill. Adm. Code 1422.117 Failure to Report Offer of Bribe

Any person participating, officiating or connected with any professional or amateur athletic contest, sporting event or exhibition who fails to report forthwith to his employer, the promoter of such contest, event or exhibition, a peace officer, or the local State's Attorney any offer or promise made to him in violation of section 29-1 shall be fined not to exceed $500 or imprisoned in a penal institution other than the penitentiary not to exceed one year or both.

(Editor's Note: This is a quote from Ill. Rev. Stat. 1979 ch. 38, par. 29-1 prior to its amendment by P.A. 77-2638. Current text makes this offense a class 4 felony)

11 Ill. Adm. Code 1422.120 Goading Devices

No appliances, electrical, mechanical or chemical, other than the ordinary whip shall be used for the purpose of stimulating a horse or affecting his speed in a race. Spurs may be employed during workouts or training periods. Every person so offending may be ruled off or otherwise penalized.

History

• Source: Amended at 18 Ill. Reg. 17730, effective November 28, 1994

11 Ill. Adm. Code 1422.125 Firearms

No person, except track security personnel and law enforcement officials while engaged in the performance of their official duties, shall possess or discharge any firearm within any race track enclosure.

Part 1424 Regulations for Meetings (thoroughbred)

11 Ill. Adm. Code 1424.10 Illinois Racing Board Right of Entry

All members of the Illinois Racing Board and its representatives shall have the right of entry at any and all points and places on the grounds and at the buildings of the operator.

11 Ill. Adm. Code 1424.20 Office for Racing Board

Each operator shall provide within its grounds a suitable office for the use of the members of the Illinois Racing Board or any of its representatives.

11 Ill. Adm. Code 1424.25 Moving Offices (Repealed)

History

• Source: Repealed at 9 Ill. Reg. 9166, effective May 30, 1985

11 Ill. Adm. Code 1424.40 Inspections and Searches (Repealed)

History

• Source: Repealed at 32 Ill. Reg. 16502, effective October 1, 2008

Chapter I Illinois Racing Board

Subchapter g Rules and Regulations of Horse Racing (thoroughbred)

Part 1424 Regulations for Meetings (thoroughbred)

11 Ill. Adm. Code 1424.45 Investigative Authority

The Chief Investigator of the Illinois Racing Board and Special Agents of the Illinois Bureau of Investigation, or other designees of the Department of Law Enforcement assigned to assist the Chief Investigator, shall have the authority to conduct investigations concerning all matters within the jurisdiction of the Illinois Racing Board.

History

• Source: Added October 25, 1973, filed November 26, 1973

11 Ill. Adm. Code 1424.50 Allocation of Stalls

a) No race track operator shall allocate stalls except pursuant to a written stall application and agreement, the form of which shall have been approved by the Board. The racing secretary shall be responsible for stall allocation unless some other official is substituted by the race track operator to perform such function and the Board notified thereof.

b) The racing secretary shall give each applicant written notice specifying whether his application, with respect to each stall requested, has been accepted, denied or placed in a pending status. Such notice shall be given not later than five days prior to the start of the meeting or ten days after receipt of the stall application, whichever shall be last to occur.

c) Within ten days after initial notification is required by this rule, final action shall be taken and written notice thereof given with respect to any stall application originally placed, in whole or in part, in a pending status.

d) The racing secretary's view of the best interests of racing and of the meeting in question shall govern his actions on stall applications, and he shall be allowed broad discretion in performing this function. Nevertheless:

1. No action on a stall application shall be based upon –

A) the race, color, creed, religion, national origin or sex of the applicant, or

B) an arbitrary or capricious decision, or a decision not related to any reasonable view of the best interests of racing or of the meeting in question.

2. No stall allocation shall be conditioned upon the payment, transfer or delivery to the racing secretary, or to any other person designated by him, of any money, property or other thing of value or upon the applicant's promise to make such payment, transfer or delivery.

e) Any owner, trainer or other person believing himself to be aggrieved by a violation of this rule may file a written complaint with the Board which shall conduct a hearing with respect to the alleged violation. If the Board determines that such a violation has occurred, it may impose a fine upon the race track operator not to exceed $500 for each violation, may order that stalls be allocated to the complainant and may take such other action as it deems appropriate. In order to facilitate the conduct of inquiries into alleged violations of this rule, the racing secretary shall cause all stall applications, stall agreements, correspondence and other related material to be retained until the close of the meeting or for such longer period as the Board may direct.

f) In passing upon stall applications that are of substantially equal merit, the racing secretary shall give preference to applications submitted with respect to horses owned by Illinois residents.

g) Acceptance of an application for stall space for any horse shall be conditioned upon proof of a negative AGID (Coggins) test for equine infectious anemia.

History

• Source: Amended October 25, 1974, filed November 7, 1974

11 Ill. Adm. Code 1424.55 Agid (coggins) Test (repealed)

History

• Source: Repealed at 31 Ill. Reg. 16536, effective December 1, 2007

11 Ill. Adm. Code 1424.60 Distance Poles

All distance poles shall be of standard color and designations, namely:

Quarter poles – red and white

Eighth poles – green and white

Sixteenth poles – black and white

History

• Source: Amended October 25, 1974, filed November 7, 1974

11 Ill. Adm. Code 1424.70 Arrivals, Departures and Stabling

a) All horses arriving at or leaving a race meeting must be registered at the gate with a gateman or platform attendant, complete information regarding such arrival or departure to be set forth on a printed form.

b) Any horse racing at a licensed meeting must be stabled within the confines of that track; provided, however, in case of necessity, such horse may be stabled within the confines of an adjacent Illinois race track or in another location approved by the Board. The operator holding the meeting shall provide a receiving barn and temporary stabling for horses eligible to race, which are brought to the races from approved outside stable space.

c) Race track operators shall number each stall where horses are quartered.

History

• Source: Amended October 25, 1974, filed November 7, 1974

11 Ill. Adm. Code 1424.80 Departure Slips

A departure slip must be signed in duplicate by a steward or his duly authorized representative, one being held by the gateman and one by the stewards' office before horses can be moved off grounds.

History

• Source: Amended October 25, 1974, filed November 7, 1974

11 Ill. Adm. Code 1424.90 Horse Ambulance

There shall be a horse ambulance at all race tracks under the jurisdiction of the Board for the safe and expedient removal of crippled animals from the track. Horse ambulances must be equipped with a screen for use when an animal must be destroyed in view of the general public, a winch to lift dead or injured animals on to the ambulance, and a removable floor or other satisfactory device for the safe loading of a recumbent horse. Drugs for use by the State Veterinarians, when emergency medication is required, shall be stored in a locked box under their continuous, direct supervision.

History

• Source: Amended at 41 Ill. Reg. 4350, effective April 7, 2017

11 Ill. Adm. Code 1424.100 Races Per Day (Repealed)

History

• Source: Repealed at 16 Ill. Reg. 11193, effective June 25, 1992

Chapter I Illinois Racing Board

Subchapter g Rules and Regulations of Horse Racing (thoroughbred)

Part 1424 Regulations for Meetings (thoroughbred)

11 Ill. Adm. Code 1424.110 Extra Races

No additional races on a racing date will be permitted without the written approval of the Secretary of the Board, and subject to conditions by the Board.

History

• Source: Amended July 12, 1974, filed July 22, 1974

11 Ill. Adm. Code 1424.120 Clockers

a) The operator shall employ an experienced clocker or clockers, approved by the stewards, who shall in the line of his or their duties, keep an actual record of all workouts, trials, gallops and speed tests, or any "morning races" on the track of said operator or on any track used as a training place for horses eligible to be entered at said race meeting, and said clocker shall, without delay, present his records to the handicapper or racing secretary and a copy thereof shall be delivered into the possession of the stewards; the racing secretary shall have a true copy of said records immediately available to all newspapers and recognized publications for the purpose of disseminating said information.

b) All trainers desiring to work out a horse must identify the horse by name to such clocker or clockers or his representative and give the distance of the workout. No horse and rider shall enter the track who has not provided the stated information. Horsemen improperly identifying horses coming onto the track shall be subject to fine and/or suspension by the stewards.

History

• Source: Amended April 11, 1974, filed April 30, 1974

11 Ill. Adm. Code 1424.125 Outriders

The operators shall furnish a licensed outrider who is to be on duty and suitably mounted each day during the hours when main tracks are open for exercising horses.

11 Ill. Adm. Code 1424.140 Safety Rails

All thoroughbred organizations shall install interior rails designed to ensure the safety of jockeys and horses and which are suitable to the Board. Any gooseneck rail shall have an adequate covering.

History

• Source: Added at 14 Ill. Reg. 20545, effective December 7, 1990

11 Ill. Adm. Code 1424.150 Backstretch Paging System

Each organization shall have in place a suitable backstretch paging system. A suitable backstretch paging system includes, but is not limited to, a system which has adequate equipment to reach all areas of the backside.

History

• Source: Added at 14 Ill. Reg. 20545, effective December 7, 1990

11 Ill. Adm. Code 1424.160 Camera

a) All operators shall take and make at their own expense a complete recording of all races run. The number and location of recording stations, the type of equipment used and the quality of the image must be satisfactory to the state steward. The state steward shall certify to the Board three days prior to the opening of any meeting, in writing, that he approved of the recording system, and believes it to be adequate. No system shall be so certified unless it can deliver the recording of the race within two minutes of the finish of that race.

b) These recordings shall be under the control of the state steward and shall not be shown to other persons without his permission.

c) Operators shall hold all recordings from one year from the final date of the race meeting at which they were made. Operators shall hold for five years all recordings in which there is an infraction or claim of foul and such other recordings as the state steward shall designate.

d) In order to educate and protect the jockeys, operators shall provide facilities where recordings may be shown to the jockeys. Under the supervision of the stewards, recordings of the previous day's racing shall be shown each racing day to all jockeys riding in the previous day's program.

11 Ill. Adm. Code 1424.170 Emergency Medical Services

Each organization licensee shall submit its emergency medical services plan to the Board, for the Board's approval, thirty (30) days prior to the start of its meet. The plan shall include all information relative to emergency medical services to be provided to racing participants and patrons, including but not limited to the name of any resource hospitals, agreements with any ambulance services (private and municipal), and the number and certification level of all emergency medical technicians. In approving an emergency medical service plan the Board shall consider the proximity of the racetrack to its resource hospital, the size of the racetrack, and the type of racing to be conducted at the racetrack. Each plan shall also be certified by the Illinois Department of Public Health, Division of Emergency Medical Services.

History

• Source: Amended at 17 Ill. Reg. 3038, effective February 23, 1993

11 Ill. Adm. Code 1424.175 Manned Ambulance (Repealed)

History

• Source: Repealed at 17 Ill. Reg. 3038, effective February 23, 1993

Chapter I Illinois Racing Board

Subchapter g Rules and Regulations of Horse Racing (thoroughbred)

Part 1424 Regulations for Meetings (thoroughbred)

11 Ill. Adm. Code 1424.180 Policing of Premises

The race track operator shall provide a sufficient number of guards and also watchmen to maintain order on all parts of the racing enclosure. No tipsters shall be allowed on any part of the licensed premises. No groom or stable attendant shall loiter in the betting ring or any place else with the evident intention of making tips for remunerations or for free. Anyone so found shall be brought to the stewards and his identification shall be taken up. Said offender will then be excluded from the premises. A written report shall be made by the stewards to said offender's employer; any employer continuing to harbor or employ any such person so reported, will be suspended, at the discretion of the stewards.

History

• Source: Amended at 4 Ill. Reg. 41, p. 164, effective September 26, 1980

11 Ill. Adm. Code 1424.190 Stable Area Security

Each race track operator shall furnish gatemen and night watchmen for all stable enclosures. The operator shall furnish to the state steward a complete tabulation showing name, duty, place stationed and portions of enclosures supervised by such gatemen and night watchmen. In the event horses are stabled outside the race track, that are eligible to race at a meeting of the race track operator, the same precautions and reports shall apply.

11 Ill. Adm. Code 1424.200 Stable Area Security

The race track operator shall also employ a sufficient number of guards to patrol the stable areas and make investigations.

History

• Source: Amended at 4 Ill. Reg. 41, p. 164, effective September 26, 1980

11 Ill. Adm. Code 1424.210 Security Reports

Every person in charge of security at each race track shall submit a report each day of all incidents involving arrests and ejections, and all information relating to any criminal conduct, suspected or real, or any violation of the Rules and Regulations of the Illinois Racing Board. Such report shall be submitted to the Illinois Racing Board, the State Steward, and the Chief Investigator of the Illinois Racing Board. At the discretion of the person in charge of security, matters of a confidential nature may be designated confidential and reported separately to the Chief Investigator for investigative purposes.

History

• Source: Added October 25, 1973, filed November 26, 1973

11 Ill. Adm. Code 1424.220 Night Patrol

A nightly report shall also be given by the officer in charge of the night force stating in detail any disturbances, drunkenness, or disorderly conduct in and about the backstretch and stable area, giving in detail the names, badge numbers and license numbers of any person committing any offense whatsoever.

11 Ill. Adm. Code 1424.230 Telephones

Telephone use shall be disallowed in the paddock area, except under direct supervision of the Board or its delegates.

History

• Source: Amended at 14 Ill. Reg. 20545, effective December 7, 1990

11 Ill. Adm. Code 1424.240 Calls Through Switchboard (Repealed)

History

• Source: Repealed at 14 Ill. Reg. 20545, effective December 7, 1990

Chapter I Illinois Racing Board

Subchapter g Rules and Regulations of Horse Racing (thoroughbred)

Part 1424 Regulations for Meetings (thoroughbred)

11 Ill. Adm. Code 1424.250 Races for Illinois Horses

a) Organization licensees shall provide at least two races each day limited to Illinois conceived and foaled horses or Illinois foaled horses or both by scheduling at least two such races each day in their condition books. At least one of such races shall be a regularly scheduled race and not a substitute or extra race.

b) Organization licensees shall make every effort to conduct at least one Illinois conceived and foaled or Illinois foaled race each day. If however such race fails to fill, the organization licensee shall make up this deficiency within four racing days. Provided further that in the event that an organization licensee has conducted more than one Illinois conceived and foaled or Illinois foaled race per day during the preceding six racing days, said licensee will not be required to make up for a day in which it was unable to fill an Illinois conceived and foaled or Illinois foaled race. Whenever a race for Illinois conceived and foaled horses or Illinois foaled horses or both is eliminated for any one day, the Racing Secretary shall make a written report to the Board.

c) Each proper Illinois foaled or Illinois conceived and foaled race which the licensee fails to hold or make up shall be a separate and distinct violation of this rule and of Section 30(c) of the Illinois Horse Racing Act of 1975 (Ill. Rev. Stat. 1989, ch. 8, par. 37-30(c))

d) The purse value for an Illinois foaled or Illinois conceived and foaled race shall be no less than the purse value provided for races for open competition horses of the same class running under similar conditions.

e) Within seven days after the commencement of any racing meeting, the racing secretary shall prepare and maintain for inspection by the Board a record of all Illinois foaled and Illinois conceived and foaled horses occupying stalls at the track at which the licensee is conducting its meeting. The list shall include information as to the age, sex, quality, and racing classification (e.g., Maiden, etc.) of each horse and the sire and dam of each horse.

f) In addition to the other requirements of this rule, each licensee shall use its best efforts to schedule lead up races and races for the better class horses, provided that each licensee shall schedule no less than the following races each week for Illinois foaled or Illinois conceived and foaled horses:

1. After June 1st of each year, one race for 2 year old Maidens (Allowance Race)

2. One race for 3 year old and up Maidens (Allowance Race)

3. One race for 3 year old and up Maidens and winners of one race (Winners preferred) (Allowance Race).

4. After July 1st of each year, one race for 2 year old Maidens and winners of one race (Winners preferred) (Allowance Race).

History

• Source: Amended at 16 Ill. Reg. 7493, effective April 24, 1992

11 Ill. Adm. Code 1424.260 Breeder Awards

Section 37j-10 of the Illinois Horse Racing Act is incorporated in these rules, which section reads in part as follows:

"Provided further, that, to encourage the breeding of horses in the State of Illinois, a sum equal to 10 per cent of the winning purse of every race won by an "Illinois bred" horse shall be paid by the operator conducting the horse racing meeting to the breeder of the animal. The amount so paid to any breeder shall be taken from the operator's share of the money wagered and shall in no event reduce the amount of privilege taxes payable under this act. The amount so paid by the operator shall be paid at the end of each racing meet. An "Illinois bred" horse within the meaning of this section is deemed to be a foal dropped in the State of Illinois. The "breeder" as used herein, means the owner of the mare at time foal is dropped. The Illinois Racing Board shall provide for the registration of all "Illinois bred" horses. No horse shall be allowed to compete in an "Illinois bred race" unless the horse is so registered."

(Editor's Note: Quoted language has been repealed. See Section 30(j) of Illinois Racing Act of 1975 (Ill. Rev. Stat. 1979 ch. 8, par. 37-30(j))

11 Ill. Adm. Code 1424.270 Admission to Parts of Premises

a) Only the following listed persons shall be entitled to enter the stable area of a race track operator: members, officers and employees of the Board who must show their identification cards; management and employees performing duties therein; racing officials; police officers; owners, trainers, grooms and others performing duties in the stable area and who possess a valid license from the Board.

b) Except that the race track operator may authorize the entry of other persons, subject to the following minimum conditions:

1. that such authorized persons be required to sign a daily guest log, and record the time of entry and the time of departure;

2. that such authorized persons be required to indicate the name of the person whom they are visiting.

c) The race track operator shall adopt such rules and procedures as deemed necessary to protect the security of the stable area and to prevent the entry of unauthorized persons to that portion of the premises.

d) Any person violating this rule shall be evicted from the licensed premises by the race track operator and thereafter denied admission as a patron or otherwise to any portion of the licensed premises.

History

• Source: Amended March 14, 1975, filed and effective March 27, 1975

11 Ill. Adm. Code 1424.280 Stable Areas Fenced

All such stable enclosures must be properly fenced and admission granted only on proper license or credentials actually shown to the gateman.

11 Ill. Adm. Code 1424.290 Merchandise Selling

The operator shall supervise the practice and methods of so-called merchandise peddlers who may have entry to the track enclosure to solicit among the employees engaged at the track; and such supervision shall be extended to any other tracks where horses are lodged who may be eligible to race at said meeting; provided however, that the operator shall not by virtue of this rule or otherwise restrict the open purchasing or attempt to control or monopolize said business or proper selling of merchandise to owners, trainers or stable employees.

11 Ill. Adm. Code 1424.300 Tip Sheets

Unless authorized by the operator and by the Board, no printed material dealing with odds, horses or the races, shall be sold, peddled or given away within any part of the race track of said operator, its entrances, approaches or places within its control. The operator shall not grant permission to any tip sheet, pamphlet or other publication making false or unwarranted representations. Nothing herein contained shall be construed as applicable to any newspaper, periodical, weekly, or monthly magazine of general circulation.

11 Ill. Adm. Code 1424.310 Alcoholic Beverages

a) No operator shall sell or permit to be sold on its backstretch, or in any other area used by it for the stabling of horses, any alcoholic beverages, beer excepted.

b) No operator shall permit into or in its stabling area or in any other area used by it, any person under the influence of alcohol.

11 Ill. Adm. Code 1424.320 Jockey Quarters

Each operator shall pay particular care to the cleanliness, sanitation and the appearance of the jockeys' quarters to the end that they may be safe, sanitary and habitable at all times.

11 Ill. Adm. Code 1424.330 Water Supply and Washrooms

The operator shall furnish an adequate number of free drinking water fountains, comfort stations and washrooms throughout its grounds and buildings for the use of the public.

11 Ill. Adm. Code 1424.340 Drug Vendors

Every distributor or vendor of drugs or medication within the confines of a race track must register in writing with the Board.

11 Ill. Adm. Code 1424.350 Seven Day Rule

The race track operators, officials, horsemen, owners, trainers, jockeys, agents, grooms, platers, valets and all licensees, who have accepted with reasonable advance notice thereof the conditions under which a race meeting is planned to be conducted, shall, before they terminate or discontinue their employment, engagements or activities under such conditions, notify the Board and the respective interested persons, or operators at least seven days before such termination or discontinuance. The Board shall, upon notice to the parties in interest, conduct a hearing or hearings with respect to the matters involved. If the Board shall find that the cause of the termination or discontinuance of employment, engagements or activities is unreasonable, unlawful or contrary to the Rules and Regulations of the Board, or detrimental to the public interest or against the best interest of horse racing, or that the proper notice herein provided has not been given, it shall so advise all parties in interest and shall take such action against any offending parties as the Board in its discretion deems suitable. If the Board finds that the causes are reasonable, lawful and not contrary to the Rules and Regulations of the Board, and are not detrimental to the public interest or to the best interests of racing, and that proper notice has been served, the Board shall so advise all parties in interest and shall use its best efforts to settle any disputes between said parties.

11 Ill. Adm. Code 1424.353 Penalty for Violation of Rules

Any race track operator who violates any provision of the Rules and Regulations of Horse Racing or of the Illinois Horse Racing Act may be fined no more than $5000.00 for each such violation and/or may have said operator's license to conduct a horse racing meeting suspended or revoked.

History

• Source: Added August 8, 1973

11 Ill. Adm. Code 1424.355 Stall Availability Prior to Meet

Those applicants for racing dates which are allotted the first meetings for the thoroughbred racing season in any year, as a condition to their receiving their licenses to conduct racing meetings, shall make available to those horsemen who are to participate in such first meetings, and their horses, the backstretch and racing surface facilities at the race track at which such first meeting is to be conducted no less than three weeks prior to the commencement of such first meeting in the case of race tracks located within Cook County and no less than six weeks prior to the commencement of such first meeting in the case of race tracks located outside Cook County.

History

• Source: Added February 15, 1974, filed February 28, 1974

11 Ill. Adm. Code 1424.360 Notification of Change

a) Each organization licensee shall have the authority to change its hours of operation if the hours are different than provided in the licensee's racing dates application subject to notification to the Board. The notification shall be made in writing and submitted to the Board's central office at least 30 days prior to the anticipated change of hours of operation.

b) Each organization licensee shall have the authority to change prices charged for goods and services subject to notification to the Board. Goods and services shall include, but not be limited to, admission prices, parking fees and official racing programs and shall exclude food, beverages, and merchandise. The notification shall be made in writing and submitted to the Board's central office at least 30 days prior to the anticipated change.

c) Each organization licensee shall have the authority to change prices charged for wagering products (subject to Sections 26 and 26.2 of the Act) subject to notification to the Board. Wagering products shall include, but not be limited to, take-out or retention rates and minimum wager amounts. The notification shall be made in writing and submitted to the Board's central office at least 30 days prior to the anticipated change.

d) The Board may disapprove of any business practices by organization licensees identified in subsection (a), (b) or (c) if the Executive Director finds that such practices are detrimental to the public interest based upon industry standards (e.g., a national survey of comparable race tracks) or opposition from the public or interested parties. [230 ILCS 5/20.1]

History

• Source: Amended at 28 Ill. Reg. 6605, effective April 19, 2004

Chapter I Illinois Racing Board

Subchapter g Rules and Regulations of Horse Racing (thoroughbred)

Part 1424 Regulations for Meetings (thoroughbred)

11 Ill. Adm. Code 1424.370 Posting of Jockey Accident Insurance Coverage

a) Each organization licensee shall have on file with the Board a copy of the actual insurance policy and shall post in the jockeys' room a summary of the licensee's on-track insurance coverage for jockeys who are injured while acting in the performance of their duties as a jockey on the grounds of the licensee. Upon request, the licensee shall provide a copy of the insurance policy to any licensed jockey participating in the race meeting. Requests shall be made in writing to the licensee's General Manager.

b) In the event the insurance policy is changed during a race meeting, the licensee shall promptly post notice in the jockeys' room of any changes.

History

• Source: Added at 36 Ill. Reg. 12824, effective August 1, 2012

Part 1425 Discretionary Rules

11 Ill. Adm. Code 1425.10 Matters Not Covered in the Rules

If any case occurs which is not, or which is alleged not to be provided for in these rules, the matter shall be determined by the stewards or by the Illinois Racing Board, as the case may be, in such manner as they think to be just and conformable to the usages and best interests of the turf. The Board may punish independently any misconduct of any person connected with racing, or with the conduct of a race meeting.

11 Ill. Adm. Code 1425.20 Racing Rules Supersede Other Conditions

These Rules and Regulations or any other rule made by the Illinois Racing Board, supersede the conditions of a race or the regulations of a meeting when they conflict.

11 Ill. Adm. Code 1425.30 Board May Contract with Others

The Board may contract with racing authorities, race track operators or other bodies for the rendition of such advisory or other services as may be desired.

11 Ill. Adm. Code 1425.40 Rule in Accordance with Illinois Racing Act

These Rules and Regulations of racing are adopted in conformity to the provision of the Illinois Horse Racing Act in which the duties and powers of the Illinois Racing Board are described, defined and authorized, and the tax and revenue provisions are prescribed.

11 Ill. Adm. Code 1425.47 Power of the Secretary to Verify Pleadings (recodified)

History

• Source: Recodified to 11 Ill. Adm. Code 207.40 at 9 Ill. Reg. 11652.

11 Ill. Adm. Code 1425.50 Validity of Rules and Regulations

The invalidity of any rule or part of any rule, as heretofore prescribed, shall not effect the validity of any of the remaining rules of the Illinois Racing Board.

Part 1426 Night Racing

11 Ill. Adm. Code 1426.10 Rules Apply to Both Day and Night

All rules, regulations and conditions of the Illinois Racing Board shall govern both night and day racing.

11 Ill. Adm. Code 1426.20 Stewards' Hours

During each racing night the stewards shall assemble at the office building on the grounds of the operator, not later than three hours before post time of the first race, to exercise the authority and perform the duties imposed on them by the Rules and Regulations.

11 Ill. Adm. Code 1426.30 Lights on While Horses on Track

Lights used to illuminate the track shall be turned on immediately at the request of the State Steward. Lights shall not be turned on or off while a race is in progress or turned off while the horses are on the track.

History

• Source: Amended February 13, 1976, filed March 1, 1976

11 Ill. Adm. Code 1426.40 Lights in Stable Area

The stable area must be properly lighted, so that it will be entirely void of darkness in all sections. Lights will be turned on at dusk and they shall remain on until one hour after the last race.

11 Ill. Adm. Code 1426.50 Parking Area Lighted

Parking areas must be properly lighted, so they will be entirely void of darkness in all sections. Lights will be turned on at dusk and they shall remain on until one hour after the last race or until all cars have departed, whichever may first occur.

11 Ill. Adm. Code 1426.60 Schedule of Races

If for any reason the races scheduled for the night cannot be fulfilled by midnight, the stewards will cancel the remaining race or races and schedule them for another time.

11 Ill. Adm. Code 1426.70 Report of Admissions

All reports and records of admissions shall be in the hands of the Board not later than 8 p.m., the following day.

11 Ill. Adm. Code 1426.80 Night Races

To the times set forth in all rules dealing with day racing, six hours shall be added at such meetings where night racing is conducted.

Part 1428 Admissions and Credentials

11 Ill. Adm. Code 1428.10 Admissions Tax

a) The race track operator shall pay to the Board at such time or times as the Board shall prescribe, the sum of 15 cents for each person entering the grounds or enclosure of the race track operator upon a ticket of admission. If tickets are issued for more than one day, then the sum of 15 cents shall be paid for each person using the ticket each day that the ticket is used. No charge shall be made on tickets issued to and in the name of directors, officers, partners, agents or employees of the race track operator, or to owners, trainers and drivers and their employees, or to any person or persons entering the grounds for the transaction of business in connection with the race meeting. No charge shall be made on tax exempt tickets of admission issued by the Board.

b) Pursuant to subsection (a), the State Director of Mutuels shall direct and supervise the conduct of the admissions department during each race meeting. The State Director shall be empowered to direct the race track operator to adopt, subject to the approval of the Board, procedures, methods and systems as may be deemed necessary to ensure strict compliance with the rules and regulations of the Board.

c) Intertrack wagering location licensees shall pay to the Board, within 48 hours, any admission taxes due to local municipalities and counties.

d) The Board shall remit monthly any admission taxes due to local municipalities and counties.

History

• Source: Amended at 35 Ill. Reg. 8508, effective May 23, 2011

11 Ill. Adm. Code 1428.20 Admission Records

The race track operator shall keep accurate books and records showing total attendance, admissions, both paid and complimentary, the number of taxable and tax free admissions and the gross receipts from admissions for each racing day of a meeting. These books and records shall be open to the Board and its duly authorized representatives for examinations and checks to ascertain the amount of taxes due and whether or not such taxes have been paid.

11 Ill. Adm. Code 1428.30 Weekly Remittance of Tax

As prescribed by the Board, the admissions tax shall be paid to the Board weekly. The operator shall include a statement attested to by the operator's treasurer, comptroller or designee that itemizes admissions and admission tax payable using a form prescribed by the Board, showing the total attendance, the number of admissions (both paid and complimentary), and the number of taxable and tax free admissions for each day of the preceding week.

History

• Source: Amended at 41 Ill. Reg. 4355, effective April 7, 2017

11 Ill. Adm. Code 1428.40 Admission Statements

Each race track operator must prepare daily an itemized, certified admission statement showing:

a) A summary, separating clubhouse and grandstand, showing the number of fully paid admissions, complimentary admissions, service charge tickets and tax free admission for officials, corporation officers, press, horsemen, employees, racing officials and/or other persons entering on tax exempt admissions; also, the total amount from fully paid tickets, from complimentary or service charge tickets, and all other amounts received on account of admissions or taxes and the totals therefrom of the amount due the federal government and the amount due the state on account of the 40 cents admission ticket tax.

b) Such summary shall also include a report of the daily turnstile reconciliations with the actual count using number and location of turnstiles, with notations listing discrepancies, if any.

(Editor's Note: Section 25 of the Illinois Horse Racing Act of 1975 (Ill. Rev. Stat. 1979, ch. 8 par. 37-25) now provides for an admission tax of 15 cents instead of 40 cents)

11 Ill. Adm. Code 1428.50 Delivery of Reports

All such reports shall be delivered to the Board before 2 p.m. on the following day, when day programs are run, and before 6 p.m. on the following day, when night programs are run. The weekly reports previously mentioned shall be a complete consolidation of all daily reports.

11 Ill. Adm. Code 1428.60 Board Approval of Tickets and Credentials

The Secretary of the Board must approve all race track operators' proposed tickets and credentials before an order can be placed with a printer or supplier.

11 Ill. Adm. Code 1428.70 Control Numbers

All tax exempt tickets or credentials of admission for a race meeting shall be designed to include a serial or control number and code letter or number designating classification. These credentials and/or tickets are to be designed so that they cannot be used for admission more than once on any one racing day and applicable only to the current racing day.

11 Ill. Adm. Code 1428.80 Revocation of Tickets, Credentials

All tax exempt tickets and credentials shall carry in bold type: "Not transferable and will be revoked if transferred."

11 Ill. Adm. Code 1428.90 Notice of State Tax (repealed)

History

• Source: Repealed at 48 Ill. Reg. 18286, effective December 12, 2024

11 Ill. Adm. Code 1428.100 Credential and Ticket Specimens

The operator shall require each printer or other supplier to file with the Board certified copies of all manifests, showing serial number and the various types of admission tickets and credentials, including tax exempt and taxable, furnished to the track immediately after they are ordered.

11 Ill. Adm. Code 1428.110 Gate Cards

Each operator must file a certified gate card, showing in complete detail specimen tickets and credentials, with the Secretary of the Board at least 10 days before the opening of a race meeting. Said tickets and credentials must be approved by the Board Secretary before they can be sold or distributed by the operator.

11 Ill. Adm. Code 1428.120 Tax Exempt Credentials

The racing secretary shall issue tax exempt credentials of admissions only to those persons showing a current license or receipt therefore, and such others as may be authorized by the Secretary of the Board.

11 Ill. Adm. Code 1428.130 Report on Tax Exempt Credentials (Repealed)

History

• Source: Repealed at 14 Ill. Reg. 17633, effective October 16, 1990

Chapter I Illinois Racing Board

Subchapter g Rules and Regulations of Horse Racing (thoroughbred)

Part 1428 Admissions and Credentials

11 Ill. Adm. Code 1428.140 Concessionaires, Employees Credentials

Designated employees and officials of the race track operator may issue tax exempt credentials for employee admission, subject to requirements, restrictions and limitations as set forth in each respective classification as follows:

a) Regular employees' tax exempt admission credentials shall be issued only to persons directly on the operator's payroll, and actively employed during the race meeting.

b) Concessionaire tax exempt admission credentials shall be issued only to persons actually on concessionaire payroll and working during the race meeting. Concession tax exempt employee credentials shall be issued only with the use of a large round identification button, provided by the concessionaire, showing the employee's concession number and name. Said button shall be attached to garment and prominently worn.

11 Ill. Adm. Code 1428.150 Requisitions for Passes

a) Designated employees and officials of the operator and in behalf of the operator, must file requisitions with the secretary of the Board in order to obtain authorization for the issuance of tax exempt tickets or credentials of admission to members of the working press, service employees, officials, and to persons having official business at the track during a race meeting. Said requisition prescribed by the secretary of the Board shall be submitted in duplicate under the signature of the head of the department along with duplicate listing of passes requested, and shall be subject to approval by the secretary of the Board.

b) The following requirements, restrictions and limitations shall be observed in the issuance of tax exempt admission credentials in the classification as hereinafter set forth.

1. Service employees' tax exempt admission credentials shall be issued only to persons actually engaged in providing service at a race meeting for a contractor, service company, public utility or others employed during a race meeting. Request for credentials must be made on purveyor's official stationery under duly authorized signature setting forth the name of each such employee, duties and justification for each pass requested.

2. Business tax exempt admission credentials may only be issued to persons having official business at the track during racing hours and not classified as service employees. Requests for such credentials must be made on company or agency official stationery under the signature of ranking official, setting forth the name of each person for whom a pass is requested, along with duties and justification.

3. Press tax exempt credentials may only be issued to members of the working press when requested on the publications' official stationery under the signature of the editor or manager. All requests shall be subject to limitations based on circulation.

4. Official tax exempt credentials may only be issued to corporate officials and directors of the track, racing officials and to such others which are supported with proper justifications.

11 Ill. Adm. Code 1428.160 Tax Exempt Credentials Report (Repealed)

History

• Source: Repealed at 14 Ill. Reg. 20042, effective December 4, 1990

Chapter I Illinois Racing Board

Subchapter g Rules and Regulations of Horse Racing (thoroughbred)

Part 1428 Admissions and Credentials

11 Ill. Adm. Code 1428.170 Summary of Tickets and Credentials

A summary shall be prepared by the operator and/or employees of the Board indicating by classification the amount of tax exempt tickets or credentials printed, issued, voided and on hand in each instance. Said summaries are to be submitted to the Board on the closing day of each racing meet.

11 Ill. Adm. Code 1428.180 Track Responsible for Credentials

a) The operator and his duly appointed issuing agents and/or employees issuing tax exempt credentials in behalf of the Board shall be held accountable for all tax exempt tickets and credentials received, issued, voided and on hand until the final audit has been completed by representatives of the Board.

b) All unissued and voided tax exempt tickets and credentials shall be retained until they are released by the Secretary of the Board. Upon release, they are to be destroyed by burning.

11 Ill. Adm. Code 1428.190 Board Access to Records

a) Representatives of the Board shall have access to all payrolls and other supporting evidence to verify the eligibility of all holders of tax exempt credentials.

b) The operator shall be subject to the payment of 15 cents State tax on all disallowed tax exempt credentials, issued, requisitioned or unaccounted for by the operator. Additional assessment for unaccounted and disallowed tax exempt credentials will be computed on the basis of 15 cents for each such ticket multiplied by the number of racing days granted to the operator or on a daily usage basis if certified to by a Certified Public Accountant. See 230 ILCS 5/25(a).

History

• Source: Amended at 48 Ill. Reg. 18286, effective December 12, 2024

11 Ill. Adm. Code 1428.200 Turnstiles and Electronic Scanning Devices

All gates for the admission of patrons shall have turnstiles equipped with meters or electronic scanning devices, and the turnstiles or electronic scanning devices must be numbered consecutively or have other means of individual identification. The race track operator shall test the equipment at the opening of each racing day. The test is to be made under the supervision and direction of the Board or such agents as the Board may appoint. A daily reconciliation is to show a beginning reading and final reading of each device, the total admitted, and also a classified breakdown of all types of admittance. The operator must employ methods, subject to the approval of the Board, to record serial numbers and code letters or numbers each day a tax exempt ticket or credential is used for admittance, in order to substantiate all tax exempt admissions.

History

• Source: Amended at 31 Ill. Reg. 15103, effective November 1, 2007

11 Ill. Adm. Code 1428.210 Admission to Track

a) No person shall be admitted to any race track after the admission gates have been manned and until the sixth race is run, except by tax exempt credentials or the payment of 15 cents State tax. See 230 ILCS 5/25(a).

b) The operator must employ methods and procedures in coordination with the start of manning admission gates each day to conduct a thorough check of admission enclosure areas allowing only those persons to remain who produce tax exempt credentials of admission. All others shall be escorted to the gate and readmitted only through turnstiles on admissions subject to 15 cents State tax.

History

• Source: Amended at 48 Ill. Reg. 18286, effective December 12, 2024

11 Ill. Adm. Code 1428.220 Revocation of Credentials

a) It shall be the duty of each operator to revoke and take up all tax exempt tickets and/or credentials immediately of all employees who have been terminated or leave employment and all others whose admission credentials have been revoked by the track operator, and/or the Board. All such tickets and/or credentials shall be submitted to the Board's admission revenue representative.

b) Two copies of each revocation order, prescribed by the Board, duly signed by the head of the department authorizing revocation, shall be submitted to the Board's admission revenue representative. Said order shall state reasons for revocation.

11 Ill. Adm. Code 1428.230 Admissions for Licensees

All persons licensed by the Board who are engaged in the activities at a race meeting for which they are licensed shall be entitled to a tax exempt admission credential under the classification of license issued. If any person is licensed in more than one classification, only one admission credential shall be issued regardless of multiple licensing.

11 Ill. Adm. Code 1428.240 Intertrack Wagering Location Licensee Admission Fees

a) Each intertrack wagering location licensee that is subject to an admission fee pursuant to Section 27 of the Illinois Horse Racing Act of 1975 [230 ILCS 5/27] shall remit such fees to the Board within 48 hours after receipt.

b) Each intertrack wagering location licensee may install turnstiles to determine the total number of patrons admitted to its facility each day. Said turnstiles shall conform to the provisions of Section 1428.200. In the absence of per capita collection upon patron admission, each intertrack wagering location licensee shall calculate its daily patron attendance by dividing its daily handle by the intertrack per capita wager as published in the most recent Illinois Racing Board Annual Report.

History

• Source: Added at 17 Ill. Reg. 14049, effective August 16, 1993

Part 1429 Every Employee Identified

11 Ill. Adm. Code 1429.10 Every Employee Identified

Every employee of the Mutuel Department as well as every other employee of the operator, or the place of his employment, shall be so designated by number or name, that easy identification may be made by the public.

Part 1437 Disclosure Rules

11 Ill. Adm. Code 1437.10 Written Disclosure

Prior to November 1 of any year, all officers, directors, creditors, and substantial owners of any beneficial interest of every association, corporation or other business entity desiring to hold or conduct a race meeting within the State of Illinois during any calendar year shall make a written disclosure on forms prescribed by the Board for approval of their participation in racing in the State of Illinois. Such forms shall be submitted under oath as prescribed in the form. A person owning 5 per cent or more of the equity of an applicant for racing dates shall be considered a substantial owner for the purposes of this rule. A person extending credit for more than one year or extending credit in excess of $10,000 for less than one year, but more than 30 days, shall be considered a creditor for purposes of this rule, provided that, a horseman to whom moneys are owed as reflected in accounts maintained by the horsemen's bookkeeper shall not be considered a creditor.

(Editor's Note: Section 20 of the Illinois Horse Racing Act of 1975 (Ill. Rev. Stat., 1979 ch. 8, par. 37-20) now requires applications for horse race meetings to be filed prior to September 1, instead of November 1)

11 Ill. Adm. Code 1437.30 Written Disclosure for Corporations

Where a corporation owns 25 per cent or more of the equity of an applicant for dates, holders of 10 per cent or more of its capital stock shall make written disclosure under these Rules and Regulations on the forms prescribed; provided, however, that this rule shall not apply to any corporation, the securities of which are registered with the Securities and Exchange Commission pursuant to the Securities Act of 1933 and the rules and regulations issued thereunder. Corporations qualifying under this exemption shall file with the Board copies of all papers filed with the Securities and Exchange Commission.

11 Ill. Adm. Code 1437.40 Notice of Changes

Within 10 days after election, appointment or acquisition of substantial ownership, or extending of credit, the Board shall be notified of the identity of each new officer, director, or substantial owner, or creditor of a race track operator. Each new officer, director, substantial owner, or creditor shall make a written disclosure to the Board on forms prescribed by the Board for approval of their participation in racing in Illinois.

11 Ill. Adm. Code 1437.50 Disclosure for Associates of Applicant

a) The Board may determine that any person or entity associated or affiliated with any applicant for or race track operator shall make written disclosure for approval or supervision of their participation in racing in the State of Illinois.

b) It shall be agreed expressly in each application for racing dates, and shall be a condition of granting any application, that the applicant and all persons associated with the applicant shall furnish all information requested or subpoenaed by the Board.

11 Ill. Adm. Code 1437.60 Written Disclosure to Participate in Racing

a) A person making or requested to make written disclosure for approval or supervision of his participation in racing in Illinois under these rules shall expressly agree in writing on the prescribed form to disclose all information which the Board may at any time request.

b) All such persons shall be expected to adhere to the standards of conduct applicable to persons working at tracks in Illinois.

c) The fact that a person making or requested to make written disclosure is an officer, director, employee, partner, or owner of an illegal gaming or gambling operation, institution or business is inconsistent with the granting of racing dates to the applicant with which he is associated or affiliated.

d) The fact that a person making or requested to make written disclosure is an officer, director or substantial owner of a gaming operation where such is permitted by the jurisdiction in which it is located, may be considered inconsistent with the granting of racing dates to the applicant with which he is associated or affiliated.

e) For the purpose of this rule the term gaming operation shall not be deemed to refer to or include any meeting whereat horse racing, harness racing, or quarter horse racing is permitted for any stake, purse or reward or where pari-mutuel or certificate method of wagering is conducted.

f) Should a person making or requested to make a written disclosure for approval or supervision of his participation in racing in Illinois be under investigation pending approval or suspension by any racing commission, pari-mutuel wagering commission, or gaming Board in any other state or country, the Board shall reach no conclusion on the granting of racing dates with which he is associated or affiliated until such time as the investigation is concluded, approval is granted, or the suspension terminated on grounds not inconsistent with the standards of conduct applicable to persons working at a track in Illinois.

11 Ill. Adm. Code 1437.70 Political Contributions (repealed)

History

• Source: Repealed at 29 Ill. Reg. 8416, effective June 1, 2005

Part 1440 Quarter Horse Racing

11 Ill. Adm. Code 1440.10 Rules and Regulations

The rules and regulations governing thoroughbred racing shall also govern quarter horse racing, except for the following additional rules.

11 Ill. Adm. Code 1440.20 Designation of Officials

In quarter horse racing, patrol judges and placing judges shall not be mandatory. At the Illinois Racing Board's discretion, the stewards may, in addition to their regular duties, serve in these positions.

11 Ill. Adm. Code 1440.30 Whipping

No whip shall be carried on any two-year-old until he has had two workouts under the supervision of the stewards. Thereafter, the decision as to when a horse is running true enough to permit the use of a whip shall be at the discretion of the stewards. No whip shall be carried on any horse in any race when making a first start unless its use has been approved by the stewards.

11 Ill. Adm. Code 1440.40 Schooling

Prior to their first start, all two-year-olds must be approved by the starter for their conduct in and breaking out of the gate.

11 Ill. Adm. Code 1440.50 Apprentices, Special Allowances and Weights

An apprentice jockey may ride in a race in which quarter horses are eligible to start, but may not claim apprentice allowance in such races and the riding of the winner of such a race shall not be considered in computing the expiration of his right to claim apprentice allowances in races restricted to thoroughbreds. No sex allowances or scales of weight-for-age shall be used in quarter horse racing.

11 Ill. Adm. Code 1440.60 Registration Certificate

No horse shall be permitted to start in a race until the Registration Certificate has been filed with the Racing Secretary and the horse shall be fully identified by a representative of the Board; likewise, no leased horse shall be permitted to start in a race until the Registration Certificate and copy of the Lease Authorization have been filed with the Racing Secretary and Board Stewards and the horse shall be identified by a representative of the Board.

11 Ill. Adm. Code 1440.70 Photo-Finish Camera

All tracks conducting quarter horse meets must be equipped with a photo finish timing camera which has electronic circuits and a quartz crystal timing base and must be capable of operating either AC or DC without loss of accuracy. Every camera must be calibrated and accurate to a minimum of 1/100th of a second.

11 Ill. Adm. Code 1440.80 Starting Gate

All races must be started from a closed starting gate, set exactly on the starting line. All start distances must be permanently marked near both the inside and outside rails. The starting gate must be equipped with timing switches which shall be activated from the time the starting gate is opened.

Part 1441 Thoroughbred Breeders' Cup

11 Ill. Adm. Code 1441.10 Rules and Regulations

The rules and regulations governing thoroughbred racing shall also govern Breeders' Cup thoroughbred races conducted at a Breeders' Cup event hosted by an Illinois racetrack, except for the additional rules specified in this Part.

11 Ill. Adm. Code 1441.20 Illinois as the Host State

In the event that an organization licensee commingles Illinois pools with the pools of an out-of-state track, and if for any reason it becomes impossible to successfully merge such pools, the Board's parimutuel auditor, in consultation with the organization licensee's mutuel manager, shall authorize the manual merger of the pools. The decision of the Board's parimutuel auditor shall be final.

11 Ill. Adm. Code 1441.30 Entries

The uncoupling of entries, with common owners and trainers, shall be permitted. All parimutuel rules regarding the coupling or uncoupling of entries noted in Parts 306, 311 and 1413 shall not apply.

11 Ill. Adm. Code 1441.40 Pick (n) Pools

A separate Pick (n) shall be permitted with a mandatory distribution pursuant to 11 Ill. Adm. Code 308.70(a), (b) and (d). Any Pick (n) pool with a carryover that exists during the meet of the host of the Breeders' Cup will not consider Breeders' Cup day as a day of racing for that pool, but rather carryover to the next racing day following the Breeders' Cup day.

11 Ill. Adm. Code 1441.50 Turnstiles

In lieu of turnstiles, the organization licensee may use a count of pre-printed tickets in the auxiliary seating areas.

11 Ill. Adm. Code 1441.60 Distribution of Purses

No purse money shall be distributed until all drug testing has been completed by the Board laboratory.

History

• Source: Added at 26 Ill. Reg. 14691, effective October 1, 2002

Chapter II Department of the Lottery

Part 1700 Lottery Hearings

11 Ill. Adm. Code 1700.5 Applicability

This Part shall apply to all hearings conducted by the Department of Lottery pursuant to the Illinois Lottery Law [20 ILCS 1605] and other Acts under its jurisdiction.

History

• Source: Added at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.6 Definitions

The following definitions apply to this Part:

"Address of Record" means the address and/or email address required to be on file with the Department's Licensure Maintenance Unit by a licensee or, in the case of an unlicensed person, the most recent publicly ascertainable address.

"Administrative Hearing" means a proceeding at which parties present legal arguments and evidence about a case to an Administrative Law Judge or the Board, pursuant to the Lottery Law and 11 Ill. Adm. Code 1770.

"Administrative Law Judge" or "ALJ" means an attorney admitted to practice law by, and in good standing before, the Illinois Supreme Court who is duly authorized and designated in writing by the Director of the Illinois Lottery to convene and conduct hearings on matters under the jurisdiction of the Department. An ALJ is specifically empowered to administer oaths and affirmations; rule on matters of proof and evidence; regulate the schedule and course of the hearing and pre-hearing process; hear and dispose of procedural and other similar matters; sign and issue orders and subpoenas; and exercise any other powers relating to the proceeding which are legally proper and reasonably necessary to carry out an ALJ's responsibilities. The authority of any person to act as an ALJ shall not be a matter of proof in any hearing before the Department unless an appropriate motion is made pursuant to Section 1700.200.

"Affidavit" means a sworn and notarized or affirmed statement made in writing and signed.

"Agent" means a person licensed by the Director under the Lottery Law and by 11 Ill. Adm. Code 1770 to sell Illinois State Lottery Game tickets to the public, by an across-the-counter transaction at a specified point of sale at a specifically licensed Lottery location.

"Appeal" means a pleading, petition or application made by an appellant.

"Appellant" means an applicant, complainant or petitioner.

"Board" means the Lottery Control Board created as an independent advisory Board to the Director pursuant to the Lottery Law.

"Chief Administrative Law Judge" means an Administrative Law Judge who, in addition to performing the general duties of an Administrative Law Judge, serves as the immediate supervisor of all other Administrative Law Judges in the Office of the Chief Administrative Hearing Officer and performs other regulatory duties as identified in this Part and elsewhere.

"Chief Administrative Law Judge's Clerk" means the Office of Administrative Hearings Clerk designated to receive filings and to date stamp them.

"Contested Case" means an adjudicatory proceeding (not including ratemaking, rulemaking, or quasi-legislative, informational, or similar proceedings) in which the individual legal rights, duties, or privileges of a party are required by law to be determined by an agency only after an opportunity for a hearing.

"Department" means the Department of the Lottery.

"Director" means the Director of the Department of the Lottery.

"Formal Hearing" means a formal proceeding that is conducted on the record before an ALJ during which the parties present evidence and make arguments regarding appropriate action on a contested matter.

"Litigator" means a Special Assistant Attorney General, employed in the Department's Office of Legal Services, admitted to practice law by, and in good standing before, the Illinois Supreme Court, who is duly authorized and designated in writing by the Director to present the Department's case and otherwise represent the Department's interest in hearing, status and pre-trial conferences on all matters covered by the relevant Lottery Law and 11 Ill. Adm. Code 1770 and any other applicable laws.

"Lottery Law" means the Illinois Lottery Law [20 ILCS 1605].

"Petitioner" is a party who, by written petition, seeks relief or licensure under any provision of the statutes of the State of Illinois or any rule, order or determination of the Department. The party seeking licensure may also be identified as "applicant".

"Preponderance of the Evidence" means the greater weight of the credible evidence.

"Respondent" is the Department against whom a petition, complaint or notice initiating a proceeding is filed.

"Secretary" means the Secretary of the Lottery Control Board at the Department's Chicago, Illinois Office.

History

• Source: Added at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.10 General Explanation of Procedure

a) This Part shall apply to all Lottery hearings and subsequent reviews/appeals, except rulemaking hearings, conducted by the Department, the Board, or any Administrative Law Judge designated by the Board and appointed by the Director, under the authority of Section 7.3 of the Lottery Law.

b) Request for Hearing

1. An appellant may request a hearing if:

A) their license as an agent has been non-renewed, suspended or revoked;

B) their application for a lottery sales license has been denied;

C) their claim prize has been denied payment;

D) the appellant has received a notice of assessment dispute; or

E) they are otherwise seeking a hearing before the Department pursuant to Section 7.3 of the Lottery Law.

2. A request for hearing shall be filled with the Secretary.

3. The Secretary, within 3 days after the receipt of the request for a hearing, shall notify the Chief Administrative Law Judge's Clerk, who shall assign an Administrative Law Judge. When a request for a hearing arises from the revocation of a license without prior notice and opportunity for a hearing, the hearing shall be held within 30 days after the revocation order has been issued. In all other requests for a hearing, the Department will, within 14 days, request to schedule either an informal conference or a hearing, to be held not later than 45 days after the date of its scheduling. Notice of any hearing scheduled by the Secretary shall be served upon the parties as provided in Section 1700.80, and shall include the information required by Section 10-25 of the Illinois Administrative Procedure Act [5 ILCS 100]. The ALJ shall, upon the close of all proofs in the hearing, file findings and recommendations with the Director as provided in Section 1700.180, with a copy to be forwarded to each party to the action.

c) Any party may, within 20 days after the date the notice of the proposed findings and recommendations is received by certified mail (or returned as undelivered or unclaimed) or email, file with the Secretary, in writing, a motion for review, with a copy to each party to the action. The party seeking the review shall then have 35 days from the date of the filing of the notice of the motion for review to file, with the Secretary, a brief as to the specific errors of the ALJ as set forth in subsection (d), with a copy to each party. All other parties may file responsive briefs with the Secretary within 35 days after receipt of written notice from the Secretary that the brief supporting the motion for review has been filed. The Secretary shall transmit, within 85 days after receipt of the motion for review, the record of the action, including all documents, evidence, and transcripts submitted to or taken from the hearing, along with the motion for review and the briefs submitted by the parties, to the Board. The Board shall review the record of the case and shall make recommendations to the Director within 90 days after the date of receipt of the record of the case.

d) The Board shall review the record, in its entirety, to determine that the findings of fact by the ALJ are not against the manifest weight of the evidence, the ALJ has applied the law and regulations correctly, and that the conduct and procedures of the hearing did not prejudice any party.

e) The recommendation of the Board to the Director shall be transmitted by the Secretary to the parties to the action. Any party has a right to make a final appeal to the Director. A party may note exceptions to the recommendations of the Board, along with supporting briefs, within 14 days after the receipt of notice of the recommendations of the Board. The Director shall have 30 days to review the record of the case and the Board's recommendation. The Director shall then enter an order either adopting or not adopting the ALJ's or Board's recommended decision of the matter. This order shall be served pursuant to Section 1700.80.

f) Any party adversely affected by a final decision or order of the Director may obtain judicial review as provided by the Administrative Review Law [735 ILCS 5/Art. III]. The petition for review must be filed within 35 days after the receipt by certified mail or email of the order or decision for which judicial review is sought.

History

• Source: Amended at 47 Ill. Reg. 13886, effective September 18, 2023

Chapter II Department of the Lottery

Part 1700 Lottery Hearings

11 Ill. Adm. Code 1700.20 Notice of Denial of Application

Within 180 days from the receipt of the application and fee, the Department shall, in writing, promptly notify the applicant for a license to act as a lottery sales agent for the Department of the grant or denial of the license. The notice of denial shall state the grounds serving as the basis for the denial. The notice must also inform the applicant of the right to a hearing on the denial. The applicant must file a written request with the Secretary for a hearing on the denial within 30 days after the date of receipt by certified mail (or its return as undelivered or unclaimed) of the notice of denial of the license application in accordance with Section 1700.10. The Department may amend a notice under this Section at any time, except in the course of the hearing, without leave or approval of the Administrative Law Judge. If an amended notice is filed during the course of the hearing, it shall also be presented to the ALJ. A continuance shall be granted whenever the amendment materially alters the notice and when the applicant demonstrates that they would otherwise be unable to properly prepare an answer to the amended notice or prepare their case.

History

• Source: Amended at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.30 Notice of Revocation or Suspension of License

The Department will notify the agent of its determination to revoke or suspend that agent's license and shall include in the notification the grounds serving as the basis for the revocation or suspension. The Department will also inform the agent of the right to a hearing on the revocation or suspension. The agent must file a request for a hearing within 30 days after the date of the receipt by certified mail (or its return as undelivered or unclaimed) or email of the notice of the proposed Departmental action or notice of the action taken by the Department in accordance with Section 1700.10. The request for a hearing must be filed with the Secretary. Where the license revocation or suspension is without prior notice and opportunity for hearing, the agent must file a hearing request with the Secretary within 20 days after receipt of the revocation or suspension notice in order to permit scheduling of the hearing within the time period set forth in Section 1700.10. The Department may amend a notice under this Section at any time, except in the course of the hearing, without leave or approval of the Administrative Law Judge. If an amended notice is filed during the course of the hearing, it shall also be presented to the ALJ. A continuance shall be granted whenever the amendment materially alters the notice and when the agent demonstrates that they would otherwise be unable to properly prepare an answer to the amended notice or prepare their case.

History

• Source: Amended at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.40 Notice of Refusal to Renew License

The Department will notify the agent of its determination not to renew the agent's license not less than 30 days prior to the expiration of that license. The notice shall state the grounds serving as the basis for the denial of renewal of the license. The notice must also inform the agent of the right to a hearing on the denial. The agent must file a request for a hearing within 30 days after the date of the receipt by certified mail (or its return as undelivered or unclaimed) or email of the notice of the refusal to renew the license in accordance with Section 1700.10. This request must be filed with the Secretary. The Department may amend a notice under this Section at any time, except in the course of the hearing, without leave or approval of the Administrative Law Judge. If an amended notice is filed during the course of the hearing, it shall also be presented to the ALJ. A continuance shall be granted whenever the amendment materially alters the notice and when the agent demonstrates that they would otherwise be unable to properly prepare an answer to the amended notice or prepare their case.

History

• Source: Amended at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.45 Notice of Assessment, Denial of a Claim Prize or Any Other Contested Case

Whenever the Department issues a Notice of Assessment, a claim prize denial, or any other determination pursuant to the Lottery Law and this Part, the Department will notify the agent, player, or other individual of the Department's determination and the basis of that determination. The agent, player or other individual seeking a hearing before the Department on a contested matter must file a hearing request with the Secretary within 20 days after receipt of the Department's determination in accordance with Section 1700.10.

History

• Source: Added at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.50 Informal Conference

a) Upon written notice by the Administrative Law Judge or the Chief Administrative Law Judge's Clerk in any proceeding, parties or their attorneys may be directed to appear at a specified date, time and place, mutually agreed upon by the parties, for a conference to consider:

1. defining the legal and factual issues to be adjudicated at the administrative hearing;

2. the necessity or desirability of amending the pleadings for the purpose of clarification, amplification or limitation with respect to matters alleged in any pleading;

3. the possibility of making admissions or stipulations of fact in order to avoid the unnecessary introduction of evidence;

4. the procedure at the hearing;

5. the limitation of the number of witnesses;

6. the propriety of prior mutual exchange between or among parties of prepared testimony or exhibits;

7. other matters as may aid in the simplification of the evidence and disposition of the proceeding; and

8. how to arrive at an equitable settlement of the issues to be adjudicated.

b) Prior to issuing a notice of hearing, the Administrative Law Judge may, by written notice, direct the parties or their attorneys to appear at a specified date, time and place, mutually agreed upon by the parties, for an informal conference for the purpose of arriving at an equitable settlement of the issues to be adjudicated at the administrative hearing.

c) If there is an informal conference where no settlement is reached, and the hearing date has not yet been set, a discovery schedule and plan setting dates for exchange of discovery and preliminary motions and hearing date will be set at the informal conference by mutual agreement of the parties. The informal conference shall not be open to the public, nor shall it be on the record.

History

• Source: Amended at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.60 Right to Legal Counsel

a) Any party may appear and be heard through an attorney at law authorized to practice in the State of Illinois.

b) In any proceeding pending before the Board or an Administrative Law Judge, a natural person may appear pro se and be heard on the person's own behalf.

c) Only a person admitted to practice as an attorney at law shall represent anyone else in any proceeding before an ALJ, in any matter involving the exercise of legal skill or knowledge.

d) All persons appearing in proceedings before an ALJ shall conform to the standards of conduct of attorneys before the courts of the State of Illinois. If a person does not conform to those standards, the ALJ may decline to permit that person to appear in any proceeding or exclude that person from any proceeding.

e) A corporation may be represented by an officer or authorized employee in any matter provided a Power of Attorney is filed, effective only for the particular matters having been protested, unless otherwise consolidated with other proceedings by order of the assigned ALJ.

History

• Source: Amended at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.70 Appearance of Attorney

a) An attorney appearing in a representative capacity shall file a written notice of appearance identifying the attorney by name, address, and telephone number, and identifying the party represented.

b) An attorney who has appeared in a representative capacity and who wishes to withdraw from that representation shall file a motion for leave to withdraw with the Administrative Law Judge, together with proof of service and notice of filing on all parties. The motion for leave to withdraw shall be in writing and, unless another attorney is substituted, shall state the last known address of the party represented. The motion may be denied by the ALJ if it would unreasonably delay the hearing and otherwise be a material adverse effect on the interests of the client. An attorney may withdraw if representation will result in an unreasonable financial burden on the attorney or has been rendered unreasonably difficult by the client, or if the client insists upon taking action that the attorney considers repugnant or if the attorney has a fundamental disagreement with the client.

History

• Source: Amended at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.80 Service and Proof of Service

a) All service shall be by certified mail or registered mail, or by email pursuant to section 10-75 of the Illinois Administrative Procedure Act [5 ILCS 100]. Service by mail shall be deemed complete four days after mailing of the document, properly addressed and posted for delivery, to the person to be served. Service is deemed completed if returned undelivered or unclaimed, when mailed to the party's last known address, with proper postage prepaid. Service by email is complete on the day of transmission or if after 5:00 p.m., the next business day. If service is by email, the Department will maintain a copy of the sent email and shall verify within one business day that the transmission of the email has not been rejected or has failed. In the event of rejection or failure, absent correction of an erroneous email address, service shall be made by mail.

b) Motions and affidavits in support of motions, responses, counter-affidavits and replies shall be served by the party filing these documents same upon all parties to the proceeding. Proof of service upon all parties shall be filed with the Secretary.

c) Findings of fact and conclusions of law, briefs, motions for hearing or re-hearing, and notices of appeal shall be served by the Department, Board, or the party filing these documents upon each party to the proceeding, and a proof of service upon all parties shall be filed with the Secretary.

d) When any party or parties have appeared by attorney, service upon the attorney shall be deemed service upon the party or parties.

e) Proof of service of any paper shall be by certificate of attorney, affidavit or acknowledgment as provided for in section 1-109 of the Code of Civil Procedure [735 ILCS 5]. Proof of service by mail will be attached to the original of any document served. Proof of service by email shall be the emailed notice to which the document is attached. In the absence of evidence to the contrary, the date shown on the proof of service shall be deemed the date of service. When filing by email, the date of service shall be the date the transmission is sent.

f) In computing any period of time prescribed or allowed by this Section, the day of the act, event or default after which the designated period of time begins to run is not to be included. The period of time shall run until the end of the last day, or the next following business day if the last day is a Saturday, Sunday or legal holiday. When the Lottery Law requires the filing of a motion, brief, exception or other paper in any proceeding, the document must be received by the Department and the Chief Administrative Law Judge's Clerk or the officer or agent designated to receive that matter before the official closing time of the receiving office on the last day of the time limit, if any, for the filing or extension of time that may have been granted. Filings received after 5:00 p.m. will be considered filed on the following business day.

History

• Source: Amended at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.90 Form of Papers

a) All papers filed in any proceeding shall be typewritten on 8½ x 11" white paper using one side only, shall have margins no less than one inch on each side, shall be in a typeface no smaller than 11-point type, shall be double spaced (except that quotations and footnotes may be single spaced), and no more than 15 pages. Nonconforming papers may, at the Director's or Administrative Law Judge's discretion, be rejected. The filing shall bear a caption clearly indicating the title of the proceeding in connection with which they are filed together with the hearing or docket number.

b) All papers shall be signed by the party or the party's authorized representative or attorney and shall contain the party's mailing address, telephone number and email address. No fewer than an original and two copies of all papers shall be filed with the Administrative Law Judge's Clerk and a copy mailed or emailed to the Secretary at Lot.LCBSecretary@illinois.gov. When filing by email, signed scanned documents in PDF format should be used.

History

• Source: Amended at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.100 Motions

Motions in the course of proceedings may be presented to request the dismissal of the proceedings for want of jurisdiction or want of prosecution, the quashing of a subpoena, postponement of the effective date of an order, the extension of time for compliance with an order, or other relief as may be appropriate. Any preliminary motion which is authorized under the Code of Civil Procedure [735 ILCS 5] that may be utilized in normal civil practice and is not otherwise inconsistent with administrative practice and procedure, contrary to the Lottery Law, or outside the scope of an Administrative Law Judge's authority may be employed. Motions may include but are not limited to summary judgment, dismissal for want of jurisdiction or want of prosecution, failure to state a claim, compel discovery, reconsideration, vacate or modify an order, enforce a settlement, disqualification of an ALJ, protective order, sanctions, or other relief as may be appropriate.

a) All motions shall be in writing, except those based on unforeseen or emergency circumstances, and shall be accompanied by any affidavits or other evidence relied upon. Any motion filed shall be clearly designated and shall contain in its caption the name of the case, docket number and type of motion brought. Motions shall bear evidence of a certification of service and notice to the appropriate parties. The notice of motion and motion must be filed at least 28 days in advance of an oral hearing and, when appropriate, by a proposed order. All motions shall be filed with the ALJ and each additional party, if any, shall be served a copy of that motion.

b) Within 10 days after service of a written motion or other document, or other period as the ALJ may allow, a party may file a response in support of or in opposition to the motion and, if necessary, accompanied by affidavits or other evidence. A party filing a motion has the right to request from the ALJ leave to file a reply to a response.

c) Unless otherwise ordered, the filing of an answer or motion shall not stay the proceeding or extend the time for the performance of any act.

d) A party has a right to file an emergency motion setting forth why an emergency exists. The ALJ can deny the emergency motion solely on the basis that the motion did not demonstrate that an emergency exists.

e) When any motion is filed, the ALJ shall allow oral argument if this is deemed necessary for a fuller understanding of the issues presented.

f) When the party moving for summary judgment files supporting affidavits containing well-pleaded facts, and the opposing party files no counter affidavits, the material facts set forth in the moving party's affidavit are deemed admitted. Affidavits must comply with Illinois Supreme Court Rule 191.

g) The ALJ may grant a motion for summary judgment under this Section if the record shows that:

1. There is no disputed issue as to any material fact; and

2. The moving party is entitled to summary decision as a matter of law.

h) If any motion in the nature of a motion to dismiss or for summary judgment is granted by the ALJ before filing a final decision in a matter scheduled for hearing, any party may obtain a review of the granting of the motion by filing a request with the Director stating the grounds for review and, immediately upon filing, shall serve a copy of the request on the other parties. Unless the request for review is filed within 15 days after the date of the order of dismissal or granting of summary judgment, the decision of the ALJ shall become final.

i) The ALJ shall rule on all motions as expeditiously as possible and prior to setting an administrative hearing date.

j) A party has the right to appeal any order issued by an ALJ during the pendency of a proceeding.

History

• Source: Amended at 47 Ill. Reg. 13886, effective September 18, 2023

Chapter II Department of the Lottery

Part 1700 Lottery Hearings

11 Ill. Adm. Code 1700.110 Continuances

The hearing may, at any time, be postponed or continued, after due cause shown such as the unavailability of a witness, party, or party's counsel, by the Administrative Law Judge before which it is scheduled, upon the ALJ's own motion or upon motion of any party to the proceeding. Notice of any motion for postponement or continuance shall be given to all parties to the hearing at least 48 hours prior to the scheduled date and time of the hearing. Where a witness, party or counsel becomes unavailable within 48 hours before a scheduled hearing due to accident, illness, death in the family, conflicting court schedule or other emergency situation beyond the person's control, notice shall be given as soon as possible after the event which justifies continuance. All parties involved in a hearing shall attempt to avoid undue delay caused by repetitive postponements or continuances so that the subject matter of the hearing may be resolved expeditiously.

History

• Source: Amended at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.115 Withdrawal of Petitions for Hearing

A petition for hearing may be withdrawn at any time prior to the hearing by the party who initiated it. After a hearing has begun, a petition may be withdrawn only with leave of the Administrative Law Judge.

History

• Source: Added at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.116 Hearings

The sequence to be followed for all contested cases is as follows:

a) Informal Status Conference (See Section 1700.50).

b) Formal Hearings

1. Preliminary Matters – Motions, attempts to narrow issues or limit evidence.

2. Opening Statements – The party bearing the burden of proof proceeds first.

3. Case in Chief – Evidence is presented by the party bearing the burden of proof. Once a witness' direct testimony is completed, that witness is subject to cross-examination.

4. Defense – Evidence may be presented by the opposing party.

5. Closing Statements – The party bearing the burden of proof proceeds first, then the opposing party, then a final word by the party bearing the burden of proof.

History

• Source: Added at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.117 Default, Other Sanctions and Penalties

If a party, after proper service of notice, fails to appear at an informal conference or administrative hearing, and if no continuance has been granted, the Administrative Law Judge may proceed to make a decision in the absence of that party.

a) The ALJ may impose sanctions and penalties if the ALJ finds that a party has acted in bad faith, for the purpose of delay, or has otherwise abused the hearing process. Sanctions and penalties include, but are not limited to, default judgment or directed finding on one or more issues.

b) If a party fails to testify on their own behalf with respect to any question propounded to them, the ALJ may infer that the testimony or answer would have been adverse to the petitioner's case.

c) Failure of a party to appear at a hearing or scheduled proceeding without an emergency reason shall constitute an admission of all matters and facts contained in the notice of denial. In these cases, the ALJ may take action based upon that admission or upon any other evidence, including affidavits, without any further notice to the petitioner.

d) If the failure to appear is due to an emergency situation beyond the parties' control, and the Department has been notified of the situation on or before the scheduled informal status conference or administrative hearing, the conference or hearing will be continued or postponed pursuant to Section 1700.110. Emergency situations include sudden unavailability of counsel, sudden illness of a party or their representative or similar situations beyond the parties' control.

History

• Source: Added at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.118 Consolidation and Severance of Matters

In the interest of convenient, expeditious and complete determination of matters, the Administrative Law Judge may, so long as there is no undue prejudice to any of the involved parties, consolidate or sever hearing proceedings involving any number or parties or issues, and may join or sever parties for the complete administration of justice.

History

• Source: Added at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.119 Intervention

a) Upon timely written application, the Administrative Law Judge may permit any party to intervene in a hearing proceeding, subject to the necessity for conducting an orderly and expeditious hearing, when:

1. The party may be adversely affected by a final order arising from the hearing;

2. The party requesting intervention is a necessary party to the hearing proceeding; or

3. A party's claim or defense and the main action have a question of law or fact in common.

b) In exercising discretion under this Section, the ALJ shall consider whether the intervention will unduly delay or prejudice the adjudication of the rights of the original parties.

c) Two copies of a petition for intervention shall be filed with the ALJ and one copy shall be served on each party.

d) An intervenor shall have all the rights of an original party subject to the order of the ALJ, except that the ALJ may provide that the party shall not raise issues that might more properly have been raised at an earlier stage of the proceeding, that the party shall not raise new issues or add new parties, or that in other respects the party shall not interfere with the conduct of the hearing.

History

• Source: Added at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.120 Discovery

a) After initiation of a complaint, any party may obtain discovery by one or more of the following methods:

1. Depositions upon oral examination or upon written questions;

2. Written interrogatories;

3. Production of documents or other items, or permission to enter upon land or other property, for inspection and other purposes; or

4. Requests for an informal conference for purposes of setting a discovery schedule and plan.

b) Unless otherwise limited by order of the Administrative Law Judge, the parties may obtain discovery regarding any matter, not privileged, which is relevant to the subject matter involved in the proceeding, including:

1. the existence, description, nature, custody, condition, and location of any books, documents, or other tangible things; and

2. the identity and location of persons having knowledge of any discoverable matter for purposes of impeachment of testimony, admission, exception to hearsay or for which an affidavit may be used.

c) To the extent that any aspect of discovery is not addressed in this Section, the rules of discovery as applied in civil cases in the circuit courts of Illinois shall be followed. In the case of conflict between this Section and the rules of discovery as applied in civil cases in the circuit courts of Illinois, the latter shall prevail.

d) Production of Documents

Any party may, by written request, direct any other party to produce for inspection, copying, reproduction or photographing any specified documents, or to disclose information calculated to lead to the discovery of the whereabouts of any of these items, whenever the nature, contents, or condition of such documents is relevant to the subject matter and is not privileged. The request shall specify a reasonable time, not less than 28 days, within which the related actions are to be performed. The production, inspection, copying or photographing of any departmental records shall be done on Department premises, unless other arrangements can be made with the consent of both parties. A person served with a written request for production of documents shall:

1. Comply with the request within the time specified, or

2. Serve upon the requester written objections on the grounds that the request is improper in whole or in part and state the reasons why this request is improper. Any objection to the request or refusal to respond shall be heard by the ALJ upon prompt notice and motion of the party submitting the request in accordance with section 10-40 of the Illinois Administrative Procedure Act [5 ILCS 100].

3. Upon request, furnish an affidavit stating whether the production is complete in accordance with the request.

e) Request for Admissions

1. A party may serve on any other party a written request for the admission by the latter of the truth of any specified relevant fact set forth in the request and/or for the admission of the genuineness of any relevant documents described in the request in accordance with Supreme Court Rule 216. Copies of the documents shall be served with the request unless copies have already been furnished. Each of the matters concerning admission of fact, or the genuineness of each document for which admission of fact is requested, shall be admitted, unless, within 28 days after service of the request or additional time as may be granted by the ALJ, the person to whom the request is directed serves upon the requesting party either:

A) A sworn statement denying specifically the matter on which admission of fact is requested, or setting forth, in detail, the reason why these matters cannot be truthfully admitted or denied. A denial shall fairly meet the substance of the requested admission. If good faith requires that a party qualify an answer or deny only a part of an admission of fact, the party shall specify so much of it as is true and deny or qualify the remainder. An answering person may not give lack of information or knowledge as a reason for failure to admit or deny unless that person states that they have made reasonable inquiries and that the information known or regularly obtainable by that person is insufficient to enable the person to admit or deny that fact; or

B) A written objection on the grounds that some or all of the requested admissions of fact are privileged or irrelevant. An objection on the grounds of relevance may be noted by any party but it is not to be regarded as just cause for refusal to admit or deny. If written objections to a request are made, the remainder of the request shall be answered within the period designated in the request. A requesting party, upon receipt of any objection, may have the objection heard and determined by the ALJ upon prompt notice and motion directed to the ALJ.

2. Any admission made by a party to a request under this Part is for the purpose of the pending action only. It does not constitute an admission by that party for any other civil proceeding and may not be used against that party in any other proceeding.

f) Interrogatories

Any party may serve interrogatories on any other party. One copy of the interrogatories shall be filed with the ALJ with proof of service on all other parties entitled to notice. Written interrogatories shall be reasonably spaced to permit the answering party to reply to the interrogatories served on that party. The answering party may attach an addendum to the copies if the space provided is insufficient. The number of written interrogatories served shall not exceed 30, inclusive of all subsections, except by leave of the presiding ALJ.

1. Within 28 days after service of the interrogatories upon the relevant party, that party shall timely file a sworn answer or an objection to each interrogatory and state its basis. Sworn answers to interrogatories directed to a public or private corporation, or a partnership or association shall be made by an officer, partner, or agent, who shall furnish information available to the party.

2. Duty of attorney. It is the duty of an attorney directing interrogatories to restrict them to the subject matter of the particular case, to avoid undue detail, and to avoid the imposition of any unnecessary burden or expense on the answering party.

g) Depositions

Any party may serve notice and take the deposition of another person. The deposition shall be on the record. The party or party's attorney before whom the deposition is to be taken shall put the witness under oath or affirmation. Examination and cross-examination shall proceed as at a hearing.

1. The deponent in a discovery deposition may be examined regarding any matter subject to discovery under this Part and Illinois Supreme Court Rule 206.

2. Any objections made at the time of the examination shall be included in the deposition. The party before whom the deposition is taken shall not rule on objections to the evidence, but evidence objected to shall be taken subject to the objection.

3. When the testimony is fully transcribed, the deposition shall be submitted to the deponent for examination and signature, unless examination and signature are waived by the deponent. The party's attorney shall certify within the deposition that the deponent was duly sworn and that the deposition is a true record of the testimony given by the deponent. If the deposition is not signed by the deponent, the party's attorney shall certify the deposition and state the reason for the omission of the signature. A certified deposition requires no further proof of authenticity.

4. The party at whose instance the deposition is taken shall pay the fees of the witness and the charges of the recorder or stenographer for attending.

h) Expert or Opinion Witnesses

When requested by interrogatories served, all parties are under a duty to disclose the identity of opinion witnesses, and to further disclose the subject matter of any intended testimony of these witnesses.

i) Each different type of discovery sought shall be by a separate document, labeled accordingly. All discovery requests shall be served upon the litigator assigned to the case or the petitioner or the petitioner's attorney depending on who is making the request. Copies of discovery requests or demands shall be provided to the presiding ALJ.

j) Hearings shall not be delayed to permit discovery unless due diligence is shown by the party seeking the discovery.

k) Supplementation of Responses

A party that has responded to a request for discovery with a response that was complete when made is under no duty to supplement their response to include information thereafter acquired, except as follows:

1. A party is under a duty to timely supplement their response with respect to any question directly addressed to:

A) The identity and location of persons having knowledge of discoverable matters; and

B) The identity of each person expected to be called as an expert witness at the hearing, the subject matter on which the person is expected to testify, and the substance of the person's testimony.

2. A party is under a duty to timely amend a prior response if the party later obtains information upon the basis of which:

A) The party knows the response was incorrect when made; or

B) The party knows that the response though correct when made is no longer true and that a failure to amend the response is in substance a knowing concealment.

3. A duty to supplement responses may be imposed by order of the ALJ or agreement of the parties.

l) Stipulations

If the parties stipulate, depositions and discovery may take place before any person, for any purpose, at any time or place, and in any manner.

History

• Source: Amended at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.125 Remedies/Compliance with Discovery

a) Any party or its counsel, upon failure of the opposing party to answer or appropriately respond to any discovery request, by way of motion addressed to the Administrative Law Judge, may request to compel a response or appropriate answer be given to the requests made. In seeking a remedy under this Section, only a reasonable attempt to achieve compliance with the discovery request must be made prior to seeking the assistance of the ALJ.

b) If a party or its counsel fails to comply with a reasonable discovery request after being ordered to do so by the ALJ, the party seeking the discovery may request further orders from the ALJ as are just, including, but not limited to:

1. An order that the matters regarding which the order of compliance was made or any other designated facts shall be taken as true and established for the purpose of the case in accordance with the claim of the party obtaining the order;

2. An order refusing to allow the disobedient party to support or oppose designated defenses, or prohibiting that party from introducing designated matters or documents in evidence;

3. An order staying further proceedings until the order is obeyed or rendering a judgment by default against the disobedient party.

4. An order that reasonable costs, including attorney’s fees, be assessed against a party or their attorney who unreasonably fails to facilitate discovery under this provision.

c) In ordering sanctions, the ALJ shall consider factors including, but not limited to:

1. The diligence of the person making the request;

2. The burden of compliance on the party subject to the request;

3. The reasonableness of the failure to comply; and

4. Circumstances which may prevent compliance.

History

• Source: Added at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.130 Subpoenas

a) The Administrative Law Judge may issue subpoenas for the attendance of witnesses or production of specific books, records, documents or other evidence.

b) Any respondent or petitioner seeking issuance of a subpoena shall submit a request in writing to the ALJ.

c) The request shall demonstrate that the documents or testimony sought are relevant and material to the proceeding pending before the Department and are not otherwise excludable by law or by rule.

d) Except for Department investigators, examiners, and professional coordinators who participated in the investigation of the case, the ALJ should not generally issue subpoenas for the testimony of Department officers or employees or Board members.

e) Subpoenas shall be personally served by a person not less than 18 years of age, or served by certified mail with return receipt signed by private delivery service, by U.S. regular mail, postage prepaid or email. The return of service shall be delivered to the Secretary, and be made part of the record. Each party shall be responsible for the service of the subpoenas that party has requested.

f) The date of service for purposes of computing the time for filing a petition to quash or modify a subpoena shall be the date the subpoena is received. All petitions to quash or modify subpoenas shall be served on the party that requested the subpoena within 14 days after service of the subpoena. The petition to quash, if made prior to or during the hearing, shall be filed with the ALJ.

g) The ALJ, upon motion made promptly, at or before the time specified in the subpoena for compliance, may deny or modify the subpoena if it is insufficient, unreasonable, is oppressive or requests material that:

1. Does not meet the requirements of this Section and Illinois code of Civil Procedure;

2. Was improperly served;

3. Fails to allow a reasonable time for compliance;

4. Requires a person who is not a party or an officer of a party to travel to a hearing more than 25 miles from where that person resides, is employed, or regularly transacts business, except when the person may be ordered to appear by telephone;

5. Requires disclosure of a privileged or other protected information; or

6. Subjects a person or entity to undue burden or expense.

h) The ALJ will rule upon motions to quash or modify material requested in the subpoena. The ALJ may deny, limit or condition the production of information when necessary to prevent undue delay, undue expense, harassment or oppression. The ALJ can take these actions if the subpoena does not sufficiently describe the evidence whose production is required, or if, the subpoena is otherwise invalid.

i) If a party or organization within control of a party fails to obey a subpoena, and the ALJ finds the subpoena to have been validly served and the material requested to be relevant and material, the ALJ may impose appropriate non-monetary sanctions, including but not limited to: prohibiting testimony by the party who has refused to comply with the subpoena; drawing an adverse inference against the party required to comply; or recognizing the evidence required by the subpoena but not produced as establishing the truth of the position of the party who subpoenaed the document.

j) Witnesses summoned before the ALJ, other than those summoned by the Department, shall be paid the same fees and mileage that are paid to witnesses in the court of the county where the hearing is being held. Witness fees and mileage shall be paid by the party at whose instance the witnesses appear.

k) Subpoenas shall be enforced in the same manner as subpoenas issued by the circuit courts of this State of Illinois.

History

• Source: Amended at 47 Ill. Reg. 13886, effective September 18, 2023

Chapter II Department of the Lottery

Part 1700 Lottery Hearings

11 Ill. Adm. Code 1700.140 Witnesses

a) Subject to the evidentiary requirements of Section 10-40(a) of the Illinois Administrative Procedure Act [5 ILCS 100], a party may conduct examinations or cross-examinations required for a full and fair disclosure of the facts. [5 ILCS 100/10-40(b)]

b) The Department may call any adverse party as a witness without vouching for that party's credibility and proceed to examine such adverse party as if under cross-examination. Any party calling a witness in good faith, who is surprised by that witness' testimony, may impeach that witness by evidence of prior inconsistent statements.

c) The Administrative Law Judge is authorized to examine any or all witnesses at a hearing to obtain relevant information that has not been presented by the parties.

History

• Source: Amended at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.150 Evidence at Hearings

a) Evidence at hearings shall be governed by Section 10-40 of the Illinois Administrative Procedure Act.

1. Irrelevant, immaterial, or unduly repetitious evidence shall be excluded. The rules of evidence and privilege as applied in civil cases in Illinois circuit courts shall be followed (see Supreme Court of Illinois Rules of Evidence). Evidence not admissible under those rules of evidence may be admitted, (except where precluded by statute) if it is of a type commonly relied upon by reasonably prudent persons in the conduct of their affairs. Objections to evidentiary offers may be made and shall be noted in the record. Subject to these requirements, when a hearing will be expedited and the interests of the parties will not be prejudiced, any part of the evidence may be received in written form.

2. Subject to the evidentiary requirements of subsection (a)(1), a party may conduct cross-examination required for a full and fair disclosure of the facts.

3. Notice may be taken of matters of which the circuit courts of this State may take judicial notice. In addition, notice may be taken of generally recognized technical or scientific facts within the Department's specialized knowledge. Parties shall be notified either before or during the hearing, or by reference in preliminary reports or otherwise, of the material noticed, including any staff memoranda or data, and they shall be afforded an opportunity to contest the material so noticed. The Department's experience, technical competence, and specialized knowledge may be utilized in the evaluation of the evidence. [5 ILCS 100/10-40].

4. All exhibits for any party shall be clearly marked for identification. A sufficient number of copies shall be made prior to the commencement of the hearing and when admitted into evidence by the Administrative Law Judge.

5. The ALJ may, on the ALJ's own initiative or at the request of any party or witness, enter a protective order to prevent exposure in the public domain of records or other information that is of a sensitive or confidential nature.

b) Parties may, by stipulation, agree upon any facts involved in the proceeding. The facts stipulated shall be considered as evidence in the proceeding, provided that the ALJ may require proof of any fact necessary to adjudicate the facts at issue.

c) Unless otherwise provided by law or stated in this Part, the standard of proof in any contested case hearing conducted under the Lottery Law shall be the preponderance of the evidence as required by Section 10-15 of the Illinois Administrative Procedure Act.

History

• Source: Amended at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.155 Business Documents

a) Business records that are relevant to the case shall be admissible. These records shall be:

1. A memorandum, report, record or data compilation;

2. Made by a person with first-hand knowledge of the facts or from information transmitted by a person with knowledge of those matters;

3. Made at or near the time of the facts;

4. Made as part of the regular practice of the activity; and

5. Kept in the course of regularly conducted activity.

b) Any party may prove elements in subsections (a)(2) through (a)(5) by presentation of a sworn statement by an individual responsible for making or keeping those records.

c) Any party seeking introduction of a document will be allowed to offer a mechanical reproduction or photo copy of the original without any showing that the original is unavailable, upon representation of the party or attorney that the copy is a fair and accurate copy of the original.

History

• Source: Added at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.160 Court Reporter

The Department, at its option, will designate a licensed court reporter to make a stenographic record or have the Administrative Law Judge make an audio recording of hearings in all proceedings. Upon the filing of a motion for review, the Department will provide, by certified mail, a non-certified copy of the transcript to each party. However, a party may request a non-certified copy of the transcript from the Department or a certified copy of the transcript from the court reporter at that party's own cost, at any stage of the hearing process. The ALJ will maintain the audio recording until 90 days after the Director has entered a final order, unless a timely notice of civil administrative review is filed, in which case, the ALJ will cause the audio recordings to be transcribed by a certified court reporter and will cause the transcription to become part of the official record.

History

• Source: Amended at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.170 Corrections to Transcripts

A party who requests and receives a transcript copy prior to the Administrative Law Judge rendering a report and recommendation to the Director may suggest corrections to the transcript of record within 10 days after the transcript is received by the party. Suggested corrections shall be served upon, or brought to the attention of, each party whose appearance is of record or by that party's attorney, the official reporter and the ALJ. If the suggested corrections are not objected to, the ALJ will discuss with the parties the corrections to be made and the manner of making them. The ALJ shall then determine the manner in which the record shall be changed, if at all. In making this decision, the ALJ will consider whether the suggested corrections accurately reflect the proceedings of the hearing.

History

• Source: Amended at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.180 Findings, Conclusions and Recommendations

After the close of all proofs in the hearing, the ALJ shall cause to be prepared and transmitted to the Director findings of fact, conclusions of law, and recommendations, together with the entire record in the proceeding. The ALJ's findings, conclusions and recommendations shall contain all the items required by Section 10-50 of the Illinois Administrative Procedure Act. Copies of these findings, conclusions and recommendations, and if the ALJ elects, a memorandum of law supporting all or any of these findings, conclusions and recommendations, shall be served upon each party in the manner provided by this Part. These materials shall be accompanied by a notice from the Department that any party has 20 days after the date these materials are received by certified mail, registered mail, or email (or returned as undelivered or unclaimed) to present a written motion for review to the Secretary. The submission of a motion requesting a review by the Board of the ALJ's findings, conclusions, and recommendations, shall stay the final disposition by the Director, as provided by Section 1700.190, until the review and recommendation of the Board, as provided by Section 1700.10(c), is completed.

History

• Source: Amended at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.190 Final Disposition by Director

The findings of fact, conclusions of law, and recommendations of the Administrative Law Judge, as well as any recommendations of the Board, shall be reviewed by the Director. The Director shall have 30 days to review the record of the case and the ALJ's and Board's recommendations. The Director shall then enter an order as shall be proper for the disposition of the matter. The order shall be served upon all parties by certified mail, registered mail, or email.

History

• Source: Amended at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.195 Authority of Administrative Law Judge

An Administrative Law Judge presiding over a hearing shall have all powers necessary and appropriate to conduct a full, fair and impartial hearing, including the authority to:

a) Administer oaths and affirmations;

b) Rule upon offers of proof and receive relevant evidence;

c) Issue subpoenas as provided in Section 1700.130;

d) Rule on issues relating to document exchange;

e) Regulate the course of the hearing and the conduct of the parties and their counsel:

1. Contumacious conduct at any hearing before the ALJ shall be grounds for exclusion from the hearing; and

2. If a witness or a party refuses to answer a question after being directed to do so or refuses to obey an order to provide documents, the ALJ may make orders with regard to the refusal that are just and appropriate, including, but not limited to, excluding the testimony of witnesses, entering an order of default, entering an order that certain facts are deemed admitted for purpose of the proceeding, or entering an order denying the application or complaint of a party;

f) Consider and rule upon procedural requests;

g) Hold conferences for the settlement or simplification of the issues;

h) Examine witnesses and direct witnesses to testify, limit the number of times any witness may testify, limit repetition, irrelevant, unresponsive or cumulative testimony, and set reasonable limits on the amount of time each witness may testify at deposition and/or hearing;

i) Make or cause to be made an inspection of the retailer, or place of employment involved;

j) Enter into Consent Decrees; and

k) Make decisions in accordance with this Part, the Lottery Law and 11 Ill. Adm. Code 1770.

History

• Source: Added at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.200 Disqualification of an Administrative Law Judge

a) Any party to a proceeding may request the Director to disqualify the Administrative Law Judge if that party believes that the ALJ is biased against that party or that a conflict of interest exists on the part of the ALJ. Any request for disqualification must be in writing, accompanied by an affidavit signed and dated by the party setting out the specific facts upon which the claim of bias or conflict of interest is based, and must be filed with the Chief Administrative Law Judge. An adverse ruling, in and of itself, shall not constitute bias or conflict of interest. [5 ILCS 100/10-30] If the Director finds that bias or conflict of interest exists, the Director shall appoint another ALJ to continue the proceeding.

b) ALJs may recuse themselves from presiding over a matter due to conflict of interest or bias.

c) In any contested case, the Director shall appoint and employ an attorney, licensed to practice in Illinois, to serve as Administrative Law Judge on behalf of the Board. The Director may also appoint and employ an attorney, licensed to practice in Illinois, to serve as ALJ to conduct any hearing in the Director's stead. The ALJ shall be empowered to conduct the hearing, question witnesses, make rulings on motions and objections, and submit findings of fact, conclusions of law, and the ALJ's recommendation to the Board or Director at the conclusion of the case.

d) It shall not be a bar to employment as an Administrative Law Judge that the attorney is also a Department employee.

History

• Source: Amended at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.210 Ex Parte Communications

a) After a notice of hearing has been issued, communications between a party to a proceeding and the Administrative Law Judge, Board, Director or an employee of the Department, whether oral or written, direct or indirect (ex parte communications), are generally prohibited, except upon notice and opportunity for all parties to participate. However, communications solely for the purpose of determining procedural or administrative requirements, or communications between agency employees or between an Administrative Law Judge and a personal assistant, will not be considered ex parte communications for the purposes of this Section. (See 5 ILCS 100/10-60.)

b) Any written ex parte communications, as well as a written summary of any oral ex parte communications, shall become part of the record of any proceeding before the Department, but shall not be the basis for any finding of fact by the Administrative Law Judge, the Board or the Director. (See 5 ILCS 100/10-35 and 10-60.)

History

• Source: Amended at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.220 Consent Decree

If the parties to the proceeding resolve, settle or compromise their dispute and the parties desire the Administrative Law Judge to enter a consent decree in order to resolve the matter pursuant to section 10-25 of the Illinois Administrative Procedure Act, the ALJ, as part of the settlement agreement, shall enter the consent decree as long as the proposed consent decree does not violate the Lottery Law under which the contested case was brought or 11 Ill. Adm. Code 1770.

History

• Source: Added at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.230 Settlement Agreements

Terms of settlement shall be in writing and signed by the parties. The Administrative Law Judge has no authority to change, amend or modify the settlement agreement of the parties to the proceeding.

History

• Source: Added at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.240 Non-Compliance and Enforcement of Settlement Agreements

When the Department believes that a party has violated written terms of a settlement approved by the Administrative Law Judge under Section 1700.195 and 1700.220, it may file a notice with the ALJ, with service upon all parties, specifying the nature of the alleged violation and praying for an order authorizing the Department to seek judicial enforcement.

History

• Source: Added at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.250 Communication Aids and Service

a) The Department will provide oral or sign language interpretation services upon request for persons seeking information or participating in a hearing. The Administrative Law Judge may order the use of these such services at a hearing.

b) A person who needs oral or sign language interpretation services for a hearing shall request them as early as possible to avoid delay.

c) An interpreter at a hearing shall swear or affirm under penalty of perjury to interpret accurately, completely, and impartially.

History

• Source: Added at 47 Ill. Reg. 13886, effective September 18, 2023

11 Ill. Adm. Code 1700.260 Record of Hearings

a) The record of the hearing in a contested case shall include:

1. All pleadings presented before the Administrative Law Judge (including notices, responses, admissions, stipulations of fact, motions and rulings on these issuances);

2. All documentary evidence;

3. A transcript of the proceedings;

4. The findings of fact, conclusions of law, and recommendation of the ALJ;

5. The findings of fact, conclusions of law, and recommendation of the Board; and

6. The order of the Director, which shall constitute a final administrative decision pursuant to Section 10-25 of the Illinois Administrative Procedure Act.

b) The record shall be copied and assembled by the Department and certified by the Director upon any complaint for administrative review. The party seeking the administrative review shall pay the copying fee and the certification fee. An index of the record, with each page of the record numbered in sequence, will be prepared by the Department.

History

• Source: Added at 47 Ill. Reg. 13886, effective September 18, 2023

Part 1770 Lottery (general)

11 Ill. Adm. Code 1770.10 Definitions

Terms defined in the Lottery Law have the same meanings when used in this Part. The following words and terms when used in this Part shall have the following meanings, unless the context clearly indicates otherwise:

"Agent" means a person permitted by a license issued by the Director under the authority of Sections 9.d, 10 and 10.1 of the Lottery Law to sell Illinois Lottery game tickets to the public.

"Administrative Hearing" means a proceeding at which parties present legal arguments and evidence about a case to an Administrative Law Judge or the Board, pursuant to the Lottery Law and 11 Ill. Adm. Code 1700.

"Administrative Law Judge" or "ALJ" means an attorney admitted to practice law by, and in good standing before, the Illinois Supreme Court who is duly authorized and designated in writing by the Director of the Illinois Lottery to convene and conduct hearings on matters under the jurisdiction of the Department. An ALJ is specifically empowered to administer oaths and affirmations; rule on matters of proof and evidence; regulate the schedule and course of the hearing and pre-hearing process; hear and dispose of procedural and other similar matters; sign and issue orders and subpoenas; and exercise any other powers relating to the proceeding which are legally proper and reasonably necessary to carry out an ALJ's responsibilities. The authority of any person to act as an ALJ shall not be a matter of proof in any hearing before the Department unless an appropriate motion is made pursuant to 11 Ill. Adm. Code 1700.200.

"Annuity" or "Annual Payout Option" means the payment of the grand prize in 30 consecutive graduated annual installments for Mega Millions, Powerball and Lotto games and 20 consecutive straight line annual installments for instant games as per game rules.

"Applicant" means a person who has applied to the Director for a license to sell Lottery game tickets to the public.

"Assignment" means a change of ownership for an annuity.

"Automated Clearing House" or "ACH" means a computer-based electronic network for processing payments and automated money transfers between banks across the United States without using paper checks, wire transfers, credit card networks, or cash.

"Bearer Instrument" means a designation of a Lottery game ticket under which the winnings from the ticket are payable to the person or business organization possessing the ticket or to the order of the person who has demonstrated bearer status by signing the ticket as the owner.

"Board" means the Lottery Control Board as established by Section 6 of the Lottery Law.

"Business Organization" means a partnership; incorporated or unincorporated association or group; corporation; limited liability company; partnerships for shares; trust; sole proprietorship; or other business enterprise.

"Cash-for-Life Game" means a Lottery game that offers a set prize payment to be made in installments to that winner for the duration of the winner's life or lump sum cash equivalent.

"Cash Option" has the same meaning as "Lump Sum".

"Chairperson" means the Chairperson of the Lottery Control Board.

"Change of Business Organization" means a change from one form of organization and ownership of a business organization to another.

"Change of Name" means a change in the corporation or doing business as name shown on the records of the Secretary of State, County Clerk, or both, in the license granted to the Agent and in the Agent's application for a license.

"Claim Process" means the process of completing an Illinois Lottery claim form and providing proper identification involved in awarding a prize to a Claimant. iLottery claims up to $599 or less submitted through this process will be treated the same as if they were presented to a retailer with no formal claim submission and automatically credited to an account.

"Claimant" means a person, as defined in this Section, who presents a valid winning Lottery game ticket to an Agent or a Lottery prize center or administrative office for the purpose of receiving a prize. iLottery claims up to $599 or less that are presented in this manner will be treated the same as if they were presented to a retailer with no formal claim submission and automatically credited to an account.

"Department" means the Illinois Department of the Lottery.

"Director" means the individual responsible for the executive oversight of the Department.

"Draw-Based Game" or "DBG" means a game wherein its winning lottery numbers, symbols, characters, or outcomes are randomly selected by a manual or digital process. Each DBG approved for sale by the Department is played in accordance with its game rules. DBGs may be sold by licensed retailers and via the Department.

"Drawing" means the procedure by which the Department (or in the case of a multi-jurisdiction game the managing organization) randomly selects winning numbers, symbols, characters, or outcomes in accordance with the rules of the specific game being played and its drawing procedures.

"Electronic Funds Transfer" or "EFT" means an electronic financial transaction from one account to another.

"Game" means any individual or particular type of Lottery authorized by the Department.

"Game Closed" means the time when tickets for an instant game can no longer be ordered or distributed by the Lottery or a retailer.

"Game End" means the official date, determined by the Lottery, an instant game has ended. Prizes must then be redeemed within the time period required by the Lottery.

"Game Expiration" means the time after an instant game has been closed and the game prize redemption date has passed, when tickets from the game can no longer be redeemed.

"High-Frequency Prize Winner" means a person who submits at least 20 claims for Lottery prizes, each with a value of $1,000 or more, within any period of 365 days.

"iLottery" or "Internet Lottery" means the ability to place wagers via the internet on Lottery games.

"Instant Game" or "Scratcher" means an instant lottery ticket on which a player scratches the covering from one or more play areas to determine if a prize was won, as indicated by the symbols and words that are revealed. Instant games are Lottery games that can be played, won and redeemed at the time of purchase.

"Internet Lottery Player Account" means a secure electronic account associated with a registered internet Lottery player that allows the internet player to access information about the player's Lottery internet account, including, but not limited to the transaction history of purchases, winnings and prize redemptions. The player account also maintains a bank account established for the purpose of purchasing Lottery game tickets or subscriptions via the internet and receiving payment for any prizes won in connection with an internet Lottery purchase. Prizes up to $599 are paid back into the account, unless the player's winnings exceed the maximum wallet threshold of $2000 at which point the player's winnings will automatically by mailed to them by check. For prizes in excess of $600, a claim must be submitted to the Department for processing.

"Jackpot" means the top prize in a pari-mutuel or progressive draw-based Game. Jackpots are paid in accordance with the game rules and can be either in annuity payments or in one lump sum.

"License" means an Agent license, issued by the Director pursuant to Section 9 of the Lottery Law for an Agent to sell Lottery tickets to the public.

"Lottery" means the Lottery established and operated pursuant to the Lottery Law.

"Lottery Beneficiaries" means the designated recipients of lottery prizes.

"Lottery Game Ticket" or "Ticket" means:

A scratch-off ticket;

A paper ticket produced from a kiosk or electronic record generated and maintained by the Department's central gaming system, on official paper stock approved by the Department, by a Lottery retailer; or

A virtual ticket purchased via the internet and recorded in the Department's central gaming system.

"Lottery Law" means the Illinois Lottery Law [20 ILCS 1605].

"Lottery Retailer" means a location licensed by the Department to sell Lottery game tickets or shares. [230 ILCS 45/25-70]

"Lottery Sales Representative" means a lottery employee responsible for servicing lottery retailers' needs in a particular geographical region or territory, or by a specific classification of retailer.

"Lump Sum" or "Cash Equivalent Option" means a single prize payment, as opposed to an annuitized payment.

"Lottery Vendor" or "Vendor" means any person or company who submits a bid, proposal or offer and is awarded a contract to provide goods or services to the Lottery.

"Multi-Jurisdiction Lottery" means lottery games that are offered in more than one jurisdiction, including Powerball and Mega Millions, allowing lotteries to generate larger jackpots than they could individually. Jackpots may be paid in lump sums or annuities.

"Multi-State Lottery Association" or "MUSL" means a non-profit, government-benefit association that assists its member lotteries in multi-jurisdictional game development. Each MUSL member, and non-members who sell MUSL games via a cross-sell agreement, offers one or more of the games administered by the association, but retains its independent statutory duties regarding ticket sales, retailer authorization, prize payments, income offsets, and other responsibilities.

"Multiplier" means an extra number drawn to increase the payout if the wager is a winner. The drawn number (Y) will multiply the player's prize (X) by that drawn (Y) value. A multiplier option usually requires an additional wager amount.

"Net Proceeds" means all revenue derived from the sale of Lottery game tickets or shares, all other monies derived from the Lottery games, and all other monies derived in the operations of the Lottery, less the amounts expended for prizes, retailer fees, and other operating costs as determined by Generally Accepted Accounting Principles issued by the Government Accounting Standards Board and the Financial Accounting Standards Board.

"North American Association of State and Provincial Lotteries" or "NASPL" means the non-profit professional association formed to assemble and disseminate information and benefits of state and provincial lottery organizations through education and communications and where appropriate publicly advocate the positions of the Association on matters of general policy. NASPL represents government-sanctioned lotteries in the United States, Canada, Virgin Islands and Puerto Rico.

"On-line Status" means the ability of an Agent to sell computer-generated Lottery game tickets or shares for the Lottery's draw-based games through a terminal connected to the Department's central gaming system.

"Operating Expenses" means all costs of doing business including, but not limited to, prizes, commissions, bonuses, and other compensation paid to an agent; advertising and marketing costs; rental fees; personnel costs; capital costs; depreciation of property and equipment; funds for compulsive gambling education and treatments; amounts held in or paid from a fidelity fund; and other operating costs.

"Payout" means the money or cash prize that a player wins for matching a certain combination of numbers.

"Person", when used in reference to an Agent's license, shall be construed to mean and include an individual, association, partnership, corporation, limited liability company or partnership, club, trust, estate, society, company, joint stock company, receiver, trustee, referee, or any other person acting in a fiduciary or representative capacity, who is appointed by a court, or any other combination of individuals. "Person" includes any department, commission, agency or instrumentality of the State, including the Department, and also including any county, city, village, or township and any agency and instrumentality of this State.

"Player", when used in the context of a purchase of a Lottery game ticket or of a prize claim, means:

an individual;

a group of individuals;

a partnership or club;

a revocable living trust;

an irrevocable trust, if the trust agreement was executed prior to the date the prize was won;

an irrevocable trust, if the trust agreement was executed prior to the date the prize was won, and provided all beneficiaries are named in the trust;

an estate;

a governmental entity other than the Department; or

the following additional types of entities:

a limited partnership;

a corporation;

a limited liability company; or

a charitable organization.

Prize claims by any such "players" are subject to eligibility requirements set forth in the Lottery Law, this Part, or game rules.

"Point of Sale" means the physical location where an Agent is licensed to conduct the sale of Lottery game tickets to the public.

"Private Manager" means the company, and any permitted successor company, awarded a contract to provide business management services, including but not limited to the operation of sales, advertising, marketing, retail agent services and system support functions to the Illinois Lottery in accordance with the Lottery Law.

"Prize" means any award, financial or otherwise, awarded to a Lottery game ticket holder pursuant to the rules of the Lottery. In determining whether a winning Lottery Game Ticket may be redeemed for cash through a Lottery retailer or at a prize center, or must be presented to a Department office for payment, and whether a prize may be claimed in a group name or must be claimed by an individual group member, the Department will adhere to 26 U.S.C. 165(d) and deduct the amount of the wager from the face value of the prize.

"Prize Center" means a Lottery office or other authorized location where:

Winning Lottery game tickets with a face value up to $25,000 may be redeemed pursuant to Section 20.1 of the Lottery Law; or

Larger prizes, or those subject to withholding or investigation, may be claimed.

"Redeem" (and its variants) means to surrender a valid winning Illinois Lottery game ticket to a Lottery retailer for immediate cash payment of the prize, or to a Lottery prize center for payment by check, prepaid debit card, electronic funds transfer, automated clearing house, or other means in accordance with Section 1770.190.

"Registered Internet Lottery Player" means an individual who has successfully established an internet Lottery player account after registering through the Lottery's web portal establishing the requisite age, location and other eligibility requirements.

"Related Terminal" means any player activated machine or any Agent operated terminal in which another Agent has an interest.

"Requests for Proposals" or "RFP" means a formal, public notice by an organization inviting vendors to submit ideas, concepts and costs related to a specific end.

"Secretary" means the Secretary of the Lottery Control Board.

"Service" means the mailing of any notice required by the Lottery Law or this Part by certified mail or electronic means, return receipt requested. Service by mail shall be deemed complete four days after mailing of the document, properly addressed and posted for delivery, to the person to be served. Service shall be deemed complete if the notice is returned undelivered or unclaimed when mailed, postage prepaid, to the intended recipient's last known address as disclosed in the Department's records, or if 30 days have elapsed from the date of mailing, to that address with no return of the item. Service by electronic means is complete on the day of transmission or, if after 5:00 p.m., the next business day. If service is by email, the Department shall maintain a copy of the sent email and shall verify, within one business day, that the transmission of the email has not been rejected or has failed. In the event of rejection or failure, absent correction of an erroneous email address, service shall be made by mail.

"Special License" means a license issued by the Director limited in geographic scope and/or duration of validity (see Section 1770.30).

"State Lottery Fund" means the special fund, created in the State Treasury by Section 20 of the Lottery Law, in which all revenues received by the Lottery, as defined and limited by Section 20 of the Lottery Law, are deposited.

"Subscription" means a paid-in-advance program in which a player purchases a specified number of Lottery tickets to be drawn over a specified time period. Subscriptions may be offered to players in several ways, including via the internet where allowed by the Lottery Law.

"Surety Bond" means a promise to be liable for the debt, default, or failure of another. It is a three-party agreement that legally binds the agent or vendor who needs a bond; the Lottery, which requires the bond as proof of financial responsibility; and a surety company that guarantees the performance or obligations of the agent or vendor to the Lottery.

"Sweep Account" means a banking account which allows the Lottery to credit or debit funds to a retailer through EFT.

"Sweepstakes" means a game in which prizes are awarded to a specified number of entrants drawn from a pool.

"Ticket Discounting" means reselling or having a person other than the prize winner claim a winning Lottery game ticket or buying or claiming a winning Lottery game ticket for the purpose of assisting the original prize winner with concealing the winner's identity as a prize winner.

"Ticket Symbol" means the printed data in the play area on the front of an instant game ticket that is used, among other things, to determine eligibility for prizes pursuant to the working papers/games specifications for each game.

"Transfer" means the change, in the aggregate, directly or indirectly, of the equity, management control, legal ownership, or shares of stock of the Agent.

"Trust Account" means a bank account designated and dedicated by an Agent for the receipt of Lottery proceeds.

"Tradestyle" means a Lottery retailer category based on similarities in operation, organization, or business model, as determined by the Director.

"Validation Number" means a unique set of identification numbers on draw-based and instant game tickets that is matched with internal databases in order to determine the winning or non-winning status of the ticket, as well as the prize amount.

"Withholding" means the amounts required by law to be subtracted from a winner's prize to recover money owed by the winner to others for obligations that include but are not limited to State, federal, and in some cases local taxes; judgment creditors; or child support obligations.

History

• Source: Amended at 47 Ill. Reg. 13924, effective September 18, 2023

11 Ill. Adm. Code 1770.20 Selection of Lottery Sales Agents; License Application and Fee

a) The Director shall license Agents as authorized persons engaged in business activity dealing with the public, provided that the sole proprietors, partners, corporate officers or principals of an applicant must be 18 years of age or older to be eligible to apply for a license. The total number of Agents shall be sufficient to assure that Lottery products are conveniently available to the public throughout the State, consistent with the constraints of the Department's budget. To obtain a license, any interested person must first complete application forms provided by the Department. Information to be included on application forms will include, but is not limited to: type of business; tax identification numbers; retailer agreement for the sale of Lottery tickets; retailer contract for the sale of Lottery tickets; and acknowledgement of the requirement for a Lottery trust fund account. Upon receipt of the completed application, the Department will have a representative meet with the applicant to discuss the responsibilities of selling Lottery products and to gather information concerning the applicant and the applicant's business establishment considering the factors listed in this subsection (a). The Director shall give careful consideration to the following factors in selecting as Agents those persons that one may expect to provide a high level of sales volume of Lottery products, proper security for the Lottery equipment, Lottery game tickets and money, and a good public image for the State's Lottery products:

1. The credit worthiness and financial responsibility of the applicant as disclosed by standard credit reporting services, the records of the State, and other credible information bearing upon the credit worthiness of the applicant as may be brought to the attention of the Director;

2. The criminal history and tax status of the applicant as disclosed in the application or in records of federal, State or local governments;

3. The physical security of the applicant's establishment in terms of the physical structure and design of the applicant's facilities as it would relate to the placement of Lottery equipment, the sale of Lottery products and the storage of Lottery receipts;

4. The public accessibility of the applicant's place of business or activity, including accessibility from roads, major highways, parking facilities and public transit routes, accessibility by the disabled, proximity of pedestrian traffic, hours of operation of applicant's business, and the cleanliness, attractiveness and physical security of the premises;

5. The number of existing Lottery sales licenses in the vicinity that are of similar tradestyle and overall type of operation to the extent that entering into a retailer agreement might jeopardize the Lottery's integrity, security, honesty, or fairness of the operation and administration of the Lottery games or undermine the public's confidence relevant to a positive perception of the Lottery, including but not limited to pawn shops, gun shops, adult entertainment establishments (18 years or older), payday loan services, or currency exchanges;

6. The nature of the applicant's business and the volume of in store sales from the applicant's regular business in order to assure that the sale of Lottery products will be ancillary to the applicant's regular business;

7. The level of anticipated or projected sales from the general area in which the applicant's business is located, taking into consideration the demographics of the neighborhood or locality, the proximity of the location to population centers and the average sales for other comparable Lottery retailers;

8. The character of the applicant and the applicant's reputation for honesty and integrity in the community;

9. The veracity of the information supplied in the license application;

10. The merchandising skills and business experience of the applicant, including the tenure of applicant's business at the proposed location;

11. Any information relating to these listed factors that the applicant provides to the Department's representative at the time of the site visit or at the time of submission of the application.

b) The Director will make available application forms for application for licensing as an Agent. Each license application shall be accompanied by a non-refundable $100 application fee. Each application for renewal of a Lottery license shall be accompanied by a renewal fee of $50. The application and fee shall be mailed or delivered to the address provided on the license application.

c) The license fee described in subsection (b) may be waived by the Department if the period of the license does not exceed 30 days and no new background checks are required for the applicants.

d) Each Lottery Agent granted a license under this Section must pay a fee of $12 per week as partial reimbursement for communications charges incurred by the Department in providing access to the Department's central gaming system. [20 ILCS 1605/10.2]

History

• Source: Amended at 47 Ill. Reg. 13924, effective September 18, 2023

11 Ill. Adm. Code 1770.30 Special Licenses

a) The Director may issue special licenses from time to time for the sale of Lottery products at public events of short-term duration and limited geographic scope. Examples of these events include, but are not limited to, State and county fairs, ethnic festivals and street fairs. The Director may also issue special licenses to undertake pilot Lottery game ticket sales in order to evaluate the desirability and long term viability of the location and nature of Lottery game ticket sales or the person being granted the special license before that person is granted a traditional license. Subject to the provisions of subsection (c), a special license shall entitle the holder to conduct sales of instant tickets only for the term of the special license and on the licensed premises. The term of the special license shall be determined by the duration of the event or a pilot program.

b) Factors that shall be considered by the Director in determining whether to license the sale of Lottery products during the course of a public event, or otherwise under a special license, shall include, but are not limited to:

1. The anticipated public perception of the event or licensee as an appropriate vehicle for marketing of Lottery products;

2. The term and expected attendance at the event, or traffic at the licensee's location, as a measure of anticipated sales; and

3. Sensitivity of the licensee to the preservation of the integrity of the Lottery and its products, including the licensee's conduct of similar activities or events, if any, in a responsible manner.

c) Any person may apply for a special license. Applications for special licenses will be subject to the discretionary review of the Director as provided in subsections (a) and (b). In granting on-line status, the Director shall additionally consider the cost of installation and availability of equipment balanced against the anticipated volume of sales of Lottery products.

d) Agents holding special licenses are subject to the same responsibilities and restrictions as regular Agents as set forth in this Part. However, the Director may, in the Director's discretion, temporarily waive a particular condition of licensing in order to carry out the purposes of this Section. Factors the Director will consider include, but is not limited to: the length of the special license; necessity for additional background checks; and type of event.

e) If the Director determines Lottery game tickets should be sold at a public event, and no application for special license is received for that event, the Director may assign personnel of the Department or of the Private Manager, as may be appropriate, to sell tickets to the public at the event.

f) The Director may issue special licenses to veterans' service organizations permitting the organizations to sell the specialty tickets authorized by Section 21.6 of the Lottery Law on a year-round basis and with no requirement to sell other Lottery products. No application or renewal fee shall be charged for this special class of license, and the licensees shall not be required to redeem winning tickets. Bonuses and commissions earned by the veterans' service organizations shall be as specified in Section 10.8 of the Act.

History

• Source: Amended at 47 Ill. Reg. 13924, effective September 18, 2023

11 Ill. Adm. Code 1770.40 License Revocation Without Prior Notice

a) Pursuant to Section 10.1 of the Lottery Law, the Director must act to assure that no person whom the Lottery Law declares to be ineligible for a license is granted a license, and that no Agent who becomes ineligible under the Lottery Law is allowed to remain as an Agent.

1. The Director may revoke or suspend a license without notice or prior hearing when the Agent has:

A) violated any of the provisions of the Lottery Law or this Part;

B) failed to meet or maintain the eligibility requirements for licensing as provided in the Lottery Law and this Part, and the conditions of licensing set forth in Section 1770.60;

C) been found guilty of fraud, deceit, misrepresentation or other conduct prejudicial to public confidence in the Lottery, including misrepresentation or failure to disclose a material fact on its application for the sale of Lottery game tickets;

D) been convicted of a felony, reasonably related to the responsibilities of selling Lottery products, in any jurisdiction, unless the requirements of Section 10.1 of the Act have been met;

E) in contravention of the agent's fiduciary duty:

i) commingled and has failed to segregate Lottery funds as a "trust fund" as required by the Lottery Law;

ii) failed to surrender Lottery funds and/or unsold instant tickets upon demand by the Department or its authorized agent;

iii) carried an accounts receivable balance in excess of $500 for more than 90 days; or

iv) failed to post a bond or security deposit as required by the Director;

F) failed to take reasonable security precautions with regard to the handling of Lottery game tickets and related materials;

G) untimely offered new Lottery products for sale, altogether ceased to offer Lottery products for sale, or changed business ownership, (see Section 1770.80(d)), with no prior notice to the Department by the seller or buyer;

H) demonstrated, based on information made available to the Director after the Agent was licensed, that the Agent's character and general fitness are such that participation as an Agent is inconsistent with the public interest, convenience and necessity;

I) demonstrated, based on information made available to the Director after the Agent was licensed, that the Agent or an employee has engaged in discrimination and harassment inconsistent with the public interest and State and federal law;

J) demonstrated insufficient financial stability, integrity and responsibility to conduct Lottery activities;

K) demonstrated insufficient business ability and experience to create and maintain successful Lottery activities;

L) filed, or had filed against it, a proceeding for bankruptcy or has ever been involved in any formal process to adjust, defer, suspend, or otherwise work out the payment of any debt;

M) been served with a complaint or other notice filed with any public body regarding a payment of any tax or child support required under any law in any jurisdiction, when the Agent has been in breach for one or more years; or

N) currently or previously been a defendant in litigation involving business practices that would call into question suitability to be licensed.

2. The Director may revoke or suspend a license without notice or prior hearing when the Agent, or an employee of the Agent responsible for Lottery game ticket sales, has:

A) engaged in bookmaking or other forms of illegal gambling, theft or fraud in any jurisdiction; or

B) sold a Lottery ticket to a person under the age of 18 or permitted any person under the age of 18 years to use a Lottery terminal or application.

3. The Director will assess a fine of no more than $5,000 if a licensee has violated any provision established under this subsection (a).

b) In the event the Director revokes or suspends a license without notice and an opportunity for a prior hearing, the Director shall, by service of appropriate notice pursuant to 11 Ill. Adm. Code 1700.30 and this Part, afford the person whose license has been revoked an opportunity for a hearing within 30 days after the revocation order has been issued. As a result of any such hearing, the Director may confirm the action revoking the license or may order the restoration of the license. In determining whether to confirm the action revoking the license or order the restoration of the license, the Director shall take the following factors into consideration, if applicable:

1. The Agent's history of past offenses;

2. Whether the Agent's course of conduct constituted a threat to the safety of the Agent, Department officials, or others;

3. Any evidence of the Agent's ignorance of a material fact that led to his or her improper or unlawful conduct;

4. The degree of cooperation with Department officials exhibited by the Agent;

5. The degree to which the Agent profited economically as a result of the Agent's conduct;

6. Any other evidence offered and noted by the Administrative Law Judge as demonstrating factors in mitigation or factors in aggravation of the relief sought in the complaint.

c) Upon revocation of the Agent's license, the Department will arrange, and the Agent shall participate in, a meeting with the Department's representative for the purpose of rendering the Agent's final Lottery accounting. At that meeting, the Agent shall surrender the license, unsold Lottery game tickets and other Lottery equipment and materials supplied to the Agent by the Department or its vendors.

d) Nothing in this Section shall be construed to prevent the immediate revocation of the Agent's license upon the Agent's request and the Department's approval, or upon the effective date of a transfer for which the Department has received written documentation (see Section 1770.80). The right to a hearing shall not apply in these circumstances.

History

• Source: Amended at 47 Ill. Reg. 13924, effective September 18, 2023

11 Ill. Adm. Code 1770.50 License Revocation, Suspension, Non-Renewal or Denial with Prior Notice

The Director may deny, suspend, not renew or revoke an Agent's license with prior notice and opportunity for hearing for one or more of the following causes:

a) Violation of any of the provisions of the Lottery Law or this Part;

b) Failure to meet or maintain the eligibility requirements for licensing as provided in the Lottery Law and this Part, and the Conditions of Licensing set forth in Section 1770.60;

c) Fraud, deceit, misrepresentation or other conduct prejudicial to public confidence in the Lottery;

d) The misrepresentation of, or failure to disclose, a material fact to the Board or the Director on any report, record, application, form or questionnaire required to be submitted to the Board or the Director, including, but not limited to, the misrepresentation of or failure to disclose a criminal record, taxpayer status with the State of Illinois, or relevant information bearing on the financial status of the applicant;

e) Failure to promptly produce for inspection, by a member of the Board, the Director, or their authorized representatives, including law enforcement personnel, any book, record, account, document or item required by the Lottery Law or this Part;

f) Refusal to permit access to members of the Board, the Director, or their authorized representatives, including law enforcement personnel, to any place where a licensed Lottery activity is conducted;

g) Failure to file any returns or reports or to keep any records or reports required by the Director under the Lottery Law or this Part;

h) Failure to account for Lottery game tickets received or the proceeds from the sale of Lottery game tickets, and to post a bond or a letter of credit or security deposit as required by the Director;

i) Failure to maintain sales levels established by Department directive;

j) Failure to comply with the instructions or directives of the Director as to security procedures for the handling of Lottery game tickets or the conduct of any Lottery game;

k) Knowingly causing, aiding, abetting or conspiring with any other person to violate the Lottery Law or this Part;

l) Making a misrepresentation of fact to the purchaser, or prospective purchaser, of a Lottery game ticket, or to the general public, with respect to the conduct of any Lottery game;

m) Upon a determination by the Director that the number of Lottery retailers in the Agent's area of operation exceeds the number that can be efficiently supported by the Department's budget or personnel, or the public convenience in obtaining Lottery products is sufficiently served by other Lottery retailers, considering the total volume of sales in that area;

n) Failure to pay the Department any obligation when the obligation becomes due;

o) Upon a determination by the Director that the Agent has become insolvent or unable or unwilling to pay debts;

p) Failure to display Lottery point-of-sale material in a manner that can be readily seen by the public, or make hand-out materials readily available to the public;

q) Upon any change of name, change of ownership, change of business organization, or change of business location;

r) Selling a Lottery game ticket to, or giving a ticket or paying a prize to, a person under the age of 18. (Section 15 of the Lottery Law) For the purposes of this Section, an action by an employee of the Agent shall constitute an action by the sales Agent.

s) The person's place of business caters to or is frequented predominantly by persons under 18 years of age, but excluding family-oriented businesses;

t) The nature of the person's business constitutes a threat to the health or safety of prospective lottery players;

u) The nature of the person's business is not consonant with the probity of the Department;

v) The person has an unsatisfactory prior history, record, or performance with the Lottery;

w) The person's place of business represents a substantial risk for the collection, deposit, preservation, accounting, or safeguarding of the Department’s trust accounts, irrespective of the bond or surety provided by the person;

x) The person has been suspended permanently from a federal or state licensing or authorization program and that person has exhausted all administrative remedies pursuant to the respective agency's regulations or procedures; or

y) The proposed retailer's licensed location or locations do not comply with the requirements of the Americans with Disabilities Act of 1990 (42 U.S.C. 12101) Accessibility Guidelines.

History

• Source: Amended at 47 Ill. Reg. 13924, effective September 18, 2023

11 Ill. Adm. Code 1770.60 Conditions of Licensing

An Agent has a continuing duty to maintain suitability for licensure. A license does not create a property right but is a revocable privilege contingent upon continuing suitability for licensure. Licensees are subject to the following conditions of licensing:

a) Licenses issued by the Department shall be issued to a person, as defined by Section 1770.10, for a specified point of sale, as defined by Section 1770.10, on the condition that the Agent maintains eligibility under the applicable criteria under which the license was granted by the Director (see Section 1770.20);

b) Agents shall, at all times during the term of their license, comply with the Lottery Law and any rules or instructions of the Director concerning the security of Lottery equipment, Lottery game tickets or money and the proper conduct of Lottery promotions;

c) Each Agent shall make available for sale to the public, during its normal business hours, the Lottery products that the Agent has been licensed to sell;

d) No license issued pursuant to the Lottery Law shall be changed, assigned or pledged as collateral. A transfer that occurs after the Director has issued a license shall automatically terminate the license;

e) Lottery licenses or other point of sale materials shall be displayed in a conspicuous place on the business premises where the Lottery game tickets are licensed to be sold. The Department will make the odds and written play instructions available to players by publishing in the Illinois Register and on its public website (https://www.illinoislottery.com) or on request from the Department;

f) Agents shall actively promote the sale of Lottery game tickets;

g) Agents shall maintain authorized displays, drop boxes, equipment and properly display other promotional materials used in conjunction with sales in accordance with instructions issued by the Department;

h) Each Agent will be held responsible for all instant game tickets accepted from the Department or its vendors and Lottery game tickets generated by the Agent from the Department's central gaming system. All receipts from sales, less commissions earned and prizes properly paid to winners, shall be paid to the Department by the 90-day settlement deadlines. Any and all Lottery game tickets not returned by the 90-day settlement deadlines, absent any fault on the part of the Lottery sales representative, shall be considered to have been purchased by the Agent;

i) Each Agent shall maintain current and accurate records of all operations in conjunction with the sale of Lottery game tickets and make these records available to representatives of the Department and the Auditor General of Illinois upon request, during normal business hours;

j) No Lottery game ticket may be sold or shared at a price greater or less than that established by the Department's game rules, provided, the Department may authorize free ticket or discounted ticket promotions in support of marketing activities. No Agent may add a service charge, handling fee or other cost to the established price of a Lottery game ticket. No fee may be charged to redeem valid winning Lottery game tickets;

k) No Lottery Agent license shall be issued to any person to engage in business exclusively as a Lottery Agent;

l) No person other than a licensed Agent shall sell Lottery game tickets;

m) Agents shall sell Lottery game tickets on a face-to-face or authorized dispensing machine basis only at the point of sale designated in the license, and shall not conduct sales to off-premises customers by telephone, mail, parcel delivery service, or through an agent-sponsored vehicle such as a club, players' association, or similar entity;

n) No Lottery game tickets shall be sold or given to a person under the age of 18 years, or any prize paid to a person under the age of 18 (Section 15 of the Act);

o) Each Agent shall hold the Department and the State of Illinois harmless with respect to any liability arising in connection with the Agent's Lottery game ticket sales activities;

p) Each Agent shall immediately report to the Department the loss or theft of any Lottery game tickets consigned to the Agent, with the ticket identification numbers;

q) Each Agent shall redeem all winning Lottery game tickets with a face value up to $599 or less, so long as the Agent has adequate ticket sales funds on hand. No Agent shall redeem a winning ticket with a face value equal to or greater than $600, but shall instead follow established prize claim procedures (see Section 1770.190);

r) No license shall be granted to any applicant whose prior Lottery license has been revoked less than two years prior to the date of the current application;

s) No Agent shall sell Lottery game tickets or shares issued by any governmental entity, foreign or domestic, other than tickets and shares for games operated by the Department. No Agent shall sell any other type of gambling or gaming tickets or chances other than those for which the retailer is specifically licensed by a department, board or commission of the State of Illinois or a unit of local government;

t) All Lottery proceeds are funds of the State of Illinois, must be segregated from other business or personal funds, must be held in trust on behalf of the Illinois Lottery, and the agent's fiduciary duty, under penalty of law, must maintain a separate bank account exclusively for deposit and transfer of weekly Lottery fund settlements by means of an Electronic Fund Transfer system. The account must be designated on the bank's records as "Lottery Trust Fund Account";

u) Agents are responsible for resolving net proceed discrepancies on a billing statement (i.e., differences between actual money collected and the amount shown on the billing statement);

v) Agents shall comply with all prescribed State and federal requirements for tax withholding, recording and reporting, including, without limitation, those requirements relating to the transfer, from the Agents to the tax authorities, of funds withheld from player winnings;

w) Notwithstanding subsection (u), any discrepancy regarding settlement of accounts will be resolved by the Director as deemed appropriate;

x) No person shall engage in Lottery game ticket discounting. Any person found to have engaged in the practice of discounting shall be fined, as determined by the Director:

1. For prizes of less than $1,000, not more than $250;

2. For prizes of $1,000 or more, but less than $5,000, more than $250 but not more than $500; and

3. For prizes of $5,000 or more, no less than $1,000; and

y) An Agent shall immediately notify the Department of any proposed or effective change regarding the makeup of the owners, directors, officers, partners, or key employees of the Agent.

z) An Agent must maintain with the Department certified copies of the applicant's charter, articles or certificate of incorporation, certificate of formation, certificate of statutory (or business) trust, certificate of limited partnership, statement of partnership, and any other documents which constitute or explain the legal organization of the applicant plus a certificate of good standing that has been issued by the Secretary of State for the state in which the applicant was created and that is dated within 30 days after the date of the licensing application.

aa) A Lottery retailer shall not extend credit or any public assistance benefits on the sales of lottery tickets.

History

• Source: Amended at 47 Ill. Reg. 13924, effective September 18, 2023

11 Ill. Adm. Code 1770.70 License to Be Displayed

a) Every Agent shall prominently display the Agent's license or a copy of the license in an area visible to the general public.

b) Each Agent shall maintain and display all promotional material in a prominent location, conveniently visible to the public.

History

• Source: Amended at 47 Ill. Reg. 13924, effective September 18, 2023

11 Ill. Adm. Code 1770.80 Change of Name, Transfer, or Form of Business Organization

a) Notification of Change

1. An Agent shall report to the Director, at least 30 days prior to the effective date of the change, any:

A) Change of name;

B) Change of business organization; or

C) Transfer, except to the extent the change occurs as a result of the transfer of interest in publicly traded securities, in which case the reporting must occur within 30 days after the transfer or at the time that any reporting of the ownership interest must be made to the federal Securities and Exchange Commission, whichever is earlier.

2. Reporting may be accomplished by completing a departmental form provided for that purpose or by mailing notice of the proposed change by certified mail, return receipt requested, postmarked on or before the 30th day prior to the effective date of the change and addressed to the Department as follows:

Illinois Lottery

P.O. Box 19081

Springfield, Illinois 62794-9081

b) Each notification of change of name, ownership or form of business organization of a licensee communicated to the Director shall include the following information:

1. The name, address and Agent identification number of the Agent;

2. The name of the business as it appears on the license application;

3. The proposed new name of the business, if applicable;

4. The current form of business organization;

5. The proposed form of business organization, if applicable;

6. The current owners, managers or shareholders of the business, as is indicated on the license application;

7. The proposed transfer, including the names and addresses of the proposed new owners, managers or shareholders, the percentage of proposed transfer of equity, management control, legal ownership, shares or stock; and

8. The anticipated date of the proposed change in name, business organization or ownership.

c) The Director shall review the changes, considering current licensing standards, as provided in the Lottery Law and this Part.

d) The Director, upon approval of a change in name or a change of business organization that does not also involve a transfer, shall issue a replacement license reflecting the new name or business structure. The replacement license shall have an expiration date no later than the expiration date provided in the previous license.

e) Except as provided in this subsection (e), any change of business ownership shall necessitate termination of the existing licensing agreement, as of the effective date of the change of ownership. The new owner must submit an application and fee as provided in Section 1770.20. If the existing Agent has not provided the Department with required written notification of the change, the applicant may be required to furnish documentation evidencing the change in ownership, such as a sales contract. The current license number may be assigned to the new owner of a location in the following circumstances:

1. If a chain account location previously operated by a franchisee continues operation under the franchisor or chain corporate management, and upon corporate guarantee and assumption of the financial obligations of the licensee;

2. If transfer of the location is assumed by an immediate family member of the original Agent (parent, sibling, child or grandparent) and the following conditions are met:

A) The location is in good standing with the Lottery;

B) The family member assuming ownership was involved in the day-to-day operation of the business prior to transfer; and

C) The family member assuming transfer is qualified to hold a Lottery license.

f) Incapacity, Death, Receivership, Bankruptcy or Assignment

1. In the event of the proven incapacity, death, receivership, bankruptcy or assignment for the benefit of creditors of any licensed Agent, and upon approval of the Director, the license may continue under a court-approved or court-confirmed guardian, executor or administrator, receiver or trustee for the benefit of creditors, who may continue to operate the business designated under the license, subject to the provisions of the Lottery Law and this Part, if the person to whom the license is transferred is otherwise qualified to hold a license.

2. The license, following the transfer, shall be void in the event the license transferee ceases to hold the court-appointed or court-confirmed position.

3. The Director may condition the transfer of any license under this subsection (f)(3) upon the posting of a bond, or a guaranteed payment in the form of a cashier's check or money order, on such terms and under such conditions as the Director may deem necessary to protect the financial interests of the State, provided that any such bond shall reflect the reasonably anticipated risk of transfer.

g) Every change in the point of sale designated in the license shall be reported to the Director no less than 30 days prior to the effective date of the change. If the change results from severe damage to or destruction of the point of sale specified in the license, as a result of fire, natural disaster or other cause beyond the control of the Agent, the Agent shall promptly notify the Director of that destruction or damage to the business premises and the consequent change of location, but in no case shall the notification be made later than 3 days after the damage to or destruction of the premises or change of location. Upon notification, the Director shall consider the factors set forth in Section 1770.20 to determine whether the Agent should be licensed to sell Lottery game tickets at the new location. Upon the Director's approval, a replacement license will be issued, with an expiration date no later than that of the Agent's original license.

h) If an Agent fails to notify the Director, in writing, of a transfer before the change occurs, all owners, officers or other responsible persons named in the application for an Agent's license shall remain liable to the Director for all Lottery game tickets and proceeds held by the Agent. This liability extends to:

1. Tickets issued to, or generated by, the Agent; and

2. All proceeds from the sale of the tickets (less prizes paid and/or commissions retained) to the date written notice is received by the Director and a final settlement is conducted, or the date the Agent's license is revoked or otherwise terminated by the Director, whichever occurs first.

History

• Source: Amended at 47 Ill. Reg. 13924, effective September 18, 2023

11 Ill. Adm. Code 1770.90 Delinquent Financial Obligations

a) It is the obligation of each Agent to remain current on the Agent's financial obligations to the Department. Lottery accounts are due and owing, in full, each Wednesday, unless the Agent has been notified by the Department of an alternate settlement day due to a bank holiday or other business disruption. Accounts not settled on the designated settlement day shall be deemed delinquent.

b) The Department will apply sanctions with respect to delinquent Agent accounts, according to the following schedule of sanctions:

1. First delinquency: In the event an Agent is delinquent in settlement of that Agent's Lottery account, and the delinquency is the first within the past 30 days, including the month of delinquency, the Agent will transfer the funds to the Department's account by 4:00 p.m. the next business day, if the delinquency was reported before noon (12:00 p.m.), or by 10:00 a.m. the second business day if the delinquency was reported after noon. If the delinquent settlement amount is paid by the extended settlement deadline, the Agent will be charged with one delinquency but will receive no further sanction. However, if the settlement amount is not paid by the extended settlement deadline, the delinquent Agent's terminal and any related terminals will be immediately deactivated and the account will be referred to the Lottery's accounts receivable staff. The terminal or related terminals will not be reactivated until the follow-up report is received and reviewed by the Department's Chief Financial Officer or designee;

2. Second delinquency: In the event an Agent is delinquent in settlement of that Agent's Lottery account, and the delinquency is the second one in the past 90 days, including the month of the delinquency, the delinquent Agent's terminal or related terminals will be immediately deactivated and the Agent will be charged with a second delinquency. When the delinquent settlement amount is deposited to an account at a branch of the Department's chosen bank or wire transferred to the Department's account, the terminal or related terminals will be reactivated unless the second incident is within one month after the first, or the payment was made after the extended payment deadline. If this occurs, the terminal and any related terminals will be reactivated only after review and approval by the Department's Chief Financial Officer or designee. In determining whether to reactivate a terminal or related terminals, Department staff may consider the Agent's prior history, general financial status as disclosed by a current credit report, ability to provide a security deposit, letter of credit or bond to protect against future delinquencies, and other relevant financial and administrative information as may be available to or requested by the Department;

3. Third delinquency: In the event an Agent is delinquent in settlement of that Agent's Lottery account or any extended payment deadline, and the delinquency is the third one in the past 12 months, including the month of the delinquency, the delinquent Agent's terminal and any related terminals will be immediately deactivated and the Agent will be charged with a third and final delinquency, at which point the Department will revoke an Agent's license.

c) The Department may suspend or revoke an Agent's license after review of a delinquency, at any stage, if the Director determines that suspension or termination is in the best interest of the Lottery. Prior to making a determination to suspend or revoke, the Department will conduct an evaluation of the circumstances surrounding delinquency, including a review of a delinquent agent's past delinquency record, in order to differentiate between incidental agent management error and lack of financial stability or responsibility.

d) It is the responsibility of the Agent to ensure that all payments due to the Department are properly prepared. Failure to properly prepare and tender any payment due to the Department shall not be an excuse for failure to fulfill obligations due to the Department.

e) The deactivation or removal of an on-line terminal, or the suspension or revocation of the license of an Agent, shall not relieve the Agent of liability for any obligation due to the Department.

History

• Source: Amended at 47 Ill. Reg. 13924, effective September 18, 2023

11 Ill. Adm. Code 1770.100 Bonding of Agents

The Department may require a surety bond, letter of credit, or security deposit in the form of a cashier's check or money order from any Agent, at the Agent's expense, to avoid any monetary loss to the State because of the Agent's activities in the sale of Lottery game tickets. The surety bond, letter of credit or security deposit shall not exceed twice the average lottery ticket sales of the retailer for the period within which the Agent is required to remit lottery funds to the Department. For the first 90 days of sales of a new lottery retailer, the amount of the bond may not exceed twice the average estimated lottery ticket sales for the period within which the Agent is required to remit lottery funds to the Department. Most lottery bonds range between $5,000 and $15,000. Standard market rates range between 1%-4% of the total amount or otherwise between $100 and $400. The Department may require a financial statement revealing the financial condition of any person or organization seeking to become, or continue as, an Agent.

History

• Source: Amended at 47 Ill. Reg. 13924, effective September 18, 2023

11 Ill. Adm. Code 1770.110 License Expiration and Renewal

All Agent licenses issued by the Department pursuant to the Lottery Law shall be valid for a period not to exceed 2 years after issuance unless sooner revoked, cancelled or suspended. The license may be terminated before the expiration date by the Director in accordance with this Part. To be eligible for license renewal, an Agent must submit an updated application package or renewal form, as prescribed by the Department, along with a check or money order in the amount of $50. If no check or money order is included with a renewing Agent's or licensee's application, the Department reserves the right to withdraw the sum of $50 from the Agent's or licensee's account.

History

• Source: Amended at 47 Ill. Reg. 13924, effective September 18, 2023

11 Ill. Adm. Code 1770.120 Agent Financial Adjustments

a) Whenever instant tickets are lost, stolen or destroyed while in the possession of an Agent, the Department may provide for full or partial credit against the settlement due the Department from an Agent for lost or destroyed non-winning tickets, mid-tier tickets authorized prior to the loss, and mid-tier tickets properly reported as lost or destroyed and therefore unable to be claimed or redeemed. Each claim for credit shall be accompanied by an affidavit, an incident report, and a police or fire report, as appropriate, and/or other supplementary documentation as the Director may deem necessary to properly validate the loss.

b) Whenever an Agent pays a prize with a claimed value in excess of the amount permitted by Section 1770.190(b) and seeks reimbursement for the full amount paid, the Agent must submit:

1. A written explanation of the circumstances surrounding the prize payment;

2. The winning ticket or, if the Lottery game ticket has been destroyed, a written explanation of the circumstances surrounding the ticket's destruction;

3. A claim form completed in the Agent's name and taxpayer identification number; and

4. Any other documentation requested by the Department's Chief Financial Officer and General Counsel, or their designees.

c) The Department's Chief Financial Officer and General Counsel, or their designees, will review the documentation provided in conjunction with Department records and, if satisfied that an honest error occurred, such an error is not likely to occur again, and that the original holder of the winning ticket was paid the full amount due for the winning ticket, may jointly recommend that the Agent be reimbursed up to the full prize amount paid. If necessary to ensure that no other person has legal claim to the prize, the Department's Chief Financial Officer and General Counsel, or their designees, may withhold reimbursement to the Agent until the pertinent prize claim period has expired.

History

• Source: Amended at 47 Ill. Reg. 13924, effective September 18, 2023

11 Ill. Adm. Code 1770.130 Lost, Stolen, Altered, and Damaged Winning Tickets and Other Discrepancies

a) Except as otherwise provided in subsections (b) and (c), or Section 1770.145 or 1770.160(d), no claim for a game prize with respect to any Lottery game shall be honored, and no prize shall be paid with respect to any such claim, unless the claim is accompanied by a valid winning ticket. Each winning ticket must pass validation and security tests as described in the rules for the game being played.

b) Whenever a physical winning ticket is stolen, lost or destroyed after the ticket has been placed in the hands of an Agent or the Department, the Department may provide for payment of the prize to the winner.

1. If the purported winner furnishes a copy of the claim form and computer-generated claim ticket, and the claim ticket information matches the Department's validation records, the Chief Financial Officer and General Counsel of the Department, or their designees, may jointly authorize payment of the prize. A written statement from the Agent or the Department's prize center confirming that the winning ticket was received may be required prior to payment authorization.

2. In the event a claim has been entered into the computer system but the claimant is unable to produce a claim receipt or, when appropriate, claim ticket, no action will be taken with respect to the claim until the claim period for the game has expired. If the ticket and original claim form and claimant's copy of the claim form remain lost at the conclusion of the claim period for the game in question and no other person has made a claim to the prize, the Department's Chief Financial Officer and General Counsel, or their designees, may jointly authorize payment to the person who originally made the claim.

c) If multiple claims are filed with respect to the same prize, any claimant to the prize may request an administrative hearing as provided in the Department's hearing rules (11 Ill. Adm. Code 1700) and the claims shall be heard in a consolidated hearing during which each claimant shall be permitted, in turn, to present evidence in support of the claim. No discovery of Department records relating to ticket procurement or ticket claims shall be allowed. At the conclusion of the offering of all proofs by all claimants for a prize, the Department shall offer evidence as may be available from Department records that will tend to establish the Lottery retailer at which the actual winning ticket was sold, together with the ticket identification numbers, and the date and time of sale. The Department's motion for dismissal prior to offering of proofs, accompanied by the Department's certification that no computer claim record exists with respect to a purported claim, shall constitute an absolute defense to any claim for a prize.

d) Lost or Stolen Mail-in Claims

1. Whenever a player submits a claim during the valid claim period for a game alleging that a properly purchased Lottery game ticket was lost or stolen after being deposited in the U.S. Mail, if one year has elapsed since the date of the on-line drawing for which the ticket was purchased or one year has elapsed since the announced end of game for the instant game in question, and no prize has been paid to or claimed by another person, the Director may declare the ticket to be a valid winning ticket and authorize payment of the associated prize to the claimant provided that the following conditions are met:

A) The claimant furnishes a copy of the ticket or other satisfactory evidence as to the date, time and location of the ticket purchase for on-line games; the game, location of purchase, and approximate date of purchase for instant tickets; or other relevant information as could only be known by the original purchaser of the ticket;

B) The claimant establishes to the satisfaction of the Director that the claimant took reasonable steps with respect to the security of the ticket and actually deposited the ticket in the U.S. Mail properly addressed to the Illinois Lottery, and that the ticket was not lost or stolen due to the player's negligence or carelessness;

C) Only one claimant meets the criteria outlined in subsections (d)(1)(A) and (B); and

D) The prize claimed is not a Lotto game grand prize, Lucky Day Lotto game first prize, Mega Millions or Powerball grand prize or second prize, or instant game prize in excess of $10,000.

2. Evidence regarding the date, time and place of purchase will not be considered satisfactory evidence of ticket purchase if that information has been generally released to the public by the Department.

e) Erroneous or Cancelled Tickets

1. The Department is not responsible for paying any winning Lottery game tickets resulting from any system or terminal malfunction or from human error. Lottery game tickets misprinted or miscut due to machine error or any malfunction or other type of error must be returned to the Department prior to the draw, and the Lottery Agent's account will be credited. To receive credit, the Agent must notify the Department and send a copy of the ticket if unable to get the physical ticket sent timely in the mail.

2. If a ticket that has been sold to the public is determined by the Director to be misprinted or miscut due to machine or software error (as determined by the Department's internal procedures), the Department will reimburse the ticket holder for the cost of the ticket. However, if it is determined to be erroneously issued due to a malfunction or cancellation or other type of human error, the Agent shall reimburse the ticket holder for the cost of the ticket. Players have the sole responsibility for checking the data printed on their tickets, including numbers played and drawings entered. Misprinted, miscut, and erroneous Lottery game tickets will not be eligible for any prize.

3. For erroneous misprinted tickets received by an Agent, the Director may require Agents to comply with any directives the Director deems necessary.

f) Tickets Altered, Mutilated, Changed, Effaced, Defaced, or Tampered With. Tickets that are altered, mutilated, changed, effaced, defaced or tampered with in any manner, and/or that fail to pass the validation tests and security requirements of the Lottery Law and this Part are void. These tickets will not be eligible for any prize.

History

• Source: Amended at 47 Ill. Reg. 13924, effective September 18, 2023

11 Ill. Adm. Code 1770.140 Sales by Department Directly

a) The Department may engage in direct sales of tickets at any selling points it establishes within the State. The Department may also sell its products by means of telephone, electronic transmission, parcel delivery services and, to the extent permitted by federal statutes, through the U.S. Mail and, subject to the provisions of Section 1770.145, via the internet.

b) In any case in which the Department is engaged in the selling of tickets as a general promotion, nothing in this Part shall be construed to prohibit the Department from compensating Agents who may be economically adversely affected by that promotion.

History

• Source: Amended at 47 Ill. Reg. 13924, effective September 18, 2023

11 Ill. Adm. Code 1770.145 Internet Program (ilottery)

a) The Department shall offer for sale via the internet only those games authorized by the Lottery Law.

b) Players who wish to purchase Lottery game tickets or subscriptions via the internet must register for an internet Lottery player account to ensure that they are eligible to purchase Lottery game tickets or subscriptions, claim prizes or otherwise receive winnings.

1. Players will be required to provide to the Department, the Private Manager, or any other third parties responsible for administering internet Lottery player accounts information including, but not limited to, the following:

A) Legal name;

B) Valid street address (not a P.O. Box), which must be the internet player's legal residence in the State of Illinois;

C) Date of birth;

D) Social Security Number;

E) Debit card, credit card or bank account information; and

F) Email address.

2. The Department, the Private Manager or any third parties engaged by the Lottery or the Private Manager may request additional information from internet players to verify eligibility to establish a Lottery internet account, make purchases of Lottery game tickets or subscriptions, claim prizes or otherwise receive winnings.

c) The Department's central gaming system shall capture the internet protocol (IP) address of the computer used for any internet purchase of Illinois Lottery game tickets or shares and verify the internet player's internet service provider (ISP) in order to determine with reasonable certainty that the starting point for the purchase transaction is within the geographical boundaries of the State of Illinois.

d) The Department, the Private Manager and any third parties engaged by the Lottery or the Private Manager may utilize any combination of commercially available or custom identity verification software, geolocation software, geofiltering software, public databases, Department databases, and financial entity "know your customer" (KYC) processes to confirm the accuracy of the information provided by internet players, as required by subsections (b) and (c), in order to verify information, including but not limited to the following:

1. The player is at least 18 years old for all Lottery games;

2. The player is not an employee of the Department or the Private Manager of the Illinois Lottery, or any other person prohibited from claiming prizes or otherwise receiving winnings pursuant to the Lottery Law or this Part;

3. The internet player has a valid street address (not a P.O. Box), which must be the internet's player's legal residence in the State of Illinois;

4. The computer being utilized for the purchase of Lottery game tickets or subscription plans via the internet is located within the State of Illinois to adhere to the statutory requirement that the sale of Lottery game tickets on the internet is limited to transactions that are initiated and received or otherwise made exclusively within the State of Illinois [20 ILCS 1605/7.15]. If the Department is unable to confirm with reasonable certainty the location of the computer initiating an internet purchase transaction for any reason, including, without limitation, the use of certain ISPs, dial-up connections, cellular gateways, regional and international proxies and other internet communication methodologies that do not allow computer location confirmation, the transaction will not be processed;

5. The internet player is an authorized user of the financial instrument identified for payment of internet purchases; and

6. The confirming email address is valid and associated with the registered internet Lottery player.

e) Upon verification of the player's age, identity, eligibility and location, the Private Manager will establish an internet Lottery player account protected by a password of the internet player's choosing. All future purchases of Lottery game tickets or subscription plans via the internet will be processed through this account. Ticket purchases made through the account will be limited to its currently available fund balance and will be monitored against maximum transaction limits established by the Department or lower limits established by the internet player, if any. The Department reserves the right to suspend an account when the maximum transaction limit is reached. The Department may reactivate a suspended account at the start of the next periodic monitoring cycle.

f) Validated prizes up to $599 won by an internet player as a result of an internet purchase will be posted automatically to the player's Lottery internet account, with no further action required by the internet player. Prize claims in excess of $599 must be submitted to the Department and paid in accordance with the game's claim process.

g) An internet player may access funds in that player's Lottery internet account by transferring funds between the account and a personal bank account or by utilizing the debit card the player received upon establishing an internet account. Players may also request that their Lottery internet account balance be paid to them by check.

h) The Department shall market the internet program to infrequent Lottery players through its Private Manager. [20 ILCS 1605/7.12] Marketing will follow, but is not limited to, the following conditions:

1. not be directed at any gender, race, religion, sexual orientation, or socioeconomic group;

2. inform the public of the age restrictions to purchase Lottery products where reasonable and appropriate;

3. clearly state the odds of winning; and

4. include a "play responsibly" message.

i) The voluntary self-exclusion program described in Section 1770.240 shall also apply to purchases of Illinois Lottery game tickets via the internet.

j) The terms and conditions of use for the internet Lottery player account shall include a statement to the effect that access to and use of the account is limited to the registered internet Lottery player and that user names and passwords should not be shared. Internet players shall certify that they are the registered and authorized user of the applicable internet Lottery player account, are 18 years of age or older, and are completing a purchase from a location within the geographical boundaries of the State of Illinois. In the event a purchase is determined to have been placed by an individual under the age of 18, by someone other than the registered internet Lottery player, from a location outside the State of Illinois, or through any fraudulent or unlawful means, the prize will be forfeited and the funds deposited into the Common School Fund. If an investigation by Lottery security personnel reveals that the registered internet Lottery player actively participated in the fraudulent or unlawful activity, the internet Lottery player account may be canceled.

History

• Source: Amended at 47 Ill. Reg. 13924, effective September 18, 2023

11 Ill. Adm. Code 1770.150 Sales, Inspection, Compensation, and Ticket Purchases

a) Except as provided in Sections 1770.140 and 1770.145 or pursuant to special license, Lottery game tickets shall be sold only to purchasers physically present on the premises at the specific location named in the license.

b) All ticket sales shall be final, and no Agent is authorized to accept Lottery game ticket returns except as otherwise provided in this Part or with the specific approval of the Director.

c) Authorized inspectors of the Department may inspect the business premises of any Agent at any time during normal business hours. The inspections may be made without prior notice to the Agent.

d) An Agent is entitled to a commission for Lottery game tickets the Agent sold, as well as a bonus for winning tickets sold or redeemed by the Agent, at the rate or rates established and approved by the Director. Agents receive a commission of 5% on ticket sales. Additionally, agents are paid commissions through a 1% cashing bonus on redemption of tickets (including free tickets) and winning ticket sold as provided in this Part. These rates are subject to policies or the retailer agreement as approved by the Director.

e) The Private Manager, with approval of the Director, may award additional cash bonuses or other incentives from time to time to Agents. Agents shall be notified of any bonuses or incentives by means of an Agent newsletter or other similar Agent circular distributed by the Private Manager or via electronic messaging through the Agent's Lottery sales terminal.

f) Each Agent shall deposit proceeds from Lottery game ticket sales, minus the commissions and bonuses earned and money paid to winners of prizes (Lottery proceeds), to a Lottery Trust Fund Account in a bank or other financial institution, as required by Section 10.3 of the Lottery Law.

g) All Lottery game tickets accepted by an Agent remain the property of the Department until the tickets are sold and the proceeds remitted to the Department. Any unsold tickets not returned to the Department upon demand shall be considered purchased by the Agent and the purchase price of the tickets, less appropriate deductions, shall be immediately due and payable to the Department. The Agent is responsible for lost, stolen or missing Lottery game tickets not returned, except as provided in Section 1770.120(a).

h) Agents must have with minimum sales volume requirements established by the Department based upon geographic location, economic conditions and other factors that may have an impact on an Agent's ability to increase sales. Agents failing to meet minimum sales volume requirements will be notified and their sales volume monitored. Continued failure to meet minimum sales volume requirements shall result in contract suspension or termination.

History

• Source: Amended at 47 Ill. Reg. 13924, effective September 18, 2023

11 Ill. Adm. Code 1770.160 Lottery Tickets

a) The Director is authorized to prepare for sale to the public such Lottery game tickets as may be appropriate for implementation of the Lottery games offered, from time to time, by the Department, or to offer Lottery game tickets at no charge to consumers 18 years of age or older as a promotional tool.

b) Each Lottery game ticket shall contain the price of the ticket, the drawing date if appropriate, unique identification validation numbers or ticket symbols, barcode and other information the Director may deem appropriate for security and marketing purposes. If a Lottery game ticket is being offered at no charge in connection with promotional activities of the Department, the ticket may be stamped with the words "not for sale" or words of similar import.

c) Any unsigned Lottery game tickets issued by the Director is a bearer instrument and shall be treated as such until a name is imprinted or placed upon the rear portion of the ticket in an area designated for "Name". Once a name is placed on the rear of the ticket in the place designated for that purpose, the person whose name appears in that area shall be the owner of the ticket and shall be entitled to any prize attributable to that ticket, subject to the provisions of subsection (d) and Section 1770.130(f).

d) In the event an otherwise valid Lottery game ticket is submitted as a claim for payment, and the Department is put on notice prior to payment of the claim that ownership of the ticket is disputed by an adverse claimant alleging fraud, theft, loss, conversion or any other misappropriation of the ticket by the claimant of record, the Department may withhold payment of the claim for a period of 10 working days after the day the adverse claim was first communicated to the Department. If a civil action is initiated on behalf of the claimant or adverse claimant in a circuit court of the State of Illinois, or equivalent court of any sister state within 10 working days after the Department has received the notice of adverse claim, the Department shall continue to withhold payment of the prize, or any part of the prize, to the claimant or adverse claimant until an adjudication of the ownership has been rendered by the court, all statutory appeals have been exhausted and, in the case of a judgment entered by the courts of a sister state, the final order has been registered as a foreign judgment in an Illinois court, and all statutory appeals have been exhausted, whereupon the Department shall honor the claim of the prevailing party. During the course of any such litigation conducted in the courts of the State of Illinois, the Department may interplead and pay into court the prize or, in the case of an installment prize, such installment or installments as may fall due during the course of litigation. In the event the Department is not notified by written confirmation received by the Department before close of business on the 10th working day after receipt of the initial adverse claim by the Department, that a civil lawsuit has been filed as provided in this Section, the Department shall honor the claim as filed by the claimant who has presented the winning ticket, and will proceed to process the claim for payment without further reference to the adverse claim. If a violation of Illinois criminal law is indicated, the matter shall be referred by the Director to the appropriate law enforcement authorities, and nothing in this Section will be construed to require the Department to take any action or pay any claim pending final disposition of any criminal investigation or proceedings. No interest shall be payable with respect to prize payments made by the Department, its contractor or other agencies authorized to make these payments by direction of the Department.

e) No claim shall be deemed complete, and no prize shall be awarded with respect to a claim, unless the claimant can and does produce a valid winning Lottery game ticket for the game and prize claimed. Except as otherwise provided in subsection (d) or Section 1770.130 or, for tickets purchased through a subscription or via the internet, claims not accompanied by a winning ticket will be rejected. Any claim received by an Agent and unaccompanied by a ticket will be forwarded to the Department. Upon receipt of any claim, the Department will notify the claimant of the rejection, by certified mail, with notification to be deemed completed if returned undelivered when mailed to the party's last known address with proper postage prepaid. Notice of rejected claims will be mailed within 10 working days after receipt of the claim by the Department, at its Lottery claims validation unit in the Department offices at 404 North 5th Street Springfield, Illinois 62702.

History

• Source: Amended at 47 Ill. Reg. 13924, effective September 18, 2023

11 Ill. Adm. Code 1770.170 Lottery Games

a) The Director may authorize instant ticket games in which winners are determined by matching certain of the numbers, letters, characters, words or symbols as provided by the rules of the game. Instant game rules may also provide for preliminary and grand prize drawings. Preliminary drawings will be from those tickets eligible for entry into the preliminary drawing and submitted to the Department in the manner and by the deadline provided by the rules for the game. Grand prize drawings shall be conducted pursuant to the rules of the game, and copies of written procedures to be followed at grand prize drawings will be furnished to each finalist prior to a drawing.

b) The Department may offer passive Lottery games with pre-printed Lottery game tickets bearing pre-assigned numbers, letters, characters, words or symbols. Winners in these games shall be determined either by the results of future events or by the random selection of numbers, words or symbols at publicly held drawings. Tickets matching the numbers, words or symbols drawn shall entitle the ticket holder to the prize indicated on the ticket, in accordance with the prize structure established by the game rules.

c) The Department may offer computer operated games in which players are permitted to purchase Lottery game tickets bearing player-selected numbers, letters, characters, words or symbols or computer selected numbers, letters, characters, words or symbols, as provided by the rules of the game, for drawings that are regularly scheduled in accordance with game rules. With respect to these games, the Director shall conduct drawings utilizing a computerized random selection program. In the case of drawings conducted using air-driven or gravity selection equipment and by random number generator, drawings shall be by random selection in the presence of a certified public accountant or other independent party who will monitor the integrity of the drawing procedure. For any game utilizing computerized random selection, the selection program will be subject to a software acceptance test by the Department prior to implementation.

d) Players holding Lottery game tickets with numbers, letters, characters, words, symbols or barcode corresponding to those drawn in a game, or that, in combination with those drawn, meet the criteria for prize award set forth in game rules, shall be entitled to prizes in the amounts set forth in game rules established by the Director.

History

• Source: Amended at 47 Ill. Reg. 13924, effective September 18, 2023

11 Ill. Adm. Code 1770.180 Drawings

The Department may award prizes of cash or merchandise as incidental or participation prizes at drawings, at special events and in connection with promotions. Merchandise prizes of nominal value (e.g., water bottles, t-shirts, coffee mugs) may be distributed to all participants at a drawing, special event or promotional activity. However, cash prizes or merchandise prizes having a value in excess of $150 per prize shall be awarded pursuant to a random selection process, in accordance with written procedures.

History

• Source: Amended at 47 Ill. Reg. 13924, effective September 18, 2023

11 Ill. Adm. Code 1770.185 Account Requirements

a) Electronic Player Files. The Department will establish internet lottery player accounts for each player, upon request, as follows:

1. Create an electronic player file, which shall include, at a minimum, the following information for each player:

A) legal name;

B) date of birth;

C) Social Security number, or the last 4 digits thereof, or an equivalent identification number for a noncitizen player, such as a passport or taxpayer identification number;

D) residential address (a post office box is not acceptable);

E) email address;

F) telephone number;

G) any other information collected from the player used to verify the player's identity;

H) the method used to verify the player's identity; and

I) the date of verification.

2. Encrypt all of the following information contained in an electronic player file:

A) any portion of the player's Social Security number or equivalent identification number for a noncitizen player, such as a passport or taxpayer identification number.

B) the player's passwords and PINs.

C) the player's personal financial information.

3. Verify the player's identity in accordance with:

A) reliable forms of personal identification specified in internal controls; or

B) other methodology for remote multisource authentication, which may include third-party and governmental databases, as approved by the Director.

4. Record the document number of the government issued identification credential examined, if applicable. If a government issued identification credential is not required for registration, the electronic record that details the process used to confirm player identity must be recorded.

5. Require the player to establish a password or other access security feature as approved by the commission and advise the player of the ability to utilize strong authentication log in protection.

6. Record the player's acceptance of the Department's terms and conditions to participate in wagering through the mobile application or any authorized digital platform accepting wagers online.

7. Record the player's certification that the information provided to the Department is accurate.

8. Notify the player of the establishment of the account via email or regular mail.

b) Account funding. A player's lottery account may be funded through the use of:

1. a player's credit or debit card;

2. a player's reloadable prepaid card, which has been verified as being issued to the player and is nontransferable;

3. promotional credit;

4. winnings;

5. adjustments made by the Department with documented notification to the player;

6. ACH transfer, provided that the technical providers have security measures and controls to prevent ACH fraud regarding failed ACH deposits;

7. wire transfer; or

8. any other means approved by the Director. Transfer of funds from a patron account to another player account is prohibited.

c) Failed ACH Deposits. A failed ACH deposit attempt shall not be considered fraudulent if the player has successfully deposited funds via an ACH transfer on a previous occasion with no outstanding chargebacks. Otherwise, the Department will:

1. temporarily block the player's account for investigation of fraud after 5 consecutive failed ACH deposit attempts within a 10 minute period; if there is no evidence of fraud, the block may be vacated; and

2. suspend the player's account after 5 additional consecutive failed ACH deposit attempts within a 10 minute period.

d) Withdrawals; Account Closure; Dormant Accounts

1. The Department will provide an account statement with account details to a player on demand, which shall include detailed account activity for at least 6 months. In addition, an online lottery system shall, upon request, be capable of providing a summary statement of all player activity during the past 2 years.

2. The Department will periodically re-verify a player's identification upon reasonable suspicion that the player's identification has been compromised.

3. A player must be allowed to withdraw the funds maintained in their account, whether that account is open or closed.

4. The Department must honor a player request to withdraw funds within 5 business days of the request, unless the conditions set forth in subsection (c) are met.

5. The Department may decline to honor a player request to withdraw funds only if the Department believes in good faith that the player engaged in either fraudulent conduct or other conduct that would put the Department in violation of the Lottery Law. In these cases, the Department will:

A) provide notice to the player of the nature of the investigation of the account; and

B) conduct its investigation in a reasonable and expedient fashion, providing the player additional written notice of the status of the investigation every tenth business day starting from the day the original notice was provided to the player.

C) For purposes of this subsection (d), a request for withdrawal will be considered honored if it is processed by the Department notwithstanding a delay by a payment processor, credit card issuer, or the custodian of a financial account.

6. The Department will consider a player account to be dormant if the patron has not logged into the account for at least 3 years, then a dormant account shall be closed by the Department.

A) Funds of players that remain in a dormant player account shall be presumed abandoned.

B) The Department will report and deliver all funds of players that are presumed abandoned to the office of the Illinois Comptroller as provided in the Lottery Law.

C) At least 60 days prior to reporting any funds of the player to the Comptroller, the Department shall provide notice to the player's last known address and conduct due diligence to locate the player.

History

• Source: Added at 47 Ill. Reg. 13924, effective September 18, 2023

Chapter II Department of the Lottery

Part 1770 Lottery (general)

11 Ill. Adm. Code 1770.190 Prize Payment, Claiming or Redeeming of Prizes and Transfers to Common School Fund

a) The prize structure may vary with each game and will be established at the beginning of the game by the Private Manager, subject to the approval of the Department. The prize structure, odds of winning, the manner in which winners are determined, the claim period for the game and various procedural matters will be set forth in game rules and play instructions.

b) A winning Lottery game ticket with a face value of $599 or less may be redeemed by submitting the winning ticket to a Lottery retailer that sells the type of game won, and may be paid by the Agent directly from ticket sales funds on hand after the Agent follows verification procedures that establish that the ticket is a winning ticket, examines the ticket for alteration, verifies that the prize claim period has not expired, and requests proof of age from the claimant if appropriate. iLottery claims up to $599 or less are posted automatically to the player's Lottery internet account, with no further action required by the internet player, unless the player's winning exceed the maximum wallet threshold of $2000 at which point the player's winnings will automatically by mailed to them via a check. However, when a winning ticket is presented for payment at a Lottery retailer after the expiration of any Agent claim period established in game rules, and the winning ticket has a face value in excess of $600, or as the Department's verification procedures require, the Agent shall follow the claim procedures set forth in subsection (c).

c) Winning Lottery Game Tickets with a face value of up to $25,000 may be redeemed at Lottery prize centers, provided that the claimant is an individual or is a partnership or other legal entity receiving payment under a Federal Employer Identification Number and is not subject to offset of the prize due to amounts owed the State of Illinois. Payment of prizes at prize centers is subject to established claim periods, procedures and validation tests.

d) All claims for prizes of more than $25,000, as well as claims for lesser prizes not paid by the Department at a prize center or by an Agent pursuant to subsection (b), must be paid centrally by the Department. Claimants may obtain claim forms from any Lottery office, by mail or from the Lottery's website. When initiating a claim in person, a claimant shall complete the name and address area on the reverse of the Lottery game ticket and present proof of identification and the winning ticket. The Department employee will assist the claimant in filling out the claim form, which will be signed by the employee and by the claimant or his or her authorized representative. The claimant or authorized representative will receive a copy of the claim form as a receipt. The winning Lottery game ticket and a copy of the claim form will be sent to the Department's offices in Springfield, Illinois, for verification. When the ticket is verified as a winning ticket, the prize will be mailed to the claimant.

e) Prizes in the amount of $1,000,000 or more may be claimed only at the Department's prize centers or administrative offices in Springfield and Chicago, or an alternate site mutually agreed to by the Department and the claimant, and, absent extenuating circumstances, only by appointment so that appropriate Department personnel are available to assist in the claim process. The Director may require claimants, or the claimant's authorized representative if the Department determines it necessary (e.g., claimant is physically unable, fear for the safety of the claimant) to participate in a press conference as part of the claim process, in order to assure the public that prizes are being awarded and maintain public trust in the Lottery. For purposes of press conference requirements, the claimants are the ultimate recipients of the prize, such as the beneficiaries of a trust, the partners in a partnership, or the members of a club or group.

f) Prizes with a face value of up to $599 not redeemed at a Lottery retailer but instead claimed by multiple winners playing as partners or as a group, with common ownership of a winning Lottery game ticket at the time of the prize drawing, shall be claimed in the individual name of one of the partners or members of the group. Payment of any claim filed on behalf of an individual group member shall be in the same manner as if filed on behalf of a single claimant.

g) Prizes of over $600 but less than $1,000,000 claimed by multiple winners playing as partners or as a group, with common ownership of a winning Lottery game ticket at the time of the prize drawing, may be claimed in the individual name of one of the partners or members of the group, but must be accompanied by a form 5754 setting forth the names, addresses, social security numbers (SSNs) and prize shares of all other persons entitled to a share of the prize. The Department will process a voucher payable to each individual listed on the form 5754, dividing the winnings as designated on the form 5754. The Department will then process payment vouchers to the Office of the Comptroller for preparation of warrants and end of year income tax withholding documents. Claim and payment may be made in a partnership name only if the partnership furnishes a Federal Employer's Identification Number (FEIN).

h) Prizes in the amount of $1,000,000 or more claimed by multiple winners with common ownership of a winning Lottery game ticket at the time of the prize drawing must be claimed in the name of a partnership, group or other entity, subject to the limitations set forth in this subsection (h).

1. If the prize claim is made in the name of a partnership, the claim must be supported by a copy of the partnership agreement signed by all partners, confirming that the partners had agreed to share any prize prior to purchasing the winning Lottery game ticket and specifying each partner's share of the prize. Payment will be made out to the partnership as a single payee under the partnership's FEIN, or to each of the individual partners under their SSNs, as requested in writing by the partnership's authorized representative. The ticket and claim form must be signed by one of the general partners on behalf of the partnership, and the claim form must be accompanied by a form 5754 setting forth the names, addresses, and SSNs of each partner. The partnership agreement shall be subject to review by the Department's legal staff and may not contain provisions contrary to law. When separate checks have been requested, the partnership must additionally furnish payment instructions for each partner.

2. If the prize claim is made in the name of a group, the claim must be supported by a written document signed by all group members confirming that the members had agreed to share any prize prior to purchasing the winning ticket. Group claims shall include a group name and the address and SSN of the representative signing the ticket and claim form and shall be accompanied by a form 5754 setting forth the names, addresses, SSNs and prize shares of all group members.

3. Claims by other entities such as corporations or trusts must be in the name of the entity as established according to applicable law, provide the taxpayer identification number of the entity and be signed by an authorized representative. Payment will be in the name and under the taxpayer identification number of the claiming entity.

i) Lottery clubs, charitable organizations, corporations, partnerships and other "artificial" persons shall be eligible to purchase Lottery game tickets. However, with respect to awards of prizes for life, those artificial persons shall be entitled to the minimum guaranteed prize.

j) Prizes claimed but unpaid at the time of a prize winner's death shall be treated as follows:

1. Any prize, or portion of a prize, remaining unpaid at the death of a winner, may be paid to the estate of the deceased prize winner, or to the designated trustee under a revocable living trust established by the deceased prize winner, as settlor, provided that a copy of the trust has been filed with the Department, along with a notarized letter of direction from the settlor, and no written notice of revocation has been received by the Department prior to the settlor's death. Following a settlor's death and prior to any payment to a successor trustee, the Director will obtain from the trustee and each trust beneficiary a written agreement to indemnify and hold the Department harmless with respect to any claims that may be asserted against the Department arising from payment to, or through, the trust.

2. At the election of the estate or successor trustee of an individual prize claimant, the estate or trustee may have the option to request, within six months from the date of death, that the annuity or equivalent investment securities procured by the Department for purposes of generating annual installment prize payments be liquidated at current market value. In the case of a prize claimed by a partnership or group, the right to request liquidation of the decedent's remaining prize may be available to the decedent's personal representative or successor trustee, but only if the decedent is entitled to receive one-third or more of the claimed prize. Upon receipt of a written request to liquidate the remaining prize, if the prize payment has been structured through purchase of an annuity and the annuity contract permits early liquidation, the Department will promptly notify the annuity company and request that the annuity be liquidated and the commuted (check) value be paid to the personal representative or successor trustee. If the Department has procured investment securities to generate income for satisfaction of future prize installments, the Department, as soon as practical after receiving a request for prize liquidation, and without jeopardy to the common investment position of other winners of grand prizes from the same drawing date as the decedent, will offer the decedent's share of the securities for market sale and shall pay the personal representative or successor trustee the proceeds of sales attributable to the decedent's prize. Prior to payment, the Department will deduct from the proceeds of sales any amount that may be required to restore the investment position of securities purchased for other same-date winners to the position held prior to liquidation. The balance of the proceeds of sale attributable to the decedent's prize shall be distributed to the personal representative of the estate or the successor trustee. Prior to authorizing liquidation of any prize, the Department will obtain, from each personal representative or successor trustee requesting liquidation, a complete release of liability of the Department for further payment with respect to the decedent's prize, beyond the amount actually realized through liquidation. Any election pursuant to this subsection (j)(2) must be in writing and shall be irrevocable.

3. If a prize for life winner passes away prior to receiving the guaranteed minimum payment for the game and prize won, the personal representative of the winner's estate or the successor trustee under a properly filed revocable living trust shall have the option to request liquidation of the investment securities funding the remaining guaranteed prize, following the process outlined in subsection (j)(2). If the estate or trustee does not claim this option, any guaranteed remaining prize obligation will continue to be paid to the life winner's estate or successor trustee, annually. If the guaranteed minimum has, in fact, been paid prior to the date the life winner passed away, then no payment will be due.

k) Unclaimed prize money will be retained by the Director for the person entitled to that prize money, for the duration of the claim period for the game won, as established by game rule. Thereafter, the unclaimed prize funds will be managed as provided in the Lottery Law.

l) Winning Lottery game tickets that provide entry into a preliminary grand prize drawing for any game must be received by the Department by the deadline established in the game rules. Entry tickets received after the preliminary grand prize drawing deadline for the game with respect to which the tickets were sold will be disqualified unless the game rules specifically provide that the entries will be carried over to a future drawing.

m) For prizes in excess of $10,000, a winner must identify the winner's place of employment, if any, to ensure the winner is not prohibited from Lottery play by the Lottery Law or this Part. For partnership and group claims, each partner must furnish employment information.

History

• Source: Amended at 47 Ill. Reg. 13924, effective September 18, 2023

11 Ill. Adm. Code 1770.195 High-Frequency Prize Winners: Review, Penalties and Hearings

a) The Department will conduct an investigation of a High-Frequency Prize Winner, as defined in this Part, to determine if the submission of at least 20 claims for Lottery prizes, each with a value of at least $1,000, within any period of 365 days, is factually or statistically improbable. If the Director makes a determination of factual or statistical improbability, the Director will impose a prize claim suspension in accordance with subsection (b).

b) The Department will suspend High-Frequency Prize Winners from claiming any Lottery prizes with a value of more than $600 for the following time periods:

A) up to 90 days for a first violation;

B) up to 180 days for a second violation;

C) up to 365 days for three or more violations.

c) A High-Frequency Prize Winner shall be entitled to a hearing before any prize claim suspension goes into effect, provided that the hearing request is in writing and received by the Secretary at the location specified on the suspension notice before the 21st calendar day from the date which appears on the suspension notice. If the High-Frequency Prize Winner is aggrieved by the decision of the Director, they may appeal to the Board for a hearing pursuant to the Lottery Law and 11 Ill. Adm. Code 1700. Any such appeal shall be in writing and made to the Secretary at the location specified on the suspension notice within 30 days of the Director's level decision.

History

• Source: Added at 47 Ill. Reg. 13924, effective September 18, 2023

11 Ill. Adm. Code 1770.200 Eligibility to Buy

a) No ticket shall be purchased by, and no prize shall be paid to any of the following persons:

1. Any member of the Board or any officer or other person employed by the Board or by the Department;

2. Any employees of any TV station from which Lottery drawings originate who are directly involved in the production of drawing telecasts, including floor director, camera operators, stage hands, character generator operators, air control technicians, announcer and performer for each telecast;

3. Employees of any firm overseeing the conduct of the Lottery's drawings, if those employees are directly involved in the drawing process, as well as the owners or principal officers of the firm;

4. Employees of any advertising agency, public relations agency or any consultant employed by the Department, if the employees are directly involved in the Lottery engagement;

5. Employees of audit firms who are actually performing on site contractual audit services with respect to the Department's operations;

6. Any person residing as a member of the same household in the principal place of residence of any person designated in subsections (a)(1) through (a)(6);

7. Any person under the age of 18. (Section 15 of the Act)

b) If the Director determines that the purchase of Lottery game tickets by officers or employees of any other vendor of goods or services to the Department or Board may jeopardize the security or integrity of the Lottery, the Director will provide by contract with the vendor that no ticket shall be purchased by, and no prize shall be paid to, any officer or employee of the vendor, or certain officers or employees of the vendor, or persons residing as members of the same households as the prohibited officers or employees.

History

• Source: Amended at 47 Ill. Reg. 13924, effective September 18, 2023

11 Ill. Adm. Code 1770.210 Promotional Items

The Department may purchase and stock promotional items bearing the identifying marks of the Illinois Lottery or any of its games. These products may be distributed at no charge to consumers for promotional purposes, to Agents as a sales incentive, or to Department personnel in connection with the performance of official duties. The Department may additionally offer its promotional items for sale to individuals, not-for-profit organizations or government entities, and advertise its products for sale via catalog or other means, including, but not limited to, point of purchase displays at Lottery retailers, direct mail and print advertisements. Purchase orders shall be on forms prescribed by the Department and shall include a certification that the purchaser is qualified under the Lottery Law and the items will not be resold for commercial gain. The Department may establish reasonable charges for its promotional items, provided, however, that sales to other State agencies will be at cost.

History

• Source: Amended at 47 Ill. Reg. 13924, effective September 18, 2023

11 Ill. Adm. Code 1770.220 Priority of Rules

Official game rules and promotion rules identified each January in the Illinois Register as required by Section 7.1 of the Lottery Law shall be maintained on file in the Department's principal office in Springfield, Illinois or at the principal office of the Lottery's Private Manager, and shall be made available for public inspection and copying during normal business hours. [20 ILCS 1605/7.1] In the event of any conflict, discrepancy, omission or apparent contradiction between the official rules on file and any summary, representation or other restatement of rules appearing in any advertisement, point of sale material, tickets or other media, the official rules on file at the Department's office shall govern.

History

• Source: Amended at 47 Ill. Reg. 13924, effective September 18, 2023

11 Ill. Adm. Code 1770.230 Assignment of Lottery Prizes

a) The right of any person to receive payments under a prize that is paid in installments over time by the Department may be voluntarily assigned up to a total of two times, in whole or in part, if the assignment is made to a person or entity designated pursuant to an order of a court of competent jurisdiction located in the judicial circuit where the assigning prize winner resides or where the headquarters of the Department is located. All contracts of assignment submitted to the Department pursuant to Section 13.1 of the Lottery Law shall be accompanied by a sworn affidavit of the assignee in a form substantially similar to that set forth in Appendix A.

b) At its sole discretion, the Department may waive the 30-day advance notice requirement for the initial assignment petition or the final assignment order.

c) A court order obtained pursuant to this Section, together with all such prior orders, shall not require the Department to divide any single prize payment among more than 3 different persons, including the prize winner. Assignees may be substituted; however, the substitution shall not result in more than the prize winner and two other assignees for any one prize payment. [20 ILCS 1605/13.1(c)]

d) All petitions for assignment of an Illinois Lottery prize shall be accompanied by a check or money order payable to the Department in the amount of $98, in order to defray the administrative expenses associated with assignments. [20 ILCS 1605/13.1(g)]

History

• Source: Amended at 47 Ill. Reg. 13924, effective September 18, 2023

11 Ill. Adm. Code 1770.240 Voluntary Self-Exclusion Program

The Voluntary Self-Exclusion Program shall consist of those persons who have complied with the applicable provisions of this Section and have been placed on the Self-Exclusion List by the Lottery. The Voluntary Self-Exclusion Program is established for the purpose of allowing persons who wish to refrain from using Lottery gaming products to notify the Lottery that they will accept responsibility for refraining from using any gaming product offered by the Lottery and its licensees. Persons seeking placement in the Voluntary Self-Exclusion Program acknowledge that it is their responsibility to refrain from engaging in gambling activities under the jurisdiction of the Lottery.

a) Definitions

"Problem Gambling" means playing Lottery games in a manner that is characterized by difficulty in limiting money or time spent on gambling, which leads to adverse consequences for the player, the player's family or the community.

"Request for Removal" means a proposal submitted by a voluntarily excluded individual stating the individual wishes to be removed from the Self-Exclusion List.

"Responsible Gambling" means the provision of safe, socially responsible and supportive gambling environments in which the potential for harm that is associated with gambling is minimized and people can make informed decisions about participating in gambling.

"Responsible Gambling Community" or "Problem Gambling Community" means persons interested in responsible gambling or problem gambling.

"Self-Exclusion" means the act of excluding oneself from gambling establishments. Self-excluded persons shall be prohibited from entering those gambling establishments and shall not be paid for any winnings if they violate the prohibition.

"Self-Restriction" is similar to self-exclusion but allows players to ban themselves from specific games.

b) Placement on the Self-Exclusion List

1. In order to participate in the Voluntary Self-Exclusion Program, an individual must complete a self-exclusion agreement in a format established by the Department and mail or otherwise deliver the signed and notarized agreement to the Illinois Lottery's Claims Unit at 101 West Jefferson, MC5-915, Springfield, Illinois 62702. The form may be obtained in person or by mail from any Lottery office or may be downloaded and printed from the Lottery's website (https://www.illinoislottery.com).

2. Self-Exclusion List agreements may include a request to waive the liability of the Lottery and its agents, Lottery or other gambling licensees and its agents, the State, and any person licensed pursuant to the Lottery Law, or other person deemed necessary by the Lottery from any damages that may arise out of any act or omission related to placement in the Voluntary Self-Exclusion Program.

3. Upon receipt of the signed and notarized document, the Illinois Lottery will add the individual's identifying information to its confidential database of persons prohibited from receiving payment of prizes through the Lottery's regional prize payment facilities or central office. The Self-Exclusion List agreement may be disclosed to any Agent and their employees, as approved by the Lottery.

4. Upon receipt of a voluntary self-exclusion agreement, the Lottery will take all reasonable steps, including but not limited to providing the enrollee's name and address to advertising and public relations firms retained by the Lottery and to staff in charge of in-house e-mail and fax lists, to remove the Voluntary Self-Exclusion Program enrollee from existing promotional mailing lists, electronic distribution lists or other promotional listings, and to prevent the inclusion of the individual's name in any promotional listings that may be created in the future.

5. The Lottery will maintain an up-to-date database of the Self-Exclusion List.

6. An individual choosing to be placed on the Self-Exclusion List shall submit acknowledgment that the individual:

A) Will not be participating in any form of gambling offered by the Lottery and that it is the individual's sole responsibility to refrain from doing so;

B) Will not collect any winnings or recover any losses resulting from any gambling activity under the jurisdiction of the Lottery for the duration of the self-exclusion period;

C) Will forfeit all rewards or points earned through any player reward or another promotional program;

D) By placing their name on the Self-Exclusion List, will be subject to the prohibitions identified in this Section applicable to all Lottery or other gambling activities offered by the Lottery or its licensees or affiliates, whether within the State or another jurisdiction, and that the Lottery may share the list with other domestic or international gaming jurisdictions resulting in placement on those lists;

E) Submits the agreement freely and voluntarily; and

F) When the individual's name is placed on the Self-Exclusion List, may be refused entry into, or ejected from, areas specifically devoted to forms of playing the Lottery by a person licensed by the Lottery or law enforcement personnel.

7. The individual shall also submit:

A) A statement that the individual is not under the influence of a substance or suffering from a mental health condition that would impair the individual's ability to make an informed decision; and

B) An affidavit verifying that the individual wishes to be placed on the Self-Exclusion List, that the Lottery is specifically authorized and requested to release all contents of the person's agreement to persons who, in the sole discretion of the Lottery, are necessary to implement the policies and procedures contained in this Section. Persons to whom the Lottery releases this information shall be subject to terms of confidentiality prescribed by the Lottery, which shall be contained in the agreement. These persons shall include, but not be limited to, the following:

i) Employees or contractors of the Lottery involved in administration, supervision or activities related to the administration or supervision of this Section;

ii) Licensees of the Lottery or their affiliates, agents and employees;

iii) Designated agents of the Lottery; and

iv) Law enforcement personnel involved in the administration, supervision or investigation of activities regulated by this Part.

8. The Lottery or its designated agent will offer the individual:

A) Assistance in accessing information about gambling disorders, self-guided help; or

B) Approved counseling services by the Illinois Department of Human Services, and other resources such as the National Council on Problem Gambling.

9. The Lottery provides procedures permitting online self-exclusion if it determines that the goals, objectives and protections of the in-person self-exclusion process can be accomplished online. The Lottery may require any licensee offering mobile or online gambling to offer self-exclusion and self-restriction options to customers as a condition of its license. The full cost of the self-exclusion and self-restriction system shall be the responsibility of the licensee.

c) Exclusion Length

1. As part of the request for self-exclusion, the individual must select the duration of the exclusion. An individual may select any of the following time periods as a minimum length of exclusion:

A) One year;

B) 5 years; or

C) Lifetime (an individual may only select the lifetime duration if the individual's name has previously appeared on the Self-Exclusion List for at least 6 months).

2. An individual on the Self-Exclusion List may not apply to decrease the duration of exclusion. An individual who is on the list may submit a request to increase the minimum length of exclusion.

3. Upon expiration of the selected duration of exclusion, individuals may request to be removed from the list or renew the agreement for exclusion for a new duration. Individuals shall remain on the list after the expiration of the selected duration of exclusion until they submit a request for removal and that request is approved by the Lottery or its designee.

d) Removal from the Voluntary Self-Exclusion List

1. Upon the expiration of 5 years from the date of placement on the Lottery's Self-Exclusion List, an individual may request to be removed from the list based upon the elimination of a mental health or medical condition that rendered the individual to be a problem gambler and unable to gamble responsibly. The request for removal from the Self-Exclusion List shall be in writing, be addressed to the Director at the Lottery's central office in Springfield, and include the following:

A) Information as to treatment received for the person's gambling problem, length of treatment, and names and qualifications of treatment providers;

B) A waiver of liability of the Department, its agents and the State of Illinois for any damages that might arise out of any act or omission committed by the person as a consequence of his or her removal from the Lottery's Self-Exclusion List, including any monetary or other damages sustained in connection with the person's renewal of Lottery game ticket purchases or redemptions; and

C) The individual's name, address, taxpayer identification number, and notarized signature (subscribed and sworn).

2. A decision whether to remove a person from the Self-Exclusion List shall be at the discretion of the Director, and the Director shall not rule on a request for removal from the Self-Exclusion List until all of the requirements of this subsection (d) are met. Written notification of the determination will be sent to the individual by certified mail.

3. Any information as to mental health or medical conditions received pursuant to this subsection (d) will be maintained pursuant to the Mental Health and Developmental Disabilities Confidentiality Act [740 ILCS 110] and other applicable federal and State laws. A verified written consent is necessary to the release of all of the person's medical and counseling records related to the proposed removal from the Self-Exclusion List.

4. Any additional information, forms, recommendations, or other materials necessary, as determined by the Director, to demonstrate the elimination of mental health or a medical condition underlying the person's acknowledgement that he or she has been a problem gambler and unable to gamble responsibly.

5. Any request for removal received by the Lottery prior to the expiration of the selected exclusion period shall be denied.

e) Disclosure

1. The Lottery's list of self-excluded persons shall be kept confidential. Except as required by this Section, Lottery licensees and Management Services Providers shall not disclose the names included in the Self-Exclusion List.

2. The Lottery may disclose de-identified information from the Self-Exclusion List to one or more research entities selected by the Lottery for the purpose of evaluating the effectiveness of, and ensuring the proper administration of, the Voluntary Self-Exclusion Program.

3. Any person placed on the Self-Exclusion List is deemed ineligible to purchase a Lottery ticket at any licensed Lottery retailer under the jurisdiction of the Lottery. Persons on the Self-Exclusion List shall not be entitled to recover losses resulting from their gambling activity being voided. All Illinois Lottery prizes that are unclaimed as a result of the Voluntary Self-Exclusion Program shall be handled in the same manner as other unclaimed prizes and may be included in the prize pool of special drawings the Department may, from time to time, designate. All unclaimed prize money not included in the prize pool of a special drawing shall be transferred to the Common School Fund. [20 ILCS 1605/19]

f) Lottery Retailers Duties and Responsibilities

1. Lottery retailers shall have the following responsibilities relative to the administration of the Voluntary Self-Exclusion Program:

A) Verify that any person seeking to purchase a ticket is not on the Self-Exclusion List;

B) To refuse the sale of any gambling product approved by the Lottery, by any individual the licensee or Lottery retailer has identified as being on the Self-Exclusion List or a person the licensee or retailer suspects of being on the Self-Exclusion List;

C) To promptly notify the Lottery, or its designee, if an individual on the Self-Exclusion List purchases or attempts to purchase a Lottery product;

D) Remove self-excluded persons from player loyalty or reward card programs and targeted print, online or other forms of advertising or promotions;

E) Refrain from marketing to individuals on the Self-Exclusion List;

F) Deny a person on the Self-Exclusion List from accessing complimentary services or items, check cashing privileges, player reward programs, and other similar benefits;

G) Deny a person on the Self-Exclusion List from any winnings derived from gambling. Winnings derived from gambling shall include, but not be limited to, such things as proceeds derived from the purchase of any gambling product approved by the Lottery. When reasonably possible, the licensee or Lottery retailer shall confiscate from the individual, in a lawful manner, or shall notify a Lottery agent who shall confiscate, or shall refuse to pay any winnings derived from gambling or any money or thing of value that the individual has converted or attempted to convert into a gambling instrument, whether actually wagered or not. A wagering instrument shall include, but is not limited to, tickets, vouchers, prizes, non-complimentary pay vouchers, electronic credits on a mobile wagering system, or any other implement of value representing a prize won from gambling. The monetary value of the confiscated winnings shall be paid to the Lottery within 45 days;

H) If an individual on the Self-Exclusion List wishes to contest the forfeiture of winnings or things of value, the individual may request a hearing in writing with the Lottery within 15 days after the date of the forfeiture. The request shall identify the reason why the winnings or things of value should not be forfeited. A hearing shall be conducted to determine whether the subject funds were properly forfeited in accordance with this Section;

I) In cooperation with the Lottery, and when reasonably possible, the licensee or Lottery retailer shall determine the amount wagered and lost by an individual who is prohibited from gambling. The monetary value of the losses shall be paid to the Lottery within 45 days.

2. Programs and policies created by this Section are intended to prevent problem gambling, treat problem gamblers, and promote responsible gaming. The sole remedy for failure to comply with this Section shall be disciplinary actions imposed by the Lottery.

History

• Source: Amended at 47 Ill. Reg. 13924, effective September 18, 2023

11 Ill. Adm. Code 1770.APPENDIX A Affidavit

AFFIDAVIT

This Affidavit is submitted by

(officer name)

, on behalf of

(company name)

("

"), in connection with a proposed purchase and sale of

certain Illinois Lottery prize payments due

(winner's name)

, ("Seller").

My name is

. I am currently employed by

(company name)

as

(title)

, and have been employed in such capacity at all

times relative to this matter. I have personal knowledge of all of the facts contained herein and am competent to testify in support of the facts stated in this affidavit. [OR I make the following representations based upon information and belief.]

Prior to Seller's execution of a written purchase and sale agreement with

(company

(name)

,

(company name)

, through its employees,

contractors and/or counsel, had contact with Seller (and/or Seller's legal counsel and/or financial advisors) through various written, oral or telephonic communications. A summary of those contacts follows (include names, dates, methods and nature of contacts):

As of the date of this affidavit, the following lawsuits, claims and legal actions have

been filed against

(company name)

and/or its affiliated entities by Lottery

winners:

(Include brief case summary as well as case name, number and jurisdiction.)

(Address winners of any Lottery, not just Illinois.)

(Address lawsuits, claims, etc., filed during the 3-year period immediately preceding the date of the affidavit.)

(company name)

and/or its affiliated entities is in good standing in

its state of domicile and with any other licensing or regulatory agency as may be required in the conduct of its business.

The history of

(company name)

is as follows:

(company name)

was organized in

(month/year)

as a

(type of business)

, having its principal place of business as

(city/state)

, and has operated continuously since that

date. (If the type of business organization, principal place of business or other key company information has changed since the company's inception, please include that information as well.)

(company name)

engages in the business of

(company name)

's privacy and non-harassment policies are as

follows:

(Attach as exhibit if appropriate.)

(Include the company's policies concerning the national do-not-call registry, as it relates to the non-harassment policy.)

(company name)

has followed these policies in Illinois.

Name

Date

State of

)

County of

)

Signed and sworn to before me this

day of

, 20

, by

who is personally known to me (or who produced as identification

).

NOTARY PUBLIC

My commission expires:

(Seal)

History

• Source: Added at 29 Ill. Reg. 13869, effective August 29, 2005

11 Ill. Adm. Code 1770.APPENDIX B Voluntary Self-Exclusion Agreement (repealed)

History

• Source: Repealed at 47 Ill. Reg. 13924, effective September 18, 2023

Chapter I Illinois Gaming Board

Part 1800 Video Gaming (general)

11 Ill. Adm. Code 1800.110 Definitions

For purposes of this Part the following terms shall have the following meanings:

"Act": The Video Gaming Act [230 ILCS 40].

"Adjusted gross receipts": The gross receipts less winnings paid to wagerers. The value of expired vouchers shall be included in computing adjusted gross receipts.

"Administrator": The chief executive officer responsible for day-to-day operations of the Illinois Gaming Board.

"Affiliate": An "affiliate of", or person "affiliated with", a specified person shall mean a person that directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with, that person.

"Affiliated entity": An "affiliated entity" of a person is any business entity that directly or indirectly, through one or more intermediaries, controls, is controlled by, or is under common control with, the person.

"Applicant": A person applying for any license under the Act.

"Application": All material submitted, including the instructions, definitions, forms and other documents issued by the Illinois Gaming Board, comprising the video gaming license application submitted to the Illinois Gaming Board.

"Associated video gaming equipment": Ticket payout systems and validation procedures; wireless, promotional and bonusing systems; kiosks; gaming-related peripherals; hardware, software and systems; and other gaming devices and equipment for compliance with:

Illinois laws, regulations and requirements as codified or otherwise set forth; and

Board-approved video gaming industry standards.

"Attributed interest": A direct or indirect interest in an enterprise deemed to be held by an individual not through the individual's actual holdings but either through the holdings of the individual's relatives or through a third party or parties on behalf of the individual pursuant to a plan, arrangement, agreement or contract.

"Board": The Illinois Gaming Board.

"Business entity" or "Business": A partnership, incorporated or unincorporated association or group, firm, corporation, limited liability company, partnership for shares, trust, sole proprietorship or other business enterprise.

"Chi-square test": A statistical test used to determine if a relationship between variables exists by comparing expected and observed cell frequencies. Specifically, a chi-square test examines the observed frequencies in a category and compares them to what would be expected by chance or would be expected if there was no relationship between variables.

"Control": The possession, direct or indirect, of power to direct or cause the direction of the management and policies of an applicant or licensee through the ownership of voting securities, by contract or otherwise.

"Convenience store": A retail store that is open long hours and sells motor fuel and a limited selection of snacks and general goods.

"Credit": One, five, 10 or 25 cents.

"Distributor": An individual, partnership, corporation or limited liability company licensed under the Act to buy, sell, lease or distribute video gaming terminals or major components or parts of video gaming terminals to or from terminal operators.

"Enforce a security interest": To transfer possession of ownership or title pursuant to a security interest.

"EPROM": An acronym for Erasable, Programmable, Read Only Memory, which is a microprocessor component that stores memory and affects payout percentage and/or contains a random number generator that selects the outcome of a game on a video gaming terminal.

"Facility-pay" or "facility payment": A manual payment of currency by an authorized employee of a licensed video gaming location or an authorized employee of a terminal operator for amounts owed to a patron by a video gaming terminal when a video gaming terminal or ticket payout device has malfunctioned and is unable to produce or redeem a ticket.

"Fraternal organization": An organization or institution organized and conducted on a not-for-profit basis with no personal profit inuring to anyone as a result of the operation and that is exempt from federal income taxation under section 501(c)(8) or (c)(10) of the Internal Revenue Code (26 U.S.C. 501(c)(8) or (c)(10)).

"Game": A gambling activity that is played for money, property or anything of value, including without limitation those played with cards, chips, tokens, vouchers, dice, implements, or electronic, electrical or mechanical devices or machines.

"Gaming": The dealing, operating, carrying on, conducting, maintaining or exposing for play of any game.

"Gaming operation": The conducting of gaming or the providing or servicing of gaming equipment.

"Gaming property collateral": Video gaming equipment subject to a security interest.

"Illinois resident":

With respect to an individual, an individual who is either:

domiciled in Illinois or maintains a bona fide place of abode in Illinois; or

is required to file an Illinois tax return during the taxable year.

With respect to a corporation, any corporation organized under the laws of this State and any foreign corporation with a certificate of authority to transact business in Illinois. A foreign corporation not authorized to transact business in this State is a nonresident of this State.

With respect to a partnership, a partnership in which any partner is an Illinois resident, or where the partnership has an office and is doing business in Illinois.

With respect to an irrevocable trust, a trust where the grantor was an Illinois resident individual at the time the trust became irrevocable.

"Immediate family": A spouse (other than a spouse who is legally separated from the individual under a decree of divorce or separate maintenance), parents, grandparents, siblings, children whether by blood, marriage or adoption, grandchildren, and step-children, whether by blood, marriage, or adoption.

"In-location bonus jackpot game" or "in-location progressive game": A video game in which the value of the top prize increases each time the game is played and the top prize is not won.

"Institutional investor":

A retirement fund administered by a public agency for the exclusive benefit of federal, state or local public employees;

An investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);

A collective investment trust organized by a bank under Part 9 of the Rules of the Comptroller of the Currency (12 CFR 9.18);

A closed end investment trust registered with the United States Securities and Exchange Commission;

A chartered or licensed life insurance company or property and casualty insurance company;

A federal or state bank;

An investment advisor registered under the Investment Advisors Act of 1940 (15 U.S.C. 80b-1 through 80b-21); or

Such other person as the Illinois Gaming Board may determine for reasons consistent with the Act and this Part.

"License": Authorization granted by the Board permitting a licensee to engage in the defined activities of video gaming.

"Licensed establishment": Any retail establishment licensed under the Act where alcoholic liquor is drawn, poured, mixed or otherwise served for consumption on the premises. Licensed establishment does not include a facility operated by an organization licensee, an intertrack wagering licensee, or an intertrack wagering location licensee licensed under the Illinois Horse Racing Act of 1975 [230 ILCS 5] or a riverboat or casino licensed under the Illinois Gambling Act [230 ILCS 10].

"Licensed fraternal establishment": The location licensed under the Act where a qualified fraternal organization that derives its charter from a national fraternal organization regularly meets.

"Licensed large truck stop establishment": A facility located within 3 road miles from a freeway interchange, as measured in accordance with the Department of Transportation's rules regarding the criteria for the installation of business signs:

that is at least a 3-acre facility with a convenience store;

with separate diesel islands for fueling commercial motor vehicles;

that sells at retail more than 50,000 gallons of diesel or biodiesel fuel per month; and

with parking spaces for commercial motor vehicles. "Commercial motor vehicle" has the meaning ascribed at Section 18b-101 of the Illinois Vehicle Code.

The requirement of this definition may be met by showing that estimated future sales or past sales average at least 50,000 gallons per month.

"Licensed technician": An individual who is licensed under the Act to repair, service and maintain video gaming terminals. A licensed technician is not licensed under the Act to possess or control a video gaming terminal or have access to the inner workings of a video gaming terminal (i.e., the logic area maintained in a separately locked cabinet of the video gaming terminal that houses electronic components that have the potential to significantly influence the operation of the video gaming terminal).

"Licensed terminal handler": A person, including but not limited to an employee or independent contractor working for a manufacturer, distributor, supplier, technician or terminal operator, who is licensed under the Act to possess or control a video gaming terminal or to have access to the inner workings of a video gaming terminal. A licensed terminal handler does not include an individual, partnership, corporation or limited liability company defined as a manufacturer, distributor, supplier, technician or terminal operator under Section 5 of the Act.

"Licensed truck stop establishment": A facility licensed under the Act that is at least a 3-acre facility with a convenience store, that has separate diesel islands for fueling commercial motor vehicles, that sells at retail more than 10,000 gallons of diesel or biodiesel fuel per month, and that has parking spaces for commercial motor vehicles. "Commercial motor vehicle" has the meaning ascribed at Section 18b-101 of the Illinois Vehicle Code [625 ILCS 5]. The 10,000 gallon requirement may be met by showing that estimated future sales or past sales average at least 10,000 gallons per month.

"Licensed veterans establishment": The location licensed under the Act where a qualified veterans organization that derives its charter from a national veterans organization regularly meets.

"Licensed video gaming location": A licensed establishment, licensed fraternal establishment, licensed veterans establishment, licensed truck stop establishment, or licensed large truck stop establishment, all as defined in Section 5 of the Act and this Part.

"Liquor license": A license issued by a governmental body authorizing the holder to sell and offer for sale at retail alcoholic liquor for use or consumption.

"Major components or parts": Components or parts that comprise the inner workings and peripherals of a video gaming terminal, including but not limited to the device's hardware, software, human interface devices, interface ports, power supply, ticket payout system, bill validator, printer and any component that affects or could affect the result of a game played on the device.

"Manufacturer": An individual, partnership, corporation or limited liability company that is licensed under the Act and that manufactures or assembles video gaming terminals.

"Net terminal income": Money put into a video gaming terminal minus credits paid out to players.

"Nominee": Any individual or business entity that holds as owner of record the legal title to tangible or intangible personal or real property, including without limitation any stock, bond, debenture, note, investment contract or real estate on behalf of another individual or business entity, and as such is designated and authorized to act on his, her or its behalf with respect to the property.

"Ownership interest": Includes, but is not limited to, direct, indirect, beneficial or attributed interest, or holder of stock options, convertible debt, warrants or stock appreciation rights, or holder of any beneficial ownership or leasehold interest in a business entity.

"Payout device": A device, approved by the Board and provided by a supplier or distributor, that redeems for cash tickets dispensed by a video gaming terminal in exchange for credits accumulated on a video gaming terminal.

"Person": Includes both individuals and business entities.

"Place of worship under the Religious Corporation Act": A structure belonging to, or operated by, a church, congregation or society formed for the purpose of religious worship and eligible for incorporation under the Religious Corporation Act [805 ILCS 110], provided that the structure is used primarily for purposes of religious worship and related activities.

"Problem gambling": "A repetitive set of gaming behaviors that negatively impacts someone's life.

"Progressive jackpot": The top prize in an in-location bonus jackpot game or in-location progressive game.

"Redemption period": The one-year period, starting on the date of issuance, during which a ticket dispensed by a video gaming terminal may be redeemed for cash.

"Responsible gaming" means all of the following:

Policies for reducing harms related to gaming;

Providing a transparent and fair game;

Playing within time and money limits; and

Gaming for entertainment and fun.

"Secured party": A person who is a lender, seller or other person who holds a valid security interest.

"Security": An ownership right or creditor relationship.

"Security agreement": An agreement that creates or provides a security interest, including but not limited to a use agreement.

"Security interest": An interest in property that secures the payment or performance of an obligation or judgment.

"Sole proprietor": An individual who in their own name owns 100% of the assets and who is solely liable for the debts of a business.

"Substantial interest": With respect to a partnership, a corporation, an organization, an association, a business or a limited liability company means:

When, with respect to a sole proprietorship, an individual or their spouse owns, operates, manages, or conducts, directly or indirectly, the organization, association or business, or any part thereof; or

When, with respect to a partnership, the individual or their spouse shares in any of the profits, or potential profits, of the partnership activities; or

When, with respect to a corporation, an individual or their spouse is an officer or director or the individual or their spouse is a holder, directly or beneficially, of 5% or more of any class of stock of the corporation; or

When, with respect to a limited liability company, an individual or their spouse is a member, or the individual or their spouse is a holder, directly or beneficially, of 5% or more of the membership interest of the limited liability company; or

When, with respect to any other organization not covered in the preceding four paragraphs, an individual or their spouse is an officer or manages the business affairs, or the individual or their spouse is the owner of, or otherwise controls, 10% or more of the assets of the organization; or

When an individual or their spouse furnishes 5% or more of the capital, whether in cash, goods or services, for the operation of any business, association or organization during any calendar year.

For purposes of this definition, "individual" includes all individuals or their spouses whose combined interest would qualify as a substantial interest under this definition and whose activities with respect to an organization, association, or business are so closely aligned or coordinated as to constitute the activities of a single entity.

"Supplier": An individual, partnership, corporation or limited liability company that is licensed under the Act to supply major components or parts to video gaming terminals to licensed terminal operators.

"Terminal operator": An individual, partnership, corporation or limited liability company that is licensed under the Act that owns, services, and maintains video gaming terminals for placement in licensed establishments, licensed truck stop establishments, licensed fraternal establishments or licensed veterans establishments.

"Use agreement": A contractual agreement between a licensed terminal operator and a licensed video gaming location establishing terms and conditions for placement and operation of video gaming terminals by the licensed terminal operator within the premises of the licensed video gaming location, and complying with all of the minimum standards for use agreements contained in Section 1800.320.

"Veterans organization": An organization or institution organized and conducted on a not-for-profit basis with no personal profit inuring to anyone as a result of the operation and that is exempt from federal income taxation under section 501(c)(19) of the Internal Revenue Code (26 U.S.C. 501(c)(19)).

"Video gaming equipment": Video gaming terminals, associated video gaming equipment and major components or parts.

"Video gaming location": Any licensed video gaming location as defined in this Section, any applicant to become a licensed video gaming location, or any person that a terminal operator or sales agent and broker has reason to believe may apply to become a licensed video gaming location.

"Video gaming manager": An employee or owner or designated representative of a licensed video gaming location who manages, oversees or is responsible for video gaming operations at the location, and coordinates the video gaming operations with a terminal operator or the central communications system vendor.

"Video gaming operation": As the context requires, the conducting of video gaming and all related activities.

"Video gaming terminal": Any electronic video game machine that, upon insertion of cash, electronic cards or vouchers, or any combination thereof, is available to play or simulate the play of a video game, including but not limited to video poker, line up and blackjack, as authorized by the Board utilizing a video display and microprocessors in which the player may receive free games or credits that can be redeemed for cash. The term does not include a machine that directly dispenses coins, cash, or tokens or is for amusement purposes only.

History

• Source: Amended at 49 Ill. Reg. 728, effective December 31, 2024

11 Ill. Adm. Code 1800.115 Gender

Words importing the masculine gender include females and neutral entities.

11 Ill. Adm. Code 1800.120 Inspection

The Board and its agents shall have unrestricted access to enter the premises or motor vehicles of any licensee or applicant where evidence of compliance or noncompliance with the provisions of the Act or this Part may be found.

11 Ill. Adm. Code 1800.130 Board Meetings

The provisions of 86 Ill. Adm. Code 3000.105 shall apply to Board meetings under the Act.

History

• Source: Added at 40 Ill. Reg. 2952, effective January 27, 2016

11 Ill. Adm. Code 1800.140 Service Via E-Mail

a) As a condition of application and licensure, applicants and licensees are deemed to have consented to receiving service of Board notices, complaints, letters, and orders via e-mail.

b) Each applicant and licensee has a duty under Section 1800.220 to update the e-mail address at which it may be served, if that address changes, and to verify that the application has an updated e-mail address no less than annually.

c) Each applicant and licensee may designate up to two additional e-mail addresses at which notice may be served. Each designated e-mail address must be owned by the licensee, its owner, its video gaming manager, or a person of significant influence or control over the applicant or licensee.

d) E-mail notices shall be deemed served on the date of the transmission, unless a delivery error is received on the Board's e-mail server for all of the licensee's designated e-mail addresses.

e) If a delivery error is received on the Board's e-mail server for all of the applicant's or licensee's designated e-mail addresses, then the notice or letter will be served via personal service or certified U.S. mail, unless the applicant or licensee updates the designated e-mail addresses.

History

• Source: Added at 44 Ill. Reg. 16454, effective September 25, 2020

11 Ill. Adm. Code 1800.210 General Duties of All Video Gaming Licensees

In addition to all other duties and obligations required by the Video Gaming Act and this Part, each video gaming licensee and applicant for licensure under the Act has an ongoing duty to comply with the following:

a) Comply with all federal, State and local laws and regulations;

b) At all times, conduct himself in a professional manner when communicating with the public and the Board;

c) Disclose all ownership interest to the Board in accordance with the Video Gaming Act and this Part;

d) Conduct the licensee's video gaming operation in a manner that does not pose a threat to the public health, safety, morals, good order or general welfare of the people of the State of Illinois;

e) Conduct the licensee's video gaming operation in a manner that does not discredit or tend to discredit the Illinois gaming industry or the State of Illinois;

f) Conduct the licensee's video gaming operation in a manner that does not reflect adversely on the security or integrity of the Illinois video gaming industry;

g) Keep current in all payments and obligations to the State of Illinois and to other licensees with whom video gaming business is conducted.

h) Identify to the Board any individual or entity acting on behalf of the licensee, for compensation, with regard to Board action.

i) Notify the Board of any proposed change in ownership or any transaction that requires approval of qualifications in accordance with the Act and this Part on forms supplied or approved by the Board and containing such information and documents as specified, and at such time as required, by the Administrator.

11 Ill. Adm. Code 1800.220 Continuing Duty to Report Information

Licensees and applicants for licensure under the Act and persons with significant influence or control have a continuing duty to report within 21 days all of the following to the Administrator or his or her designee:

a) A violation of the Act, this Part or any illegal conduct, including, but not limited to, the possession, maintenance, facilitation or use of any illegal gaming device.

b) Any fact, event, occurrence, matter or action that may affect the conduct of video gaming or the business and financial arrangements incidental to the conduct of video gaming, or the ability to conduct the activities for which the licensee is licensed, including, but not limited to, any change or addition in persons identified as having significant influence or control.

c) Each arrest, summons, citation or charge for any criminal offense or violation, excluding minor traffic violations. Information to be reported under this subsection shall include, but not be limited to, all changes relating to criminal arrest or criminal proceeding disposition history concerning any criminal offense under the laws of any jurisdiction or the Uniform Code of Military Conduct, in any state or foreign country. As disciplinary action for a violation of this subsection, the Administrator may impose a fine of $250 for a first violation and $500 for a second or subsequent violation. Imposition of a fine by the Administrator under this subsection shall not preclude the Board from initiating additional or further disciplinary action against a licensee or applicant. A licensee or applicant that has been issued a fine under this subsection may contest the fine under Subpart G. For purposes of filing a response under Section 1800.720, a notice of fine under this subsection shall be considered a notice of proposed disciplinary action.

d) Any adverse action taken, nonrenewal, or failure to timely renew relative to a liquor license. As disciplinary action for a violation of this subsection, the Administrator may impose a fine not to exceed 50 percent of the total amount of Net Terminal Income for the period of time that the establishment, fraternal establishment, or veterans establishment operated video gaming terminals in violation of Section 55 of the Video Gaming Act. Imposition of a fine by the Administrator under this subsection shall not preclude the Board from initiating additional or further disciplinary action against a licensee or applicant. A licensee that has been issued a fine under this subsection may contest the fine under Subpart G. For purposes of filing a response under Section 1800.720, a notice of fine shall be considered a notice of proposed disciplinary action.

e) Any changes or additions to all material information provided in an application for a video gaming license, including but not limited to:

1. Use Agreements;

2. Persons who have acted or will act as a sales agent or broker, or otherwise engage in the solicitation of business from current or potential licensed video gaming locations; and

3. Agreements with any individual or business entity related to the sharing of, or allotting, any sums of money derived from the operation of video gaming.

History

• Source: Amended at 41 Ill. Reg. 4499, effective April 14, 2017

11 Ill. Adm. Code 1800.230 Duties of Licensed Manufacturers

In addition to all other duties and obligations required by the Video Gaming Act and this Part, each licensed manufacturer has an ongoing duty to comply with the following:

a) Manufacture video gaming terminals and associated video gaming equipment for placement in the State in accordance with the specifications and procedures set forth in the Act, this Part and the technical standards adopted by the Board;

b) Make available the odds of winning for each video gaming terminal on the terminal's video monitor, accessible from a clear and conspicuous help button or touch screen icon. The odds of winning, the manner in which they are calculated, and the allowable payout percentages shall be in accordance with the Act and the technical standards adopted by the Board;

c) Maintain and provide inventory of associated video gaming equipment for certified video gaming terminals sold by the manufacturer for use in Illinois to ensure the timely repair and continued, approved operation and play of those video gaming terminals;

d) Provide technical assistance and training in accordance with the Act and this Part;

e) Comply with the provisions of the Gaming Device Act of 1962 (15 USC 1173);

f) Obtain all approvals and certifications required by the Act and this Part or as required by the Board;

g) Not own, manage or control a licensed establishment, licensed truck stop establishment, licensed fraternal establishment or licensed veterans establishment;

h) Service, maintain or repair video gaming terminals at licensed video gaming locations only by licensed technicians or licensed terminal handlers; and

i) Promptly notify all terminal operators with which the licensed manufacturer does business if the licensed manufacturer's hardware or software used in the operation of video gaming terminals is revoked under any circumstances.

History

• Source: Amended at 38 Ill. Reg. 19919, effective October 2, 2014

Chapter I Illinois Gaming Board

Part 1800 Video Gaming (general)

11 Ill. Adm. Code 1800.240 Duties of Licensed Distributors

In addition to all other duties and obligations required by the Act and this Part, each licensed distributor has an ongoing duty to comply with the following:

a) Buy, sell, distribute, lease or market in Illinois only video gaming terminals that have been tested and certified for use in Illinois;

b) Provide technical assistance and training in accordance with the Act and this Part;

c) Not own, manage or control a licensed establishment, licensed truck stop establishment, licensed fraternal establishment or licensed veterans establishment;

d) Service, maintain or repair video gaming terminals at licensed video gaming locations only by licensed technicians or licensed terminal handlers; and

e) Promptly notify all terminal operators with which the licensed distributor does business if the licensed manufacturer's hardware or software used in the operation of that terminal operator's video gaming terminals is revoked under any circumstances.

History

• Source: Amended at 38 Ill. Reg. 19919, effective October 2, 2014

11 Ill. Adm. Code 1800.250 Duties of Terminal Operators

In addition to all other duties and obligations required by the Act and this Part, each licensed terminal operator has an ongoing duty to comply with the following:

a) Assume the primary responsibility for the operation and maintenance of video gaming terminals and for payment of tax remittance to the State as required by the Act;

b) Maintain and provide, either directly or through a licensed manufacturer, distributor, supplier, licensed technician, or licensed terminal handler, an inventory of associated video gaming equipment to ensure the timely repair and continued, approved operation and play of the video gaming terminals it operates;

c) Ensure the timely repair and continued, approved operation and play of the video gaming terminals it operates;

d) Assume responsibility for the payment of valid receipt tickets issued by video gaming terminals it operates;

e) Maintain at all times an approved method of payout for valid receipt tickets and pay all valid receipt tickets;

f) Assume responsibility for terminal and associated video gaming equipment malfunctions, including any claim for the payment of credits arising from malfunctions;

g) Promptly notify the Board of electronic or mechanical malfunctions or problems experienced in a terminal that affect the integrity of terminal play;

h) Extend no form of deferred payment for video gaming terminal play in which an individual receives something of value now and agrees to repay the lender in the future for the purpose of wagering at a video gaming terminal;

i) Maintain a single bank account for all licensed video gaming locations with which it contracts for deposit of aggregate revenues generated from the play of video gaming terminals and allow for electronic fund transfers for tax payments;

j) Only enter into use agreements or agreements that purport to control placement and operations of video gaming terminals with video gaming locations that comply with the Act and this Part;

k) Obtain and install, at no cost to the State and as required by the Board, all hardware, software and related accessories necessary to connect video gaming terminals to a central communications system;

l) Offer or provide nothing of value to video gaming location or any person related to or affiliated with a video gaming location as an incentive or inducement to locate, keep or maintain video gaming terminals at the video gaming location;

m) Not own, manage or control a licensed establishment, licensed truck stop establishment, licensed large truck stop establishment, licensed fraternal establishment, or licensed veterans establishment;

n) Conduct advertising and promotional activities in accordance with this Part and in a manner that does not reflect adversely on or that would discredit or tend to discredit the Illinois gaming industry or the State of Illinois;

o) Respond to service calls within a reasonable time from the time of notification by the video gaming location;

p) Immediately remove all video gaming terminals from the restricted area of play:

1. upon order of the Board or an agent of the Board; or

2. that have been out of service or otherwise inoperable for more than 72 hours;

q) Provide the Board on a monthly basis a current list of video gaming terminals acquired for use in Illinois;

r) Not install, remove or relocate any video gaming terminal without prior notification and approval of the Administrator;

s) Provide prompt notice of an assignment of a use agreement to the Board, the affected location, and the central communications system vendor;

t) Maintain a video gaming terminal access log for each video gaming terminal, which must be kept inside the video gaming terminal at all times, documenting all access to the video gaming terminal. The log format shall provide for the time and date of access, the persons who had access, the license number when applicable and the nature of the service or repair made during the access;

u) Service, maintain or repair video gaming terminals at licensed video gaming locations only by licensed technicians or licensed terminal handlers;

v) Purchase keys and locks for video gaming terminals that are approved by the Board and are specific to the terminal operator. All keys shall be numbered, reported to the Board and available for audits. The Board shall be provided with access to the logic box of a video gaming terminal upon request. If a terminal operator's actions necessitate a rekeying, the costs of rekeying shall be at the terminal operator's expense. A terminal operator shall immediately inform the Board if a key is lost or stolen;

w) Provide, at the terminal operator's expense, digital surveillance cameras that continuously record at all times when video gaming terminals are operational. These cameras shall be maintained at all licensed video gaming locations with which the terminal operator has entered into a use agreement. The surveillance provided by these cameras shall extend to all areas where video gaming is being conducted and video gaming vouchers are redeemed. Recorded images must clearly and accurately display the time and date. Recordings shall not be destroyed or altered and shall be retained for at least 30 days. Surveillance recordings are subject to inspection by the Board through its agents and must be kept in a manner that allows the Board to view and obtain copies of the recordings immediately upon request. All surveillance recordings must record at a minimum of 10 frames per second and at a minimum resolution of 1280 x 720 px. All video surveillance data collected pursuant to this subsection shall be stored at the video gaming location or through offsite storage (e.g., cloud storage, offsite server). If stored at the video gaming location, neither the licensed location, nor any owner, person of significant influence or control, nor any of their employees, may access the video surveillance data. The retention of backed up video surveillance data shall take place twice monthly, by the first and fifteenth of each month, into a safe and secure location that shall not be accessible except by the terminal operator or a Board agent. The provisions of this subsection shall become operative on July 1, 2020; and

x) Create a form for the use of licensed video gaming locations as a receipt for progressive jackpot winners. After the Administrator approves that form, the terminal operator shall distribute the forms to all licensed video gaming locations operating in-location bonus jackpot games or in-location progressive games with which the terminal operator has a use agreement. The form shall have payment instructions for the winning patron, identify contact information for the terminal operator, and be capable of having the following information recorded in triplicate:

1. The winner's name and address;

2. The date and time the progressive jackpot was won;

3. Identification number and location of the video gaming terminal on which the progressive jackpot was won; and

4. Game outcome (for example, reel symbols, card values or suits).

y) Offer or provide nothing of value to any other person that does not hold a sales agent and broker license or who is not a person of significant influence and control who has been disclosed pursuant to Section 220(e)(2) of this Part as a result of any compensation earned in connection with the solicitation of agreements that purport to control the placement and operation of video gaming terminals on behalf of a terminal operator.

History

• Source: Amended at 47 Ill. Reg. 2682, effective February 10, 2023

11 Ill. Adm. Code 1800.260 Duties of Licensed Technicians and Licensed Terminal Handlers

In addition to all other duties and obligations required by the Act and this Part, each licensed technician and licensed terminal handler has an ongoing duty to comply with the following:

a) Promptly notify the Board of electronic or mechanical malfunctions or problems experienced in a terminal that affect the integrity of terminal play;

b) Promptly notify the Board of any unauthorized or illegal video gaming location or any video gaming terminal that is in violation of Section 35 of the Act;

c) Ensure that every video gaming terminal is licensed by the Board before any service, maintenance or repair is performed;

d) Comply with all technical standards and requirements issued by the Board;

e) Carry and display identification issued by the Board when working on video gaming terminals and associated video gaming equipment;

f) For each video gaming terminal accessed by a licensed terminal handler, record in each video gaming terminal access log the time and date of access, the person, and his or her license number, who had access, and the nature of the service or repair made during the access;

g) Pay a fee of $10 to the Board for any necessary replacement of identification;

h) Return identification to the Board upon resignation or termination of employment;

i) Not play any video gaming terminal for recreational purposes;

j) Comply with all requests by Board agents for identification or for access to the logic box within a video gaming terminal;

k) Following any access, possession or control of a video gaming terminal, provide information on a project sheet that shall include, at a minimum, the name of the licensed technician or licensed terminal handler, time during which the video gaming terminal was accessed, possessed or controlled, and nature of any servicing or repairs; and

l) Inform the central communications system before clearing meters on a video gaming terminal.

History

• Source: Amended at 44 Ill. Reg. 489, effective December 27, 2019

11 Ill. Adm. Code 1800.265 Duties of Sales Agents and Brokers

In addition to all other duties and obligations required by the Act and this Part, each licensed sales agent and broker, or any person of significant influence or control of a terminal operator that is engaged in the solicitation of Use Agreements or any other agreement that purports to control the placement and operation of video gaming terminals for that terminal operator, has an ongoing duty to comply with the following:

a) Carry and display identification issued by the Board when engaged in the active solicitation of use agreements on behalf of a terminal operator;

b) Pay a fee of $10 to the Board for any necessary replacement of identification;

c) Return Board issued identification to the Board within 30 days upon expiration, surrender, or termination of licensure, or rescission of Board issued temporary identification;

d) Only solicit or facilitate Use Agreements or agreements that purport to control the placement and operation of video gaming terminals with video gaming locations that comply with the Act and this Part;

e) Offer or provide nothing of value to any video gaming location, or any person related to or affiliated with video gaming location as identified in Section 1800.350(a)(2) of this Part, as an incentive or inducement to locate, keep or maintain video gaming terminals at the video gaming location (see Section 1800.350);

f) Affirmatively disclose to every video gaming location being solicited the identity of any terminal operator on whose behalf the person is acting when soliciting Use Agreements or any agreements that purport to control the placement and operation of video gaming terminals.

g) Disclose to any terminal operator on whose behalf the sales agent and broker is acting the identity of any and all of that sales agent and broker's employees, subcontractors, or other persons who may assist the sales agent and broker in solicitation or facilitation of Use Agreements or other agreements that purport to control the placement and operation of video gaming terminals on behalf of that terminal operator. Sales agents and brokers shall make such disclosure before those persons may engage in any solicitation or facilitation on behalf of the terminal operator.

h) Offer or provide nothing of value to any other person as any form of compensation or payment in connection with the solicitation of Use Agreements or agreements that purport to control the placement and operation of video gaming terminals on behalf of a terminal operator unless:

1. The person is a licensed sales agent and broker, and

2. The person has been disclosed to the terminal operator as having been involved in the solicitation of the agreement for which that person is receiving compensation or payment.

i) Retain a record of all payments or compensation of any kind made to any person in connection with the solicitation of Use Agreements or any other agreements that purport to control the placement and operation of video gaming terminals.

j) Retain a record of all services provided to, and fees received from, a video gaming location and a licensed terminal operator.

k) These records shall be held for at least as long as prescribed by the Records Retention Schedule periodically published by the Administrator, or longer if otherwise prescribed by general accounting and auditing procedures.

History

• Source: Amended at 50 Ill. Reg. 5683, effective May 1, 2026

Chapter I Illinois Gaming Board

Part 1800 Video Gaming (general)

11 Ill. Adm. Code 1800.270 Duties of Licensed Video Gaming Locations

In addition to all other duties and obligations required by the Act and this Part, each licensed video gaming location has an ongoing duty to comply with the following:

a) Provide a secure premise for the placement, operation and play of video gaming terminals;

b) Permit no one to tamper with or interfere with the approved operation of any video gaming terminal;

c) Ensure that all connections with the central communications system and associated video gaming equipment are at all times maintained and prevent any person from tampering or interfering with the approved, continuing operation of the central communications system;

d) Accept nothing of value from any video terminal operator or any agent or representative of any video terminal operator as an incentive or inducement to locate, keep or maintain video gaming terminals at the licensed video gaming location;

e) Conduct advertising and promotional activities in accordance with this Part and in a manner that does not reflect adversely on or that would discredit or tend to discredit the Illinois gaming industry or the State of Illinois;

f) Immediately remove all video gaming terminals from the restricted area of play:

1. upon order of the Board or an agent of the Board; or

2. that have been out of service or otherwise inoperable for more than 72 hours;

g) Enter written use agreements with licensed video terminal operators that comply with this Part;

h) Ensure that video gaming terminals are placed and remain in a designated, approved location;

i) Prevent access to or play of video gaming terminals by persons who are under the age of 21 years or who are visibly intoxicated;

j) Commit no violations of the laws of this State concerning the sale, dispensing or consumption on premises of alcoholic beverages that results in suspension or revocation of any liquor license held by or associated with a licensed video gaming location;

k) Maintain at all times an approved method of payout for valid receipt tickets and redeem for cash each valid receipt ticket dispensed by a video gaming terminal that is within its redemption period;

l) Extend no form of deferred payment for video gaming terminal play in which an individual receives something of value now and agrees to repay the lender in the future for the purpose of wagering at a video gaming terminal;

m) Promptly report to the terminal operator:

1. all malfunctions of video gaming terminals and all out-of-service terminals; and

2. any unlawful or unwarranted entry onto the property or into the licensed video gaming location involving or affecting play, mechanism or contents of video gaming terminals, redemption devices, or connected equipment;

n) Promptly report to the Administrator (or his or her designee):

1. if a terminal operator fails to provide service and repair of video gaming terminals and associated equipment within 24 hours after notice to the terminal operator;

2. any unauthorized or illegal video gaming terminals or any video gaming device that is in violation of Section 35 of the Video Gaming Act;

3. any action taken on or related to any liquor license held by the licensed video gaming location; and

4. any unlawful or unwarranted entry onto the property or into the licensed video gaming location involving or affecting play, mechanism or contents of video gaming terminals, redemption devices, or connected equipment;

o) Install, post and display signs as required by the Board, including signs indicating that video gaming terminal play is limited to persons 21 years of age or older;

p) Exercise control over the licensed video gaming location;

q) Allow maintenance and/or service of video gaming terminals and associated video gaming equipment only by licensed technicians and licensed terminal handlers possessing valid identification issued by the Board; and

r) Ensure that video gaming terminals at the location are not played for recreational purposes by an owner, person with significant influence or control, or video gaming manager of the location.

History

• Source: Amended at 40 Ill. Reg. 8760, effective June 14, 2016

11 Ill. Adm. Code 1800.310 Grounds for Disciplinary Actions

a) Holders of any license issued under the Act and identified persons with significant influence or control shall be subject to imposition of fines, suspension, revocation or restriction of license, or other disciplinary action for any act or failure to act by themselves or by their agents or employees that is injurious to the public health, safety, morals, good order and general welfare of the people of the State of Illinois, or that would discredit or tend to discredit the Illinois video gaming industry or the State of Illinois. Without limiting the provisions of this subsection (a), the following acts or omissions may be grounds for discipline:

1. Failing to comply with or make provision for compliance with the Act, this Part, any federal, State or local law or regulation, or a control system or protocol mandated by the Board;

2. Failing to comply with any order or ruling of the Board or its agents pertaining to the regulation of video gaming in Illinois;

3. Receiving goods or services from a licensee or other person in violation of the Act's licensing requirements, or in violation of any restriction, condition or prohibition of a license;

4. Being suspended or ruled ineligible or having a license revoked or suspended in any state or gaming or video gaming jurisdiction;

5. Employing, associating with, or participating in any enterprise or business with a documented or identifiable organized crime group or recognized organized crime figure;

6. Employing, associating with, or participating in any enterprise or business with persons of notorious or unsavory reputation or who have extensive police records, or who have failed to cooperate with any officially constituted investigatory or administrative body;

7. Failing to establish and maintain standards and procedures designed to prevent ineligible or unsuitable persons from being employed by the licensee, including any person known to have been found guilty of cheating or using any improper device in connection with any game or gaming device regulated under the Act or under the law of any gaming jurisdiction;

8. Misrepresenting any information to the Board;

9. Intentionally making, causing to be made, or aiding, assisting, or procuring another to make any false statement in any report, disclosure, application, permit, form, or any other document, including improperly notarized documents, required by the Act, this Part or Board requirements;

10. Submitting tardy, inaccurate, or incomplete material or information to the Board;

11. Obstructing or impeding the lawful activities of the Board or its agents;

12. Willfully or repeatedly failing to pay amounts due or to be remitted to the State;

13. Failing to timely pay amounts due or to be remitted to the State;

14. Failing to timely pay a fine imposed by the Board;

15. Failing to respond in a timely manner to communications from the Board;

16. Being unavailable to the Board or its representatives or agents;

17. Aiding and abetting a violation by a Board member or employee, or other government official, of a requirement established by statute, resolution, ordinance, personnel code or code of conduct;

18. Violation of the Act or this Part by any person identified as a person with significant influence or control;

19. Employing, associating with, or participating in any enterprise or business with a person determined unsuitable to be a person with significant influence or control over an applicant or licensee by the Board or any other gaming jurisdiction;

20. Facilitating, enabling or participating in the use of coin-operated amusement devices for gambling purposes on or after December 16, 2009;

21. Engaging in, or facilitating, any unfair methods of competition or unfair or deceptive acts or practices, including, but not limited to, the use or employment of any deception, fraud, false pretense, false promise or misrepresentation, or the concealment, suppression or omission of any material fact in the conduct of any video gaming operation;

22. Failing to maintain minimum qualifications for licensure; and

23. Any cause that, if known to the Board, would have disqualified the applicant from receiving a license.

b) A licensee whose employment has been terminated is subject to revocation of license for any act or failure to act that occurred while licensed.

c) A person who has had his or her license revoked by the Board may not reapply for a license without permission from the Board.

History

• Source: Amended at 36 Ill. Reg. 18550, effective December 14, 2012

11 Ill. Adm. Code 1800.320 Minimum Standards for Use Agreements

a) All Use Agreements must comply with the following:

1. Only be between:

A) A licensed terminal operator that, beginning July 15, 2014, is licensed by the Board at the time the Use Agreement is signed; and

B) For all applicants filing application for a licensed video gaming location on or after October 1, 2022, any of the following:

i) a licensed video gaming location;

ii) an applicant to become a licensed video gaming location; or

iii) any person that applies to become a licensed video gaming location within one year of executing the Use Agreement;

2. Subject to the requirements of subsection (a)(1)(B), if an applicant becomes licensed, a first-in-time Use Agreement, and any amendments thereto, shall control from the date the Use Agreement is executed, and be superior to any Use Agreements executed by the applicant after the first-in-time Use Agreement's execution.

3. An executed Use Agreement becomes void if either:

A) the person executing the Use Agreement under subsection (a)(1)(B) fails to apply for a video gaming location license within one year of execution; or

B) the person executing the Use Agreement under subsection (a)(1)(B) is denied a video gaming location license by a Final Board Order.

4. Contain an affirmative statement that no inducement was offered or accepted regarding the placement or operation of video gaming terminals in a licensed video gaming location.

5. Contain an indemnity and hold harmless provision on behalf of the State, the Board and its agents relative to any cause of action arising from a Use Agreement.

6. Prohibit any assignment other than from a licensed terminal operator to another licensed terminal operator.

7. Contain a provision that releases the video gaming location from any continuing contractual obligation to the terminal operator in the event that the terminal operator has its license revoked or denied, has its renewal denied, or surrenders its license.

8. State which sales agent, broker or other person, if any, procured the Use Agreement on behalf of the terminal operator.

9. Not provide for automatic renewal in the absence of cancellation.

10. Not be for a length of time exceeding eight years.

11. Contain a provision that terminates the Use Agreement if an applicant to be a licensed video gaming location is denied pursuant to a final Board order or a licensed video gaming location is not renewed pursuant to a final Board order.

12. Contain a provision that the parties agree to modify the Use Agreement to the extent necessary to comply with a change in Illinois statutes, Board rules, or a Board directive or order.

13. Terminal Operators shall provide a final copy of the Use Agreement to the video gaming location after execution by the parties.

b) Petitions

1. The Board shall decide a petition brought by a terminal operator, licensed video gaming location or other interested party to determine the validity or enforceability of an agreement, or portion of an agreement, that purports to control the location and operation of video gaming terminals. For purposes of this Section an "interested party" is a party asserting legal rights whose enforcement requires, or may be materially and substantially affected by, Board action. Issues the Board has authority to decide under this subsection (b) include, but are not limited to, the following:

A) Whether the agreement is one that controls the placement or operation of video gaming terminals.

B) When two or more agreements between a licensed video gaming location and one or more terminal operators have overlapping effective dates, which of the agreements is valid during the period of overlap.

C) Whether an agreement, or portion of an agreement, complies with the requirements of the Act and this Part.

D) Whether a renewal provision in an agreement poses such obstacles against non-renewal, or confusion about the procedures for non-renewal, as to constitute an undue burden on the licensed video gaming location that has entered into the provision.

E) Whether a terminal operator or anyone on its behalf has used coercion, deception, or an inducement or incentive in violation of Section 25(c) of the Act or this Part to persuade a licensed video gaming location to enter into or renew an agreement.

F) Whether one or more terms of an agreement constitute practices detrimental to the public interest or against the best interests of video gaming.

2. Petitions under this subsection (b) shall be in writing and shall include an original and one copy unless submitted by e-mail to an e-mail address designated for that purpose on the Board's website. Any petitioner under this Section shall bear the burden of proof by clear and convincing evidence. A petition shall contain the following:

A) The name, current address, current telephone number, and e-mail address of the petitioner.

B) Detailed facts and reasons upon which the petitioner relies in arguing that an agreement, or portion of an agreement, is invalid or unenforceable. Petitions may include documentary evidence and affidavits. When the petitioner is petitioning as an interested party, the petition must include detailed facts and reasons upon which the petitioner relies in arguing that it has legal rights whose enforcement requires, or may be materially and substantially affected by, Board action.

C) A signature of the petitioner.

D) A verification of the petition in the following form:

"The undersigned certifies that the statements set forth in this petition are true and correct, except as to matters therein stated to be on information and belief, and as to such matters the undersigned certifies that he or she verily believes the same to be true."

E) A notarization.

3. Following receipt of a petition meeting the requirements of subsection (b)(2), the Administrator shall promptly send by certified mail or e-mail to each non-petitioning terminal operator or licensed video gaming location or other interested party named in the petition a complete copy of the petition, including all submitted documents. Non-petitioning parties named in the petition must file a response within 21 days after their receipt of the petition. All responses shall be in writing and shall include an original and one copy unless submitted by e-mail to an e-mail address designated for that purpose on the Board's website. A response shall be deemed filed on the date on which it is postmarked. The response shall contain the following:

A) The name, current address, current telephone number, and e-mail address of the responding party.

B) A clear and concise statement admitting or denying each of the allegations set forth in the petition.

C) For all allegations that the licensee denies, detailed facts and reasons upon which the non-petitioning party relies in arguing that the agreement, or portion of the agreement, is valid or enforceable. Responses may include documentary evidence and affidavits.

D) A signature of the licensee.

E) A verification of the licensee in the following form:

"The undersigned certifies that the statements set forth in this response are true and correct, except as to matters therein stated to be on information and belief, and as to such matters the undersigned certifies that he or she verily believes the same to be true."

F) A notarization.

4. The Administrator shall promptly provide a petitioning party with complete copies of all submitted responses meeting the requirements of subsection (c)(2).

5. Before rendering a recommended decision, the Administrator may require the parties to attend a conference to attempt to settle any dispute under this subsection (b)(5).

6. Administrator's Recommended Decision

A) Following the expiration of the 21-day response period, the Administrator shall issue a written recommended decision on the validity or enforceability of the contested agreement, or contested portions of the agreement, based on the contents of the petition and any responses.

B) The Administrator's recommended decision shall set forth the reasons the Administrator is recommending the granting or denial of the petition. When the petition asserts more than one claim as to the validity or enforceability of the agreement, or a portion of the agreement, the Administrator shall separately decide each claim.

C) Copies of the Administrator's recommended decision shall be served on each party by personal delivery, certified mail or overnight express mail to the party's last known address, or e-mail provided pursuant to Section 1800.140 or subsection (b)(2)(A) of this Section.

7. A petitioning party or party named in a petition brought under this subsection (b) may file exceptions to the recommended decision of the Administrator. The exception shall be filed with the Board no later than 14 days after receipt of the recommended decision. Exceptions shall specify each finding of fact and conclusion of law to which exception is taken. There shall be no oral argument on exceptions.

8. Intervention

A) Upon timely written application prior to the Administrator issuing a recommendation, the Administrator may, in his or her discretion, permit any interested party to intervene in the petition process, if that party may be materially and adversely affected by a final order arising from the petition.

B) In exercising his or her discretion, the Administrator shall consider whether intervention will unduly delay or prejudice the adjudication of the rights of the original parties.

C) A petition for intervention must meet the same standards as an initial petition or response under subsection (b)(2) or (b)(3). It must also include sufficient facts for the Administrator to find that the intervening party may be materially and adversely affected by a final order arising from the petition.

D) Upon making a determination that a party may be permitted to intervene, the Administrator shall provide to the intervenor a copy of the original petition, as well as any responses. The Administrator shall also notify all other parties that the petition to intervene has been granted, and provide those parties with a copy of the petition to intervene.

9. Prior to the Board rendering a decision, the Administrator may require the parties to attend a conference to attempt to settle any dispute under this subsection (b).

10. Any relief given by the Board under this subsection (b) shall be limited to deciding which agreement, or portion of the agreement, is valid for the placement and operation of video gaming terminals in a licensed video gaming location. The Board has the express authority to order a licensed terminal operator to remove its Video Gaming Terminals from a licensed establishment if an agreement, or portion of the agreement, is invalidated. The Board shall not award monetary damages of any kind. Any failure by a party to abide by the Board's decision shall subject the licensee to discipline.

11. Ex Parte Communication Prohibited. No party or its representative shall make any communication directly or indirectly with the Administrator, employees, or members of the Illinois Gaming Board regarding a pending petition that imparts material information or makes a material argument, except upon notice to and opportunity for all parties to participate.

12. Final Board Order

A) The Board shall review the entire record, including the petitions filed, the Administrator's recommended decision, and any exceptions filed, and shall render a written order including the bases for its decision.

B) Copies of the final Board order shall be served on each licensee by personal delivery, certified mail or overnight express mail to the licensee's last known address, or e-mail provided pursuant to Section 1800.140 or subsection (b)(2)(A) of this Section.

C) A final Board order shall become effective upon personal delivery

to a party, upon posting by certified or overnight express mail to the party's last known address, or sending of e-mail provided pursuant to Section 1800.140 or subsection (b)(2)(A) of this Section.

c) The Board shall promulgate a standard form for Use Agreements and establish an effective date for its implementation. All new and renewed Use Agreements entered into on or after that effective date shall incorporate the language of the standard form and shall be consistent with the standard form in all respects.

d) Unless otherwise indicated, whenever the term "agreement" is used in this Section, it refers to an agreement that purports to control the operation and placement of video gaming terminals.

History

• Source: Amended at 50 Ill. Reg. 5683, effective May 1, 2026

Chapter I Illinois Gaming Board

Part 1800 Video Gaming (general)

11 Ill. Adm. Code 1800.321 Solicitation of Use Agreements or Agreements That Purport to Control the Placement and Operation of Video Gaming Terminals

a) Solicitation

1. No person may solicit a video gaming location for any use agreement that purports to control the placement and operation of video gaming terminals on behalf of a terminal operator unless that person:

A) has a valid sales agent and broker license or has been previously identified as a person of significant influence or control of the terminal operator under Section 1800.430(d); and

B) has been disclosed pursuant to Section 220(e)(2) of this Part.

2. There is a rebuttable presumption that any person who may receive or has received a commission, payment, bonus, or other compensation in connection with the execution of a use agreement or other agreement that purports to control the placement and operation of video gaming terminals is engaged in solicitation.

b) No person shall be compensated by a terminal operator for solicitation of any use agreement or any other agreement that purports to control the placement and operation of video gaming terminals if that person has been the subject of a Final Board Order revoking or denying renewal of their sales agent and broker license or ordering their economic disassociation.

History

• Source: Added at 47 Ill. Reg. 2682, effective February 10, 2023

11 Ill. Adm. Code 1800.322 Restrictions on Use Agreements

a) Effective May 1, 2026, all Use Agreements not currently used to place video gaming terminals must comply with this Part before video gaming terminals may be placed in a licensed establishment. No Use Agreement to place video gaming terminals in a licensed establishment in effect prior to May 1, 2026, may renew, extend, or otherwise continue after its expiration date unless it complies with this Section.

b) No licensed terminal operator may enter into a Use Agreement or other agreement that purports to control the placement or operation of video gaming terminals with a video gaming location if a person with an ownership interest or person of significant influence or control of the licensed terminal operator or any affiliated entity is an immediate family member of a person with an ownership interest or person of significant influence or control of the licensed video gaming location or any affiliated entity.

c) No licensed terminal operator may enter into a Use Agreement or other agreement that purports to control the placement or operation of video gaming terminals with a video gaming location if any or all of the real estate upon which the video gaming establishment is located is owned entirely or in part by the licensed terminal operator, an affiliated entity of the licensed terminal operator, a person of significant influence or control of the licensed terminal operator, a sales agent or broker for the licensed terminal operator, or an immediate family member of any person of significant influence or control of the licensed terminal operator.

d) No sales agent and broker may solicit a Use Agreement or other agreement that purports to control the placement or operation of video gaming terminals on behalf of a terminal operator from a video gaming location if that person is an immediate family member of a person with an ownership interest, officer, director, manager, employee, or person of significant influence or control of the video gaming location,

e) Enforcement:

1. The prohibitions in this Section apply to all Use Agreements, except for any Use Agreement under which video gaming terminals are placed in a video gaming location on May 1, 2026.

2. Any Use Agreement between parties in violation of this Section can continue to operate video gaming terminals until the expiration of that Use Agreement. That Use Agreement can only be renewed in accordance with this Section and Section 1800.320.

3. Any Use Agreement that does not comply with this Section shall be null and void.

History

• Source: Added at 50 Ill. Reg. 5683, effective May 1, 2026

Chapter I Illinois Gaming Board

Part 1800 Video Gaming (general)

11 Ill. Adm. Code 1800.330 Economic Disassociation

a) Each applicant or licensee shall provide a means for the economic disassociation of any person who, with respect to that applicant or licensee, is a Person With Significant Influence or Control, a holder of an Ownership Interest, or any licensed sales agent and broker, in the event the economic disassociation is required by an order of the Board.

b) Based upon findings from an investigation into the character, reputation, experience, associations, business probity, and financial integrity of a Person With Significant Influence or Control, a holder of an Ownership Interest, or any licensed sales agent and broker, the Board may enter an order upon a licensee to require the economic disassociation of that person. A person whose economic disassociation has been ordered may contest the order under the provisions of Subpart G. A violation of an order of economic disassociation may result in a complaint against the licensee under Subpart G. Any hearing relating to an order of economic disassociation shall be a hearing on the merits of the Board's determination that economic disassociation is warranted. The licensee shall be considered the party to the hearing.

c) The Board may enter an order of economic disassociation under this Section under any criteria for denial of license set forth in Section 9 of the Illinois Gambling Act [230 ILCS 10] or Section 45 of the Video Gaming Act.

d) If an order of economic disassociation is contested under subsection (b) of this Section, all payments owed to or in connection with the subject person shall be suspended until the Board issues its final Board order.

e) If the final Board order under subsection (d) results in economic disassociation, no further payments may be made to the disassociated person other than fair market value consideration for a loss of ownership interest.

f) If the final Board order under subsection (d) does not result in economic disassociation, then any payments suspended pursuant to subsection (d) of this Section may be paid.

g) No licensee shall engage in any economic association with any person who has been subject to any final Board order of economic disassociation.

History

• Source: Amended at 47 Ill. Reg. 2682, effective February 10, 2023

11 Ill. Adm. Code 1800.340 Change in Ownership of Terminal Operators and Assets Held by Terminal Operators

a) Notwithstanding any other Subpart, any ownership interest in a licensed terminal operator may only be transferred with leave of the Board. Any ownership interest in a business entity, other than a publicly traded corporation that has an interest in a licensed terminal operator may only be transferred with leave of the Board.

1. Any person, other than a licensed terminal operator, seeking to acquire less than a 100% ownership interest in a licensed terminal operator must complete either a Business Entity or Personal Disclosure Form, whichever is applicable, and provide any other information specifically requested by the Board, including, but not limited to:

A) the reason for acquisition of ownership interest; and

B) disclosure of other ownership interests.

2. Any person, other than a licensed terminal operator, seeking to acquire a 100% ownership interest in a licensed terminal operator must complete a terminal operator application.

3. Any licensed terminal operator seeking to acquire an ownership interest in another licensed terminal operator must provide any information requested by the Board, including, but not limited to, the information specified in subsections (a)(1)(A) and (a)(1)(B).

4. The Board shall investigate persons seeking to acquire an ownership interest in a licensed terminal operator.

5. The Board shall grant leave to transfer an ownership interest in a terminal operator only after the Board is satisfied that the transaction does not adversely affect public confidence and trust in gaming, does not pose a threat to the public interests of the State or to the security and integrity of video gaming, and does not discredit or tend to discredit the Illinois gaming industry or the State of Illinois. The Board shall consider, without limitation, the licensing criteria found in the Act and in Section 1800.420 in deciding whether to grant leave to transfer an ownership interest.

6. The Board shall also consider whether granting leave to transfer an ownership interest in a terminal operator will result in undue economic concentration in the direct or indirect ownership, control or operation of video terminals in Illinois, as set forth in the Act and Section 1800.440. In determining whether transfer of an ownership interest in a terminal operator will result in undue economic concentration, the Board shall consider the criteria found in Section 1800.440(c). The Board shall have the authority to place any restrictions or qualifications on the terms of a transfer of an ownership interest in a terminal operator that it deems necessary to prevent or eliminate undue economic concentration.

7. If the Board denies a request to transfer an ownership interest of a licensed terminal operator, the Board shall issue a Notice of Denial and the denied person shall have the ability to contest the denial in accordance with Subpart G. The denied person may request a hearing under Subpart F.

8. Upon conclusion of disciplinary proceedings, the Board shall make a determination within the next two Board meetings on any request to transfer or sell ownership by a terminal operator.

9. The Board shall make a determination on a request for leave to transfer an ownership interest of a terminal operator within 90 days after the date upon which the requesting party has provided full and complete disclosure to the Board of all material terms of the proposed transfer, including but not limited to all information required under subsections (a)(1), (2) and (3) and Section 1800.520; provided that, if the terminal operator involved in the proposed transfer has received a disciplinary complaint from the Board, the period for Board determination shall extend further to the date of the second Board meeting following conclusion of the disciplinary proceedings.

b) Any information provided to the Board under this Section is strictly confidential and shall not be used for any purposes other than the analysis, evaluation and investigation carried out in connection with a request under this Section.

c) Except for equipment, no video gaming asset, including the right to place video gaming terminals at a licensed establishment, held by a licensed terminal operator may be transferred or assigned to another licensed terminal operator without prior approval from the Administrator.

d) The Administrator may deny the request of any terminal operator to transfer or assign a video gaming asset to another licensed terminal operator if the Administrator finds that the request is not in the best interest of gaming in the State. The Administrator shall determine whether a request to transfer or assign a video gaming asset is in the best interest of gaming in the State after considering all relevant factors, including but not limited to:

1. Undue economic concentration based upon the criteria found in Section 1800.440(c);

2. The integrity of the State's video gaming industry; and

3. The status of the licensees with the Board.

e) If the Administrator denies a request to transfer or assign a video gaming asset under this Section, the Administrator shall notify the parties in writing.

f) If the Administrator denies a request to transfer or assign a video gaming asset under this Section, the terminal operator may only transfer or assign the video gaming asset with leave from the Board.

History

• Source: Added at 44 Ill. Reg. 10891, effective June 10, 2020

11 Ill. Adm. Code 1800.350 Inducements

For the purposes of Board action, the following criteria regarding the provision of goods and services shall apply.

a) For the purposes of this Section:

1. "Terminal operator" means any licensed terminal operator, applicant for a terminal operator license, affiliated entities of the terminal operator, its owners, employees, agents, other persons of significant influence or control, or any immediate family members of such persons, or any third party, including sales agents, acting on behalf of or to the benefit of the terminal operator.

2. "Video gaming location" means any licensed video gaming location as defined in Section 1800.110, any applicant to become a licensed video gaming location, any person who the terminal operator has reason to believe may apply to become a licensed video gaming location, and including the video gaming location's owners, employees, agents, persons of significant influence or control, or their immediate family members.

3. "Immediate family" means spouse (other than a spouse who is legally separated from the individual under a decree of divorce or separate maintenance), parents, grandparents, siblings, children and grandchildren, step-children, whether by blood, marriage, or adoption.

b) A terminal operator providing the following goods and services to a video gaming location, or payment for those goods and services, does not constitute a prohibited incentive or inducement under Section 25(c) of the Act:

1. Video gaming terminals and any related items necessary to make the video gaming terminals operable at the video gaming location, including any wiring or rewiring, telephone lines, network connections, circuit boards, redemption devices, site controllers, or other like items specified by the video gaming terminal manufacturer, central communications system provider, or the Board. The cost of any service or hardware under this subsection (b)(1), other than video gaming equipment, shall not exceed $2,500 without prior written approval of the Administrator.

2. Software upgrades, replacement parts, repairs, or other costs directly related to ongoing maintenance expenses of video gaming terminals.

3. Video surveillance, alarms, ID scanners, or other security systems or devices required by this Part or intended to monitor or enhance the security and integrity of video gaming operations and the video gaming area of a licensed video gaming location, but not including the costs of permanent physical construction. The surveillance and alarms may include exterior entrances and exits to the video gaming location. When surveillance, alarms, or other security systems cover both gaming and non-gaming areas of the video gaming location, this subsection (b)(3) only applies to the portion of the installation or ongoing costs and fees proportional to the video gaming area and exterior entrance and exit coverage.

4. Bases, chairs, stools, tables, spacers, or other similar furniture designated for use at the video gaming terminals, and that are intended to remain in the video gaming area of the video gaming location.

5. Assisting a video gaming location in preparing or filing applications or other documentation required by the Board, or advising a video gaming location on compliance with the Act and this Part, but not including paying any fee or cost on behalf of the video gaming location.

6. Payment by a terminal operator on behalf of the video gaming establishment to a third party with subsequent reimbursement by the video gaming location, if all of the following conditions are met:

A) There is an express written agreement or, in the absence of a written agreement, the payment is made pursuant to a lien or court order;

B) The payment to the third party is:

i) a shared cost of the terminal operator and the video gaming location otherwise permitted under the Act and this Part, including but not limited to the central communication service fee, fees or taxes required by state or local law or ordinance to be shared by the terminal operator and the video gaming location, shared security or surveillance fees, or shared promotional expenses;

ii) the exclusive legal obligation of the video gaming location to a unit of local government and is directly and solely related to the operation of video gaming terminals; or

iii) pursuant to a lien or court order; and

C) The video gaming location reimburses the terminal operator either:

i) through direct deduction from the video gaming location's share of net terminal income prior to disbursement of any revenue to the video gaming location; or

ii) within 60 days.

7. Promotional items, merchandise, or gifts other than food or beverage items, when the items meet all of the following:

A) Each item has an actual cost of $5 or less;

B) Each item prominently and exclusively displays the logo, brand, or other identifying mark of the terminal operator; and

C) Each item is solely for distribution to patrons.

8. Non-permanent exterior signage at the video gaming location including but not limited to banners, flags, wheeled, free standing, or otherwise portable or removable signs or displays subject to the following limitations:

A) A concurrent maximum of 5 signs at a single video gaming location;

B) Each sign costs no more than $300; and

C) The signage shall not bear the name, logo or identifying mark of the video gaming location.

9. Interior signage, display devices of any kind that relate directly and exclusively to the operation or promotion of video gaming terminals, including but not limited to:

A) Problem gambling resources;

B) Age restrictions;

C) Directing patrons to the gaming area;

D) Informing patrons as to the availability of functionality of video gaming terminals or individual games:

E) Promoting the video gaming terminals;

F) Promoting individual specific games;

G) Promoting the terminal operator; or

H) Any other information as directed by the Administrator.

10. Anything provided through the procurement of terminal operator services to the Department of Agriculture to effectuate the State Fair Gaming Act [230 ILCS 50/30] when done in compliance with the Illinois Procurement Code.

c) Provision of the following goods and services, or payment for those goods and services, by a terminal operator to a video gaming location shall be expressly prohibited:

1. Permanent construction or signage unless permitted by Section 1800.350(b);

2. Non-permanent signage at a video gaming location except as permitted by Section 1800.350(b);

3. Food and beverage;

4. Items for use in the conduct of the non-video gaming portions of the video gaming location's business, including but not limited to glassware, napkins, menus, or coasters, regardless of whether it displays the logo or brand name of the terminal operator;

5. Free or promotional video gaming play, including match play, for distribution to patrons; and

6. Conducting joint marketing, advertising, or promotional activities, except when the costs are equally split between the terminal operator and video gaming location.

d) Unless expressly identified in subsection (b), provision of the following goods and services, or payment for those goods and services, by a terminal operator to a video gaming location creates a rebuttable presumption of a prohibited incentive or inducement under Section 25(c) of the Act:

1. Direct monetary payment, other than distribution of a share of the after tax income of a video gaming location, from a video gaming terminal.

2. Any loan or financing arrangement, regardless of the purpose of the loan or financing.

3. Reimbursement or payment to any third party for a debt or obligation of the video gaming location, except as provided under subsection (b)(6).

4. Total or partial payment or reimbursement of any tax or fee that is the legal obligation of the video gaming location, regardless of the source of the obligation, except as provided under subsection (b)(6).

5. Providing free, reduced cost, or below fair market value goods or services, including but not limited to:

A) Amusement devices when the video gaming location is receiving greater than 50% of the revenue from the device;

B) ATM services when the video gaming location is receiving greater than 50% of the revenue from the device; or

C) Real estate lease or rental agreements.

e) In determining whether a payment or the provision of goods or services is a prohibited incentive or inducement, including for purposes of inferring the intent of the parties, the Board may consider all relevant factors, including but not limited to:

1. The relationship, if any, between the goods or services and the operation or promotion of video gaming terminals at the video gaming location.

2. Whether, and to what degree, costs of a good or service are proportionally shared between the parties.

3. Whether, and to what degree, the benefits of a good or service are proportionally shared between the parties.

4. The nature of the relationship between any individual or entity providing or receiving the goods, services, or reimbursement and the terminal operator or video gaming location.

5. The fair market value of any goods or services, including but not limited to:

A) Commission payments;

B) Salaries to employees;

C) Real estate leases or rental agreements;

D) Amusement device revenue; or

E) Other independent, arms-length contracts or transactions.

6. Whether the specific behavior in question is in the public interest and the best interests of video gaming.

7. Whether the specific behavior in question discredits or tends to discredit the integrity of video gaming in Illinois.

f) Record Keeping

1. A terminal operator shall maintain records of all goods and services it provides to any licensed video gaming location, including all costs of goods or services it shares with any licensed video gaming location. The terminal operator shall maintain these records for a minimum of three years. These records shall, at a minimum, include the following:

A) Invoices;

B) Estimates;

C) Payments; and

D) Requests for reimbursements.

2. A terminal operator shall report to the Board, on no less than a quarterly basis, all goods, services, and shared costs it provides to any licensed video gaming location.

3. Any video gaming location that receives a good or service from, or shares the cost of the good or service with, a terminal operator shall make good faith efforts to maintain all records of the goods, services, and shared costs for no less than three years. Records maintained by the video gaming location shall be independent of any records maintained by the terminal operator.

History

• Source: Added at 45 Ill. Reg. 3424, effective March 8, 2021

11 Ill. Adm. Code 1800.360 Terminal Operator Record Retention

a) Each licensed terminal operator shall maintain, in a place secure from theft, loss or destruction, adequate records of business operations that shall be made available to the Board upon request. These records shall be held for at least as long as prescribed by the Records Retention Schedule periodically published by the Administrator, or longer if otherwise prescribed by general accounting and auditing procedures, litigation needs, or State or federal law. These records shall be maintained in a manner accessible to the Board or in a digital format prescribed by the Administrator.

b) Each licensed terminal operator, in such manner and for such time period as the Administrator may approve or require, shall keep accurate, complete and legible records of any books, records or documents pertaining to, prepared in, or maintained by a licensed terminal operator, regardless of physical form, characteristics, or subject matter, including, but not limited to, all forms, reports, accounting records, ledgers, subsidiary records, computer maintained and generated data, internal audit records, copies of all promotional material, and advertising, correspondence and personnel records.

c) All records shall be organized and indexed in a manner that provides prompt accessibility by agents of the Board upon request as soon as reasonably possible.

d) No original book, record or document required to be maintained by this Section may be destroyed by a licensee prior to the scheduled retention date without prior approval of the Administrator.

e) The Administrator shall publish and periodically update the Retention Schedule.

History

• Source: Added at 45 Ill. Reg. 5375, effective April 12, 2021

11 Ill. Adm. Code 1800.370 Deactivation of Video Gaming Terminals

a) The Administrator will deactivate a licensed video gaming location's video gaming terminals if:

1. The licensed video gaming location failed to timely pay a sum owed to the Board;

2. The licensed video gaming location's State or local liquor license was suspended, revoked, or expired; or

3. The licensed video gaming location failed to comply with a valid Board order.

b) Before the Administrator may deactivate a licensed video gaming location's video gaming terminals, the Administrator shall provide written notice to the licensed video gaming location stating that the terminals may be deactivated and identifying the basis for the deactivation. The deactivation notice shall be sent to all entities listed in the licensed video gaming location's license application no less than five days prior to the noticed deactivation.

c) A licensed video gaming location may avoid deactivation by:

1. Curing the basis for deactivation within five days of receiving the deactivation notice; or

2. Establishing a prima facie case that the basis for deactivation is the result of an error or defect the licensed video gaming location did not cause.

d) If the Administrator finds that the licensed video gaming location has failed to establish grounds to avoid deactivation under subsection (c), the Administrator will deactivate the licensed video gaming location's video gaming terminals.

e) If a licensed video gaming location's video gaming terminals are deactivated, the licensee shall cure the basis for the deactivation and pay a reactivation fee before the video gaming terminals are reactivated. The reactivation fee shall be the amount equal to the licensed video gaming location's annual license fee and shall be assessed per video gaming terminal.

1. A licensed video gaming location is excused from paying the reactivation fee if it can establish by clear and convincing evidence that it did not cause the basis for the deactivation.

2. The Administrator shall reactivate the video gaming terminals within five days after the licensed video gaming location has both cured the basis for the deactivation and paid the reactivation fee, if applicable.

f) The Administrator may appoint an Administrative Law Judge if the Administrator determines that a hearing is warranted to determine whether the basis for the deactivation is the result of an error or defect the licensed video gaming location did not cause or whether the licensed video gaming location has cured the basis for deactivation. If a hearing is commenced, it shall proceed under Subpart F.

1. The sole issues at hearing shall be limited to whether the basis for deactivation is the result of an error or defect the licensed video gaming location did not cause or whether the licensee has cured the basis for the deactivation.

2. The licensed video gaming location shall bear the burden of proof at all times and shall have the affirmative responsibility of establishing its case by clear and convincing evidence.

History

• Source: Added at 48 Ill. Reg. 15438, effective October 18, 2024

11 Ill. Adm. Code 1800.380 Advertising and Marketing

a) Illinois Gaming Board Casino Rule 680 (86 Ill. Adm. Code 3000.680) shall apply to all advertising and marketing conducted by or on behalf of any applicant or licensee to promote its Illinois video gaming operations. These rules do not apply to advertising or marketing solely to promote non-video gaming operations or directed solely at business-to-business solicitations not directed at patrons.

b) Each terminal operator applicant or licensee shall retain, or otherwise preserve, a copy of all advertising and marketing materials intended to promote any video gaming operation in the State of Illinois, including a log of when and how those materials have been published, aired, displayed, or distributed, if not otherwise recorded pursuant to Section 1800.350(f). These materials and logs shall be retained in accordance with the retention schedule prescribed by the Board.

c) Each terminal operator applicant or licensee and each licensed video gaming location shall be responsible for the advertising or marketing done on its behalf pursuant to an agreement whether conducted by the terminal operator applicant or the licensee, the licensed video gaming location an employee, an agent, an affiliated entity or a third party.

History

• Source: Added at 49 Ill. Reg. 9989, effective July 17, 2025

Chapter I Illinois Gaming Board

Part 1800 Video Gaming (general)

11 Ill. Adm. Code 1800.410 Coverage of Subpart

The rules contained in this Subpart shall govern qualifications for all types of licenses issued by the Board pursuant to the Act.

11 Ill. Adm. Code 1800.420 Qualifications for Licensure

a) In addition to the qualifications required in the Act, the Board may not grant any video gaming license until the Board is satisfied that the applicant has disclosed all persons with significant influence or control over the applicant or licensee and is:

1. A person of good character, honesty and integrity;

2. A person whose background, including criminal record, reputation and associations, is not injurious to the public health, safety, morals, good order and general welfare of the people of the State of Illinois;

3. A person whose background, including criminal record, reputation and associations, does not discredit or tend to discredit the Illinois gaming industry or the State of Illinois;

4. A person whose background, including criminal record, reputation, habits, social or business associations does not adversely affect public confidence and trust in gaming or pose a threat to the public interests of the State or to the security and integrity of video gaming;

5. A person who does not create or enhance the dangers of unsuitable, unfair or illegal practices, methods and activities in the conduct of video gaming;

6. A person who does not present questionable business practices and financial arrangements incidental to the conduct of video gaming activities or otherwise;

7. A person who, either individually or through employees, demonstrates business ability and experience to establish, operate and maintain a business for the type of license for which application is made;

8. A person who does not associate with, either socially or in business affairs, or employ persons of notorious or unsavory reputation or who have extensive police records, or who have failed to cooperate with any officially constituted investigatory or administrative body; and

9. A person who has not had a gaming license revoked in any other jurisdiction.

b) In considering applications for licenses issued under the Act, the Board shall apply the same criteria as set forth in Section 9 of the Illinois Gambling Act [230 ILCS 10]. If the applicant is not an individual, the Board may not license an applicant until it is satisfied that the applicant's owners and persons of significant influence or control are licensable using the same criteria as set forth in Section 9 of the Illinois Gambling Act. For the purposes of applicability of Section 9(a)(2) of the Illinois Gambling Act, all applicants, owners, and persons of significant influence or control are considered to be performing functions involved in gaming by patrons.

c) In addition to all other qualifications required in the Act and this Part, the Board may not grant a video terminal operator license until the Board is satisfied that the applicant is a person who demonstrates adequate financing for the business proposed. The Board shall consider whether any financing is from a source that meets the qualifications in subsection (a) and is in an amount sufficient to ensure the likelihood of success in the performance of the licensee's duties and responsibilities under the Act and this Part.

d) Past Participation in Video Gaming

1. The Board shall not grant a license to a person who has facilitated, enabled or participated in the use of coin-operated amusement devices for gambling purposes on or after December 16, 2009, or who is under the significant influence or control of such a person.

2. The Board has discretion not to grant a license to a person who, before December 16, 2009, has facilitated, enabled or participated in the use of coin-operated amusement devices for gambling purposes, or who is under the significant influence or control of such a person.

e) The Board shall have discretion to deny a license application on the basis that one of the following persons has placed himself or herself on the Self-Exclusion List established by 86 Ill. Adm. Code 3000.750:

1. The applicant;

2. A person with significant influence or control over the applicant;

3. A person with an ownership interest in the applicant of 5% or more; or

4. A person involved in the operation or management of the applicant's business related to video gaming.

History

• Source: Amended at 50 Ill. Reg. 7139, effective May 1, 2026

11 Ill. Adm. Code 1800.430 Persons with Significant Influence or Control

a) The Administrator shall identify each person that holds a position or level of influence over or control in each applicant or licensee that is significant to the regulatory concerns and obligations of the Board for the specified applicant or licensee.

b) Each person identified as a person with significant influence or control shall comply with the following:

1. Cooperate fully with any investigation conducted by or on behalf of the Board;

2. Comply with the Act and this Part; and

3. Submit initial and annual disclosure information on forms provided by the Board.

c) An owner or person with significant influence or control of a terminal operator shall not play any video gaming terminal owned or leased by the terminal operator at any operating licensed location for recreational purposes.

d) Persons with significant influence or control include, but are not limited, to the following:

1. Each person in whose name the liquor license is maintained for each licensed video gaming location;

2. Each person directly owning an applicant or licensee;

3. Each person who holds an indirect ownership interest of at least 5 percent in an applicant or licensee;

4. Each person who, in the opinion of the Administrator, has the ability to influence or control the activities of the applicant or licensee or elect a majority of its board of directors, other than a bank or other licensed lending institution that holds a mortgage or other lien, or any other source of funds, acquired in the ordinary course of business;

5. Persons having the power to exercise significant influence or control over decisions concerning any part of the applicant's or licensee's video gaming operation;

6. Any person or business entity receiving any net terminal income pursuant to a contractual agreement;

7. Any person or business entity holding an option agreement to acquire an equity stake in a terminal operator licensee;

8. Any person employed or designated by a terminal operator as a progressive jackpot coordinator.

9. Any person that has entered into a franchise agreement, licensing agreement, intellectual property agreement, or other agreement that significantly controls decisions at a video gaming location or its parent as a franchisor or equivalent, when the video gaming location obtains greater than 50% of the video gaming location's revenue from net terminal income.

e) The prohibition against gaming by persons with significant influence or control in a licensed nonprofit establishment, licensed fraternal establishment or licensed veterans establishment does not apply unless the person with significant influence or control directly manages the establishment's video gaming operation.

History

• Source: Amended at 50 Ill. Reg. 5683, effective May 1, 2026

11 Ill. Adm. Code 1800.440 Undue Economic Concentration

a) In addition to considering all other requirements under the Act and this Part, the Board shall consider, in deciding whether to issue or renew a terminal operator license, whether the issuance or renewal will result in undue economic concentration. No terminal operator license shall be issued or renewed if the Board determines that the issuance or renewal will result in undue economic concentration in the direct or indirect ownership, control or operation of video gaming terminals in Illinois.

b) For purposes of this Section, "undue economic concentration" means that an individual or entity, independently or in coordination or aligned combination with one or more individuals or entities, would have such actual or potential domination of video gaming in Illinois as to:

1. substantially impede or suppress competition among holders of terminal operator licenses;

2. adversely impact the economic stability of the video gaming industry in Illinois; or

3. negatively impact the purposes of the Act, including collection of State and local government revenues and development of the video gaming industry in Illinois.

c) In determining whether the issuance or renewal of a terminal operator license will result in undue economic concentration, the Board shall consider the following criteria:

1. The percentage share of the market presently owned or controlled by the applicant or licensee in each of the following categories:

A) number of licensed video gaming locations in Illinois;

B) number of video gaming terminals in Illinois;

C) total net terminal income; and

D) total amount wagered.

2. The relative position of other individuals or entities that own or control terminal operator licenses in Illinois, as evidenced by the market shares of each terminal operator license in the categories in subsection (c)(1).

3. The current and projected financial condition of the video gaming industry.

4. Current market conditions, including proximity and level of competition, consumer demand, market concentration, and any other relevant characteristics of the market.

5. Whether the terminal operator licensee or applicant has a common or related organizational or financial structure, or common or related assets, obligations, or ownership with other licensees.

6. The potential impact on the projected future growth and development of the video gaming industry, the local communities in which licenses are located, and the State of Illinois.

7. The barriers to entry into the video gaming industry, including the licensure requirements of the Act and this Part, and whether the issuance or renewal of a terminal operator license will operate as a barrier to new entities and individuals desiring to enter the market as terminal operators or in any of the other licensed categories under the Act.

8. Whether the issuance or renewal of the terminal operator license will adversely affect consumer interests, or whether that issuance or renewal is likely to result in enhancing the quality and customer appeal of products and services offered by terminal operators and other licensees under the Act in order to maintain or increase their respective market shares.

9. Whether a restriction or denial of the issuance or renewal of a terminal operator license is necessary in order to encourage and preserve competition in video gaming operations.

10. The current and projected financial condition of the terminal operator.

11. Any other information deemed relevant by the Board.

d) The Board has authority to place any restrictions or qualifications on the terms of a terminal operator license that it deems necessary to prevent or eliminate undue economic concentration, including, but not limited to, setting a limit on the maximum amount of use agreements a terminal operator may have. Any terminal operator licensee shall have the ability to contest a Board order under this subsection in accordance with Subpart G. Any hearing concerning such an order shall be limited to the reasonableness of the restrictions or qualifications placed on the terminal operator license to avert undue economic concentration.

History

• Source: Added at 40 Ill. Reg. 12762, effective August 19, 2016

11 Ill. Adm. Code 1800.450 Restrictions on Multiple Licenses

a) A licensed terminal handler, licensed technician, or sales agent and broker shall not:

1. Be a video gaming location;

2. Hold an ownership interest in a video gaming location;

3. Hold an ownership interest in an affiliated entity of a video gaming location;

4. Be a person of significant influence or control of a video gaming location;

5. Be employed by or otherwise receive fees for service from a video gaming location; or

6. Be employed by or own or operate an affiliated entity of a video gaming location.

b) A licensed terminal operator, a person with an ownership interest in a licensed terminal operator, a person of significant influence or control of a licensed terminal operator, or any person who is employed by or otherwise receives fees for service from a licensed terminal operator shall not:

1. Be a video gaming location;

2. Hold an ownership interest in a video gaming location;

3. Hold an ownership interest in an affiliated entity of a video gaming location;

4. Be a person of significant influence or control of a video gaming location;

5. Be employed by or otherwise receive fees for service from a video gaming location; or

6. Be employed by or own or operate an affiliated entity of a video gaming location.

c) A video gaming location, a person with an ownership interest in a video gaming location, a person of significant influence or control of a video gaming location, or any person who is employed by or otherwise receives fees for service from a video gaming location, shall not:

1. Be a licensed terminal handler, licensed technician, or licensed sales agent and broker;

2. Be a licensed terminal operator;

3. Hold an ownership interest in a licensed terminal operator or sales agent and broker;

4. Hold an ownership interest in an affiliated entity of a licensed terminal operator or sales agent and broker;

5. Be a person of significant influence or control of a licensed terminal operator or sales agent and broker;

6. Be employed by or otherwise receive fees for service from a licensed terminal operator or sales agent and broker; or

7. Be employed by or own or operate an affiliated entity of a licensed terminal operator or sales agent and broker

d) The prohibitions in this Section seek to prevent business relationships that are designed or used to evade or prevent enforcement of this Part, and not to prohibit services or relationships in furtherance of the ordinary course of business.

e) Any license holder in violation of this Section may only have its license renewed once after May 1, 2026.

History

• Source: Added at 50 Ill. Reg. 5683, effective May 1, 2026

Chapter I Illinois Gaming Board

Part 1800 Video Gaming (general)

11 Ill. Adm. Code 1800.510 Coverage of Subpart

The rules contained in this Subpart shall govern procedures for applying for, renewing and maintaining all types of licenses issued by the Board pursuant to the Act.

11 Ill. Adm. Code 1800.520 Applications

a) Applications for licensure or renewal shall be submitted on applications and forms provided by the Board.

b) An applicant or its affiliate may be required to submit forms or materials in addition to an application as required by subsection (a).

c) Institutional Investor

1. A business entity that qualifies as an institutional investor may submit a Video Gaming Institutional Investor Disclosure Form in lieu of a Video Gaming Business Entity Disclosure Form as instructed in an application if the institutional investor:

A) submits a Video Gaming Institutional Investor Disclosure Form to the Illinois Gaming Board within 45 days after the institutional investor individually or jointly with others cumulatively acquires, directly or indirectly, 5% or more but less than 20% of any class of publicly traded securities issued by a corporate applicant, licensee, parent or subsidiary company of an applicant or licensee;

B) holds or controls the publicly traded securities issued by a corporate applicant, licensee, parent or subsidiary company of an applicant or licensee in the ordinary course of business for investment purposes only; and

C) does not exercise or intend to exercise influence or control over the affairs of the issuer of the publicly traded securities issued by a corporate applicant, licensee, parent or subsidiary company of an applicant or licensee or their affiliates.

2. An institutional investor's exercise in voting privileges on matters put to the vote of the outstanding security holders shall not be deemed the exercise or intent to exercise influence or control over the affairs of the issuer of those securities.

3. If an institutional investor exempt from filing a Video Gaming Business Entity Disclosure Form as allowed in this subsection (c) subsequently determines to exercise influence or control over the affairs of the issuer of the publicly traded securities issued by a corporate applicant, licensee, parent or subsidiary company of an applicant or licensee or their affiliates, the institutional investor shall provide not less than 30 days notice of the intent and shall file with the Illinois Gaming Board a Video Gaming Business Entity Disclosure Form before taking any action that may influence or control the affairs of the issuer of those securities or their affiliates.

4. The Video Gaming Institutional Investor Disclosure Form shall not be construed to preclude the Illinois Gaming Board from requiring an institutional investor to submit a Video Gaming Business Entity Disclosure Form if the Illinois Gaming Board determines that the submission is proper and in furtherance of the Act and this Part.

5. An institutional investor exempt from filing a Video Gaming Business Entity Disclosure Form as allowed in this subsection (c) shall certify in writing to be bound by and comply with the Video Gaming Act and this Part.

d) Application Procedures

1. An applicant is seeking a privilege and assumes and accepts any and all risk of adverse publicity, notoriety, embarrassment, criticism or other action, or financial loss that may occur in connection with the application process.

2. Any misrepresentation or omission made with respect to an application may be grounds for denial of the application.

3. Applications, forms, and requested materials shall be submitted in triplicate and as required by the applications and instructions.

4. Individuals required to submit Video Gaming Personal Disclosure Forms, individuals with 5% or more direct or indirect interest in a licensed video gaming location, managers of a licensed video gaming location, and licensed technician or licensed terminal handler applicants shall be photographed and fingerprinted at a place and time designated by the Administrator.

5. An application shall be deemed filed when the completed application form, including all required documents and materials, and the application fee have been submitted.

e) Amendments and Incorporation by Reference

1. An application may be amended with approval by the Administrator.

2. The Administrator may allow information, documents, or other materials submitted by an applicant to be incorporated by reference into a subsequent application.

History

• Source: Amended at 36 Ill. Reg. 18550, effective December 14, 2012

Chapter I Illinois Gaming Board

Part 1800 Video Gaming (general)

11 Ill. Adm. Code 1800.530 Submission of Application

All applications shall be submitted to the Board at its office in Chicago (160 N. LaSalle St., Chicago IL 60601) or, when the option is available, through the Board's online application submission portal accessible through the Board's website (https://www.igb.illinois.gov).

History

• Source: Amended at 47 Ill. Reg. 2682, effective February 10, 2023

11 Ill. Adm. Code 1800.540 Application Fees

All applicants for a license issued by the Board shall pay the application fees under Section 45(f) of the Act.

History

• Source: Amended at 47 Ill. Reg. 2682, effective February 10, 2023

11 Ill. Adm. Code 1800.550 Consideration of Applications by the Board

a) Only complete applications will be considered for licensure. Applications are complete when the applicant has submitted:

1. All information required by the Act and this Part;

2. All information required or requested by the Board; and

3. Payment of the application fee.

b) A licensed technician, licensed terminal handler, or licensed sales agent and broker in good standing shall be issued a technician, terminal handler or sales agent and broker license upon:

1. Completion of an application; and

2. Payment of all applicable fees.

c) Any license issued in accordance with subsection (b) shall be good for the term of the originally held technician, terminal handler or sales agent and broker license.

History

• Source: Amended at 50 Ill. Reg. 5683, effective May 1, 2026

Chapter I Illinois Gaming Board

Part 1800 Video Gaming (general)

11 Ill. Adm. Code 1800.555 Withdrawal of Applications and Surrender of Licenses

a) An application for licensure under the Act may be withdrawn without leave of the Board if written notification of withdrawal is received prior to Board action on licensure under Section 1800.560 and unless the intended withdrawal is objected to by the Administrator.

b) A license granted by the Board under the Act may be surrendered without leave of the Board if written notification of surrender is received, unless the intended surrender is objected to by the Administrator.

c) If the Administrator objects to withdrawal of an application for licensure or the surrender of a license issued under the Act, leave of the Board is required.

d) If an application for licensure is withdrawn or a license is surrendered, the applicant may not reapply for a license within one year from the date withdrawal is granted or the date of surrender, without leave of the Board.

History

• Source: Amended at 40 Ill. Reg. 8760, effective June 14, 2016

11 Ill. Adm. Code 1800.560 Issuance of License

a) The Board may only issue a license after the background investigation is complete, the Board determines the applicant is suitable for licensure and the applicant has paid the required application fee.

b) If an applicant is denied a license, the applicant may not reapply for a license within one year from the date on which the final order of denial was voted upon by the Board, without leave of the Board.

History

• Source: Amended at 37 Ill. Reg. 7750, effective May 23, 2013

11 Ill. Adm. Code 1800.570 Renewal of License

a) The Board may only renew a license upon receipt of the annual fee (see Section 45(g) of the Act) and any renewal forms provided by the Board.

b) The Board may only renew a license if the licensee continues to meet all qualifications for licensure set forth in the Act and this Part. Renewal of a license is not a ruling on the merits of any currently pending or future disciplinary action.

c) A license shall expire if the annual fee is not received by the Board prior to the expiration of the license.

d) A licensee whose license is not renewed by its renewal date, including but not limited to a licensee contesting a notice of nonrenewal or revocation of the license, shall still pay its annual fee each year. Failure to pay the scheduled annual fee shall cause the license to expire.

e) If a video gaming location license, technician license, terminal handler license or sales agent and broker license has expired due to the non-payment of the annual fee, and the Board receives the licensee's annual fee within 10 business days following expiration of the license, the Board may renew the license without requiring reapplication provided the licensee continues to meet all qualifications for licensure set forth in the Act and this Part. Nothing in this Section shall be construed to provide a defense to any Board-issued discipline.

History

• Source: Amended at 47 Ill. Reg. 2682, effective February 10, 2023

11 Ill. Adm. Code 1800.580 Annual Fees

For the purpose of defraying regulatory costs related to licensure, the annual fee shall be the maximum permitted by Section 45(g) of the Act.

History

• Source: Amended at 45 Ill. Reg. 3424, effective March 8, 2021

11 Ill. Adm. Code 1800.590 Death and Change of Ownership of Video Gaming Licensee

a) Licenses granted by the Board do not constitute property, shall not be subject to attachment, and shall not be alienable or transferable. Licenses granted by the Board shall not descend by the laws of testate or intestate devolution, but shall cease upon the death of the licensee, provided that executors or administrators of the estate of any deceased licensee, and the trustee of any insolvent or bankrupt licensee, may continue the video gaming location operation under order of the appropriate court and the approval of the Administrator of the Illinois Gaming Board, and may exercise the privileges of the deceased or insolvent or bankrupt licensee after the death or the decent, or the insolvency or bankruptcy until the expiration of the license, but no longer than six months after the death, bankruptcy or insolvency of the licensee. Approval of the Administrator to continue the video gaming location operation may only be granted following the approval of a designated video gaming manager for the video gaming location.

b) Change of Ownership of Licensed Video Gaming Location

1. In addition to the disclosure requirements set forth in Section 1800.210(c) and (i), each video gaming location licensee shall notify the Board in writing prior to a proposed sale or transfer of a licensed video gaming location.

2. When a licensed video gaming location is sold or transferred, the video gaming terminals may be allowed to continue to operate under the old license if:

A) the new owner has submitted all required and applicable application materials for a new or amended video gaming location license application, and included copies of all sale or transfer documentation;

B) the new owner has completed the required criminal record check via fingerprint examination;

C) the new owner is issued all required liquor licenses to draw, pour, mix or otherwise serve alcohol for consumption on the premises; and

D) the selling or transferring license holder agrees to be bound to all obligations and duties imposed upon it for operating a licensed video gaming location by the Act and this Part until the Board approves the sale or transfer and until the consummation of the closing of the sale or transfer.

3. When a licensed video gaming location is sold or transferred, the video gaming terminals may be allowed to continue to operate under the old license only until:

A) The issuance of a video gaming location license in the name of the new owner;

B) A determination by the Board that the new applicant, new owner and/or new person with significant interest or control is unsuitable; or

C) Denial of the new license application.

History

• Source: Added at 37 Ill. Reg. 7750, effective May 23, 2013

11 Ill. Adm. Code 1800.595 Temporary Identification Badge

The Administrator may issue a temporary identification badge to an applicant for a terminal handler, technician, or sales agent and broker license. The holder of a temporary identification badge of any type may perform duties as a holder of a license of the same type. The holder of a temporary identification badge is subject to the same duties and obligations as a holder of a license of the same type.

a) To qualify for a temporary identification badge, an applicant must have already submitted an application that has been deemed complete by the Administrator, including fingerprints and a photograph.

b) In determining whether to grant a temporary identification badge, the Administrator shall consider any relevant factor, including but not limited to:

1. Facts that suggest an applicant may not be suitable for licensure under the Act and this Part; and

2. Any past or pending disciplinary action against the applicant in any gaming jurisdiction.

c) Temporary identification badges are valid for one year from the date of the application unless rescinded or extended by the Administrator.

d) A temporary identification badge is not transferable and upon rescission must be returned by the applicant to the Board within 30 days, or if employed by a licensed terminal operator, to that terminal operator. A licensed terminal operator shall return any rescinded badge to the Board within 21 days of receipt of that badge.

e) The Administrator may rescind a temporary identification badge at any time for any just cause, including, but not limited to, the factors identified in Sections 1800.310 and 1800.420, and in subsection (b) of this Section.

f) Rescission of a temporary identification badge by the Administrator is not a final ruling on the merits of an application.

g) A temporary identification badge shall be rescinded upon issuance of a Notice of Denial of Application.

History

• Source: Added at 47 Ill. Reg. 2682, effective February 10, 2023

11 Ill. Adm. Code 1800.610 Coverage of Subpart

The rules contained in this Subpart shall govern all hearings requested upon issuance of a notice of denial of an application for licensure. Hearings under this Subpart are de novo proceedings for the creation of a record regarding an applicant's suitability for licensure. A hearing under this Subpart is not an appeal of Board action.

11 Ill. Adm. Code 1800.615 Requests for Hearing

a) If the Board finds that an applicant is not suitable for licensure, it shall issue the applicant a notice of denial.

b) The Board shall serve notice on the applicant by e-mail pursuant to Section 1800.140, personal service, or U.S. certified mail to the last known address of the applicant. Service is complete upon transmission of the e-mail or four days after mailing.

c) Should an applicant wish to contest the action the Board has taken regarding an application, the applicant must submit a request for hearing to the Board.

d) All requests for hearing shall be in writing. If a request for hearing is mailed, it shall include an original and one copy. The request shall contain the following:

1. The name, current address and current telephone number of the petitioner (the applicant);

2. Detailed reasons why and the facts upon which the petitioner will rely to show that the petitioner is suitable for licensure, including specific responses to any facts enumerated in the Board's notice of denial;

3. A signature of the petitioner;

4. A verification of the petition in the following form:

"The undersigned certifies that the statements set forth in this request are true and correct, except as to matters therein stated to be on information and belief. As to such matters, the undersigned certifies as aforesaid that he/she verily believes the same to be true."; and

5. The request must be notarized.

e) A request for hearing must be made within 10 days after receipt of notice of denial from the Board. A request shall be deemed filed on the date the e-mail was transmitted or on which it is postmarked.

f) If a request for hearing is not filed within 10 days after the receipt of notice from the Board, then the notice of denial becomes the final order of the Board denying the applicant's license application.

g) A request for hearing shall be deemed granted unless denied. The Board may deny a request for hearing if the statement of the reasons and facts that it contains does not establish a prima facie case or fails to comply with any of the other requirements of this Section. The Board's denial of a request for hearing is a final decision and the denial of licensure becomes a final order on the date the Board denies the request for hearing.

h) A request for hearing may not be withdrawn or voluntarily dismissed if the Board determines that withdrawal or voluntary dismissal is not in the best interests of the public and the video gaming industry. If the Board allows a petitioner to withdraw a hearing request, the initial notice of denial becomes a final Board order on the date leave to withdraw is granted. If the petitioner does not prosecute his/her case after 21 days, the Board may move for entry of default judgment. Failure to prosecute shall result in entry of default judgment against the petitioner.

i) The petitioner may submit a request for hearing by:

1. personal delivery;

2. certified mail, postage prepaid;

3. overnight express mail, postage prepaid; or

4. e-mail to an e-mail address specified in the notice of denial.

j) All requests for hearing must be submitted to the Administrator at the Board's offices in Chicago.

k) If a request is granted, an Administrative Law Judge will be appointed to conduct a hearing.

History

• Source: Amended at 44 Ill. Reg. 16454, effective September 25, 2020

11 Ill. Adm. Code 1800.620 Appearances

a) All petitioners may be represented by an attorney who is licensed to practice in Illinois. All attorneys who appear in a representative capacity on behalf of a petitioner must file a written appearance setting forth:

1. The name, address and telephone number of the attorney;

2. The name and address of the petitioner the attorney represents; and

3. An affirmative statement that the attorney is licensed to practice in Illinois.

b) Only individual attorneys may file appearances. Any petitioner's attorney who has not filed an appearance may not address the Administrative Law Judge or sign pleadings.

c) An attorney may only withdraw his appearance upon written notice to the Administrative Law Judge.

d) An individual may appear on his own behalf.

e) A partner may appear on behalf of a partnership.

f) A corporation and a limited liability company must be represented by an attorney.

11 Ill. Adm. Code 1800.625 Appointment of Administrative Law Judge

a) The Chairman of the Board may provide for or appoint a Board member or an attorney admitted to the practice of law by, and in good standing with, the Illinois Supreme Court as an Administrative Law Judge to conduct a hearing in accordance with this Subpart. If designated, the Administrator may provide for the appointment of an Administrative Law Judge to conduct a hearing in accordance with this Subpart. The petitioner will be copied on the letter of appointment and the letter will serve as notice of the pendency of the hearing. The Administrative Law Judge shall establish a status date and notify the parties of that date.

b) If the petitioner believes the Administrative Law Judge is biased or has a conflict of interest, the petitioner may file with the Board a motion to disqualify the Administrative Law Judge from conducting the hearing. The motion must be in writing, accompanied by an affidavit signed and dated by the petitioner setting forth the specific grounds for disqualification. The petitioner shall serve a copy of the motion on the Administrative Law Judge. Prior adverse rulings against the petitioner or its attorney in other matters shall not, in and of themselves, constitute grounds for disqualification. On satisfactory evidence submitted by the petitioner in support of the motion to disqualify, the Board shall remove the Administrative Law Judge and provide for the reassignment of the case to another Administrative Law Judge to continue the hearing. Any Administrative Law Judge may voluntarily disqualify himself upon determining that bias or conflict of interest exists. Grounds for disqualification of Administrative Law Judge shall include but not be limited to:

1. Financial interest or pecuniary benefit derived from the gaming industry;

2. Personal friendship with any of the parties, witnesses or attorneys involved;

3. Past representation of any of the parties or witnesses involved; or

4. Demonstrable pre-disposition on the issues.

c) If the motion to disqualify an Administrative Law Judge is denied, the Board shall set forth in writing the reasons for the denial and the Administrative Law Judge will proceed with the hearing. The motion to disqualify the Administrative Law Judge and the reasons for the denial of the motion will be part of the administrative record in the appeal of a final administrative decision upon conclusion of the hearing.

11 Ill. Adm. Code 1800.630 Discovery

a) Upon written request served on the opposing party, a party shall be entitled to:

1. The name and address of any witness who may be reasonably expected to testify on behalf of the opposing party;

2. All documents or other materials in the possession or control of the opposing party that the opposing party reasonably expects will be necessary to introduce into evidence. Petitioner's burden of production includes those documents petitioner reasonably expects to introduce into evidence either in his, her or its case-in-chief or in rebuttal. Rebuttal documents, to the extent that they are not immediately identifiable, shall be tendered to the Board within 14 days after receipt of documents tendered to petitioner by the Board unless additional time is granted by the Administrative Law Judge.

b) Discovery may be obtained only through written requests to produce witness lists, documents or other materials, as specified in subsection (a) of this Section. Witnesses and documents responsive to a proper request for production that were not produced shall be excluded from the hearing and additional sanctions or penalties may be imposed.

Chapter I Illinois Gaming Board

Part 1800 Video Gaming (general)

11 Ill. Adm. Code 1800.635 Subpoenas

a) Subpoenas for the attendance of witnesses at hearing may be served by the petitioner only upon application to the Administrative Law Judge.

1. The petitioner must show good cause, state the testimony to be elicited from a witness, state why the evidence to which the testimony relates cannot otherwise be obtained, and state the reasons why the testimony is necessary and relevant.

2. An agent or employee of the Board may not be required by the petitioner to appear except under the procedures provided in this Section.

b) The General Counsel of the Board or the Administrator may issue subpoenas for the attendance of witnesses or subpoenas duces tecum for the production of relevant documents, records or other material at a proceeding conducted under this Subpart F.

11 Ill. Adm. Code 1800.640 Motions for Summary Judgment

The Administrative Law Judge may recommend the granting or denial of a summary judgment motion upon the filing of an appropriate motion by any party. A recommendation for denial of a summary judgment motion shall not be considered by the Board until the completion of the proceedings pursuant to Section 1800.650.

11 Ill. Adm. Code 1800.650 Proceedings

a) The burden of proof is at all times on the petitioner. The petitioner shall have the affirmative responsibility of establishing by clear and convincing evidence that the petitioner is suitable for licensing or that enforcement of a security interest is warranted.

b) All testimony shall be given under oath or affirmation.

c) Both parties may present opening statements. Petitioner proceeds first.

d) The petitioner shall then present his, her or its case-in-chief.

e) Upon the conclusion of the petitioner's case-in chief, the Board may move for a directed finding. The Administrative Law Judge may hear arguments on the motion or may grant, deny or reserve decision, without argument.

f) If no motion for directed finding is made, or if the motion is denied or decision reserved, the Board may present its case.

g) Each party may conduct cross-examination of adverse witnesses.

h) Upon the conclusion of the Board's case, the petitioner may present evidence in rebuttal.

i) Both parties may present closing arguments. The petitioner proceeds first, then the Board, and thereafter the petitioner may present rebuttal argument.

History

• Source: Amended at 35 Ill. Reg. 1369, effective January 5, 2011

11 Ill. Adm. Code 1800.660 Evidence

a) The hearing need not be conducted according to the technical rules of evidence. Any relevant evidence may be admitted and shall be sufficient in itself to support a finding if it is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statute that might make improper the admission of evidence over objection in a civil action. Hearsay may support a finding of the Administrative Law Judge if it is the best evidence available, has sufficient indicia of trustworthiness and reliability and is of the type reasonably and customarily relied on in the video gaming industry.

1. If relevant and not precluded from the hearing by Section 6(d) of the Riverboat Gambling Act relating to all licensed applicants, official Illinois Gaming Board records or certified copies of the records shall be admissible into evidence;

2. Official Illinois Gaming Board records are documents either prepared by or provided to the Board for the purpose of conducting its regular business;

3. A petitioner must afford the Board an opportunity to investigate and verify information that petitioner intends to offer in support of his case. Petitioner shall not be permitted to introduce into evidence any information that the Board has not been afforded the opportunity to investigate and verify.

b) The parties should, to the fullest extent possible, stipulate to all matters that are not or fairly should not be in dispute.

c) The parties may make objections to evidentiary offers. When an objection is made, the Administrative Law Judge may receive the disputed evidence subject to a ruling at a later time.

d) The Administrative Law Judge may take official notice of any generally accepted information or technical or scientific matter within the field of video gaming, and any other fact that may be judicially noticed by courts of this State. The parties shall be informed of any information, matter or facts so noticed, including any staff memoranda or data, and shall be given reasonable opportunity to refute that information.

11 Ill. Adm. Code 1800.670 Prohibition on Ex Parte Communication

No party or its representative shall communicate directly or indirectly with the Administrative Law Judge or a member of the Illinois Gaming Board regarding any pending denial, except upon notice to and opportunity for all parties to participate.

11 Ill. Adm. Code 1800.680 Sanctions and Penalties

a) The Administrative Law Judge may impose sanctions and penalties if the Administrative Law Judge finds that a party has acted in bad faith, for the purpose of delay, or has otherwise abused the hearing process. Sanctions and penalties include but are not limited to default judgment or directed finding on one or more issues.

b) If a petitioner fails to testify on his own behalf with respect to any question propounded to him, the Administrative Law Judge may infer that such testimony or answer would have been adverse to the petitioner's case.

c) Failure of a petitioner to appear at a hearing or scheduled proceeding shall constitute an admission of all matters and facts contained in the notice of denial. In such cases the Administrative Law Judge may take action based upon that admission or upon any other evidence, including affidavits, without any further notice to the petitioner.

11 Ill. Adm. Code 1800.690 Transmittal of Record and Recommendation to the Board

a) The record shall consist of the following:

1. The notice of denial, the request for hearing and all motions and rulings;

2. All evidence received;

3. A statement of matters officially noticed;

4. Offers of proof, objections and rulings; and

5. The recommendation and any findings of fact and conclusions of law made by the Administrative Law Judge.

b) Oral proceedings or any part of the proceedings involving contested issues shall be recorded stenographically or by such other means as to adequately insure the preservation of the testimony or oral proceedings and shall be transcribed on request of any party. The transcript shall be paid for by the requesting party.

c) Upon conclusion of the hearing, the Administrative Law Judge shall issue to the Board written findings of fact and conclusions of law and his/her recommendations. Findings of fact shall be based exclusively on the evidence and on matters officially noticed.

d) Any party to the hearing may file exceptions to the recommendations of the Administrative Law Judge with the Board no later than 14 days after receipt of the recommended decision. Exceptions shall specify each finding of fact and conclusion of law to which exception is taken. There shall be no oral argument on exceptions.

e) Final Board Order

1. The Board shall review the entire record, including any exceptions filed, and shall render a written order including the bases for its decision.

2. Copies of the final Board order shall be served on petitioner by e-mail in accordance with Section 1800.140, personal delivery, certified mail or overnight express mail to petitioner's last known address.

3. A final Board order shall become effective upon transmission of the e-mail, personal delivery to a party, or upon posting by certified or overnight express mail to petitioner's last known address.

History

• Source: Amended at 44 Ill. Reg. 16454, effective September 25, 2020

11 Ill. Adm. Code 1800.695 Status of Applicant for Licensure Upon Filing Request for Hearing

An applicant who has been denied a license and who has requested a hearing under this Subpart shall be considered an applicant for purposes of compliance with applicable statutory provisions and this Part until final resolution of the request for hearing.

11 Ill. Adm. Code 1800.710 Coverage of Subpart

The rules contained in this Subpart shall govern all disciplinary actions against licensees including, but not limited to, suspension and revocation of a license. For purposes of this Subpart, "disciplinary actions" shall include orders of economic disassociation under Section 1800.330.

History

• Source: Amended at 40 Ill. Reg. 2952, effective January 27, 2016

11 Ill. Adm. Code 1800.715 Notice of Proposed Disciplinary Action Against Licensees

a) When notified of facts sufficient to support disciplinary action against a licensee or a person with significant influence or control, the Administrator shall immediately notify the Board and the licensee of the proposed disciplinary action. The notice shall advise the licensee of the following:

1. A statement of the facts supporting the proposed disciplinary action;

2. A description of the rule or statutory section the licensee has violated;

3. A statement or description of the matters asserted and the consequences of the failure to respond; and

4. The name and mailing address of the Illinois Gaming Board.

b) The Administrator shall serve the notice of proposed disciplinary action on the licensee by e-mail in accordance with Section 1800.140, personal service, or U.S. certified mail or U.S. regular mail to the last known address of the licensee. Service is complete upon transmission of the e-mail, or four days after mailing.

History

• Source: Amended at 44 Ill. Reg. 16454, effective September 25, 2020

11 Ill. Adm. Code 1800.720 Hearings in Disciplinary Actions

a) Should a licensee wish to contest the proposed disciplinary action, the licensee must submit a response to the notice of proposed disciplinary action described in Section 1800.715 to the Administrator.

b) All responses shall be in writing. If a response is mailed, it shall include an original and one copy. The response shall contain the following:

1. The name, current address and current telephone number of the licensee;

2. A clear and concise statement admitting or denying each of the factual allegations set forth in the notice of proposed disciplinary action, with each admission or denial being shown in separately numbered paragraphs corresponding to the separately numbered paragraphs in the notice of proposed disciplinary action;

3. For all factual allegations that the licensee denies, a clear and concise statement of facts upon which the licensee relies or will rely on at a hearing;

4. A signature of the licensee;

5. A verification of the licensee in the following form:

"The undersigned certifies that the statements set forth in this request are true and correct, except as to matters therein stated to be on information and belief. As to such matters the undersigned certifies as aforesaid that he or she verily believes the same to be true."; and

6. The response must be notarized.

c) The response must be filed within 21 days after receipt of the notice of proposed disciplinary action. A response shall be deemed filed on the date the e-mail is transmitted or on which it is postmarked.

d) If a response is not filed within 21 days after receipt of the notice of proposed disciplinary action, then the proposed disciplinary action becomes effective and final immediately.

e) No response shall be deemed filed if it fails to comply with any of the requirements of this Section.

f) The licensee may submit a response by:

1. personal delivery;

2. certified mail, postage prepaid;

3. overnight express mail, postage prepaid; or

4. e-mail to an e-mail address specified in the notice of proposed disciplinary action.

g) All responses must be submitted to the Administrator at the Board's offices in Chicago (160 N. LaSalle St., Chicago IL 60601).

h) If a response is properly filed, an Administrative Law Judge will be appointed to conduct a hearing.

History

• Source: Amended at 44 Ill. Reg. 16454, effective September 25, 2020

11 Ill. Adm. Code 1800.725 Appearances

a) All licensees may be represented by an attorney who is licensed to practice in Illinois. All attorneys who appear in a representative capacity on behalf of a licensee must file a written appearance setting forth:

1. The name, address and telephone number of the attorney;

2. The name and address of the licensee the attorney represents; and

3. An affirmative statement that the attorney is licensed to practice in Illinois.

b) Only individual attorneys may file appearances. Any licensee's attorney who has not filed an appearance may not address the Administrative Law Judge or sign pleadings.

c) An attorney may only withdraw his appearance upon written notice to the Administrative Law Judge.

d) An individual may appear on his own behalf.

e) A partner may appear on behalf of a partnership.

f) A corporation and a limited liability company must be represented by an attorney.

11 Ill. Adm. Code 1800.730 Appointment of Administrative Law Judge

a) The Chairman of the Board may provide for or appoint a Board member or an attorney admitted to the practice of law by, and in good standing with, the Illinois Supreme Court as an Administrative Law Judge to conduct a hearing in accordance with this Subpart. If designated, the Administrator may provide for the appointment of an Administrative Law Judge to conduct a hearing in accordance with this Subpart. The licensee will be copied on the letter of appointment and the letter will serve as notice of the pendency of the hearing. The Administrative Law Judge shall establish a status date and notify the parties of that date.

b) If the licensee believes the Administrative Law Judge is biased or has a conflict of interest, the licensee may file with the Board a motion to disqualify the Administrative Law Judge from conducting the hearing. The motion must be in writing, accompanied by an affidavit signed and dated by the licensee setting forth the specific grounds for disqualification. The licensee shall serve a copy of the motion on the Administrative Law Judge. Prior adverse rulings against the licensee or its attorney in other matters shall not, in and of themselves, constitute grounds for disqualification. On satisfactory evidence submitted by the licensee in support of the motion to disqualify, the Board shall remove the Administrative Law Judge and provide for the reassignment of the case to another Administrative Law Judge to continue the hearing. Any Administrative Law Judge may voluntarily disqualify himself upon determining that bias or conflict of interest exists. Grounds for disqualification of Administrative Law Judge shall include but not be limited to:

1. Financial interest or pecuniary benefit derived from the gaming industry;

2. Personal friendship with any of the parties, witnesses or attorneys involved;

3. Past representation of any of the parties or witnesses involved; or

4. Demonstrable pre-disposition on the issues.

c) If the motion to disqualify an Administrative Law Judge is denied, the Board shall set forth in writing the reasons for the denial and the Administrative Law Judge will proceed with the hearing. The motion to disqualify the Administrative Law Judge and the reasons for the denial of the motion will be part of the administrative record in the appeal of a final administrative decision upon conclusion of the hearing.

11 Ill. Adm. Code 1800.735 Discovery

a) Upon written request served on the opposing party, a party shall be entitled to:

1. The name and address of any witness who may be reasonably expected to testify on behalf of the opposing party;

2. All documents or other materials in the possession or control of the opposing party that the opposing party reasonably expects will be necessary to introduce into evidence. The licensee's burden of production includes those documents the licensee reasonably expects to introduce into evidence either in his case-in-chief or in rebuttal. Rebuttal documents, to the extent that they are not immediately identifiable, shall be tendered to the Board within 14 days after receipt of documents tendered to petitioner by the Board unless additional time is granted by the Administrative Law Judge.

b) Discovery may be obtained only through written requests to produce witness lists, documents or other materials, as specified in subsection (a) of this Section. Witnesses and documents responsive to a proper request for production that were not produced shall be excluded from the hearing and additional sanctions or penalties may be imposed.

Chapter I Illinois Gaming Board

Part 1800 Video Gaming (general)

11 Ill. Adm. Code 1800.740 Subpoenas

a) Subpoenas for the attendance of witnesses at hearing may be served by the licensee only upon application to the Administrative Law Judge.

1. The licensee must show good cause, state the testimony to be elicited from a witness, state why the evidence to which the testimony relates cannot otherwise be obtained, and state the reasons why the testimony is necessary and relevant.

2. An agent or employee of the Board may not be required by the licensee to appear except under the procedures provided in this Section.

b) The General Counsel of the Board or the Administrator may issue subpoenas for the attendance of witnesses or subpoenas duces tecum for the production of relevant documents, records or other material at a proceeding conducted under this Subpart G.

11 Ill. Adm. Code 1800.745 Motions for Summary Judgment

The Administrative Law Judge may recommend the granting or denial of a summary judgment motion upon the filing of an appropriate motion by any party. A recommendation for denial of a summary judgment motion shall not be considered by the Board until the completion of the proceedings pursuant to Section 1800.750.

11 Ill. Adm. Code 1800.750 Proceedings

a) All testimony shall be given under oath or affirmation.

b) Both parties may present opening statements. The Board will proceed first.

c) The Board shall then present its case. The Board shall establish the charges contained in the notice of proposed disciplinary action by a preponderance of the evidence.

d) Upon the conclusion of the Board's case, the licensee may move for a directed finding. The Administrative Law Judge may hear arguments on the motion or may grant, deny or reserve decision on the motion, without argument.

e) If no motion for directed finding is made, or if such motion is denied or decision reserved, the licensee may present its case.

f) The licensee bears the burden of rebutting the charges contained in the notice of proposed disciplinary action by clear and convincing evidence.

g) Each party may conduct cross-examination of adverse witnesses.

h) Upon the conclusion of the licensee's case, the Board may present evidence in rebuttal.

i) If the Board presents rebuttal evidence, the licensee may present additional, non-cumulative, evidence in surrebuttal.

j) Both parties may present closing arguments. The licensee proceeds first, then the Board and thereafter the licensee may present rebuttal argument.

Chapter I Illinois Gaming Board

Part 1800 Video Gaming (general)

11 Ill. Adm. Code 1800.760 Evidence

a) The hearing need not be conducted according to the technical rules of evidence. Any relevant evidence may be admitted and shall be sufficient in itself to support a finding if it is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statute that might make improper the admission of evidence over objection in a civil action. Hearsay may support a finding of the Administrative Law Judge if it is the best evidence available, has sufficient indicia of trustworthiness and reliability and is of the type reasonably and customarily relied on in the gaming industry.

1. If relevant, and not precluded from the hearing by Section 6(d) of the Riverboat Gambling Act relating to all licensed applicants, the official Illinois Gaming Board records or certified copies of the records shall be admissible into evidence if the records tend to prove or disprove an allegation contained in the complaint;

2. Official Illinois Gaming Board records are documents either prepared by or provided to the Board for the purpose of conducting its regular business.

b) The parties should, to the fullest extent possible, stipulate to all matters that are not or fairly should not be in dispute.

c) The parties may make objections to evidentiary offers. When an objection is made, the Administrative Law Judge may receive the disputed evidence subject to a ruling at a later time.

d) The Administrative Law Judge may take official notice of any generally accepted information or technical or scientific matter within the field of video gaming, and any other fact that may be judicially noticed by courts of this State. The parties shall be informed of any information, matter or facts so noticed, including any staff memoranda or data, and shall be given reasonable opportunity to refute that information.

11 Ill. Adm. Code 1800.770 Prohibition on Ex Parte Communication

No party or its representative shall communicate directly or indirectly with the Administrative Law Judge or a member of the Illinois Gaming Board regarding any pending disciplinary matter, except upon notice to and opportunity for all parties to participate.

11 Ill. Adm. Code 1800.780 Sanctions and Penalties

a) The Administrative Law Judge may impose sanctions and penalties if the Administrative Law Judge finds that a party has acted in bad faith, for the purpose of delay, or has otherwise abused the hearing process. Such sanctions and penalties include but are not limited to default judgment or directed finding on one or more issues.

b) If a licensee fails to testify on his own behalf with respect to any question propounded to him, the Administrative Law Judge may infer that such testimony or answer would have been adverse to the licensee's case.

c) Failure of a licensee to appear at a hearing or scheduled proceeding shall constitute an admission of all matters and facts contained in the complaint. In such cases the Administrative Law Judge may take action based upon that admission or upon any other evidence, including affidavits, without any further notice to the licensee.

11 Ill. Adm. Code 1800.790 Transmittal of Record and Recommendation to the Board

a) The record shall consist of the following:

1. The notice of proposed disciplinary action, the response and all motions and rulings on motions;

2. All evidence received;

3. A statement of matters officially noticed;

4. Offers of proof, objections and rulings on those offers and objections; and

5. The recommendation and any findings of fact and conclusions of law made by the Administrative Law Judge.

b) Oral proceedings or any part of the oral proceedings involving contested issues shall be recorded stenographically or by such other means as to adequately insure the preservation of the testimony or oral proceedings and shall be transcribed on request of any party. The transcript shall be paid for by the requesting party.

c) Upon conclusion of the hearing, the Administrative Law Judge shall issue to the Board written findings of fact and conclusions of law and his/her recommendations. Findings of fact shall be based exclusively on the evidence and on matters officially noticed.

d) Any party to the hearing may file exceptions to the recommendations of the Administrative Law Judge with the Board no later than 14 days after receipt of the recommended decision. Exceptions shall specify each finding of fact and conclusion of law to which exception is taken. There shall be no oral argument on exceptions.

e) Final Board Order

1. The Board shall review the entire record, including any exceptions filed, and shall render a written order including the bases for its decision.

2. Copies of the final Board order shall be served on the licensee by e-mail pursuant to Section 1800.140, personal delivery, certified mail or overnight express mail to the licensee's last known address.

3. A final Board order shall become effective upon transmission of the e-mail, personal delivery to a party, or posting by certified or overnight express mail to the party's last known address.

History

• Source: Amended at 44 Ill. Reg. 16454, effective September 25, 2020

Chapter I Illinois Gaming Board

Part 1800 Video Gaming (general)

11 Ill. Adm. Code 1800.795 Persons Subject to Proposed Orders of Economic Disassociation

Persons subject to a proposed order of economic disassociation under Section 1800.330 may request a hearing on the order under this Subpart. The licensee shall be considered a party to the hearing, and the persons subject to the proposed order of economic disassociation shall be considered real parties in interest. A person requesting a hearing under this Section shall have the same procedural rights and obligations and shall be subject to the same notice requirements and deadlines as a licensee under this Subpart.

History

• Source: Added at 40 Ill. Reg. 2952, effective January 27, 2016

11 Ill. Adm. Code 1800.810 Location and Placement of Video Gaming Terminals

a) All licensed video gaming locations and terminal operators shall be responsible for the proper placement, installation, maintenance and oversight of video gaming terminals within a licensed video gaming location as prescribed by the Act and this Part.

b) All video gaming terminals must be located in an area restricted to persons over 21 years of age. For all licensed video gaming locations that restrict admittance to patrons 21 years of age or older, a separate restricted area is not required. Any licensed video gaming location that allows minors to enter where video gaming terminals are located shall separate any video gaming terminals from the area accessible by minors. In those licensed video gaming locations where separation from minors under 21 is required, a physical barrier to the gaming area is required, which may consist of a short partition, gate or rope or other means of separation. No barrier shall visually obscure the entrance to the gaming area from an employee of the licensed video gaming location who is over the age of 21.

c) All video gaming terminals located in a licensed establishment, licensed fraternal establishment, or licensed veterans establishment shall be placed in an area where alcoholic liquor is drawn, poured, mixed, or otherwise served for consumption on the premises. The designated video gaming area may be separate from where the bar or other source of the alcoholic liquor is located. The licensed establishment, licensed fraternal establishment, or licensed veterans establishment shall have seating facilities for customers or members apart from seating at the video gaming terminals. The drawing, pouring, mixing, or other service of alcoholic liquor within the video gaming area shall be done by the licensee of the licensed establishment, licensed fraternal establishment, or licensed veterans establishment.

d) When two or more adjacent businesses appear to the Administrator to be a single business, or are operated by the same or commingled ownership, then the Administrator may limit those businesses to the maximum number of video gaming terminals. The maximum will be the number permitted under Illinois law for one business as the total number of video gaming terminals authorized for both or more such businesses, where the Administrator determines that the limitation would further the intent of the Act and the integrity of video gaming in the State of Illinois.

1. In the event the Administrator decides that two or more adjacent businesses shall be a single business for purposes of determining the maximum number of video gaming terminals to which they are entitled, the Administrator shall provide the affected businesses with written notice of this decision in accordance with the notice requirements of Section 1800.615.

2. An applicant that has been deemed to constitute a single business with one or more adjacent businesses for purposes of determining the maximum number of video gaming terminals to which it is entitled may submit a request for hearing to the Board. The hearing procedures shall be those set forth in Subpart F.

e) The owner, manager or employee of the licensed video gaming location who is over 21 years of age shall be present during all hours of operation, and the video gaming terminals or the entrance to the video gaming terminal area must be within the view of at least one owner, manager or employee.

History

• Source: Amended at 42 Ill. Reg. 3735, effective February 6, 2018

11 Ill. Adm. Code 1800.815 Licensed Video Gaming Locations Within Malls

a) The Board shall not grant an application to become a licensed video gaming location within a mall if the Board determines that granting the application would more likely than not cause a terminal operator, individually or in combination with other terminal operators, licensed video gaming locations, or other persons or entities, to operate the video gaming terminals in two or more licensed video gaming locations as a single video gaming operation. In making determinations under this subsection (a), factors to be considered by the Board shall include, but not be limited to, the following:

1. the physical aspects of the location, including but not limited to, common entrances with other units and other shared operating resources;

2. the ownership, control or management of the applicant;

3. the occupancy of the mall;

4. any arrangements, understandings or agreements, written or otherwise, among or involving any persons or entities, including landlords or municipalities, that involve the conducting of any video gaming business or the sharing of costs or revenues, or the guarantee thereof; and

5. the manner in which any terminal operator, licensed video gaming location, or other related entity markets, advertises or otherwise describes any location or locations to any other person or entity or to the public.

b) The Board shall presume, subject to rebuttal, that the granting of an application to become a licensed video gaming location within a mall will cause a terminal operator, individually or in combination with other terminal operators, licensed video gaming locations, or other person or entities, to operate the video gaming terminals in two or more licensed video gaming locations as a single video gaming operation, if the Board determines that granting the license would create a local concentration of licensed video gaming locations. For purposes of this subsection (b):

1. "local concentration of licensed video gaming locations" means that the combined number of licensed video gaming locations within a mall exceeds half the separate locations within the mall; and

2. "location" means a space within a mall containing a separate business, a place for a separate business, or a place subject to a separate leasing arrangement by the mall owner.

c) For purposes of this Section:

1. A "mall" means one of the following that contains four or more units:

A) a building;

B) neighboring, adjoining or connected buildings;

C) buildings with a single property postal address; or

D) buildings with a single parcel number or property index number.

2. A "unit" means a location within a mall that is physically distinct or is subject to a separate leasing or other ownership arrangement.

History

• Source: Added at 41 Ill. Reg. 2939, effective February 24, 2017

Chapter I Illinois Gaming Board

Part 1800 Video Gaming (general)

11 Ill. Adm. Code 1800.820 Measurement of Distances from Locations

In computing the distance between a licensed video gaming location and another facility for purposes of compliance with the location restrictions of Section 25(h) of the Act, a measurement shall be taken of the distance between the respective closest points of the outer walls of the structure containing the licensed video gaming location and the structure containing any of the following:

a) A facility operated by an organization licensee licensed under the Illinois Horse Racing Act of 1975 [230 ILCS 5];

b) The home dock of a riverboat licensed under the Riverboat Gambling Act [230 ILCS 10];

c) A school; or

d) A place of worship under the Religious Corporation Act [805 ILCS 110].

History

• Source: Amended at 38 Ill. Reg. 849, effective December 27, 2013

11 Ill. Adm. Code 1800.830 Waivers of Location Restrictions

a) The Board may waive the requirement that a Licensed Video Gaming Location not be located within 1,000 feet from a facility operated by an organization licensee licensed under the Illinois Horse Racing Act of 1975 or the home dock of a riverboat licensed under the Riverboat Gambling Act pursuant to Section 25(h) of the Act upon a proper showing by the applicant. In making its determination, the Board may consider the following:

1. The number and character of other Licensed Video Gaming Locations in the municipality or subdivision of the municipality where the proposed Licensed Video Gaming Location will be located;

2. Whether the proposed Licensed Video Gaming Location applicant has obtained all other necessary governmental licenses and permits;

3. The history of liquor law violations and reported criminal activity at the proposed Licensed Video Gaming Location; and

4. Any other factor that would be relevant to deciding whether public interest, convenience and advantage would be served by approving the waiver.

b) The Board shall not grant the waiver if there is any common ownership or control, shared business activity or contractual arrangement of any type between the proposed Licensed Video Gaming Location and the organization licensee or owners licensee of a riverboat.

History

• Source: Amended at 38 Ill. Reg. 849, effective December 27, 2013

11 Ill. Adm. Code 1800.910 Approvals Required, Applicability, Scope of Approval

a) A person may not enforce a security interest in gaming property collateral except as set forth in this Subpart. Any attempt to enforce a security interest is void if the secured party has not complied with the requirements of this Subpart.

b) This Subpart does not apply to the enforcement of a security interest in property other than gaming property collateral.

c) Compliance with this Subpart does not constitute any of the following:

1. a determination by the Board as to the validity or enforceability of a security interest;

2. licensing eligibility;

3. approval of any other sale, transfer or other disposition of the gaming property collateral after the enforcement of the security interest.

History

• Source: Added at 35 Ill. Reg. 1369, effective January 5, 2011

11 Ill. Adm. Code 1800.920 Notice of Enforcement of a Security Interest

a) A secured party must give prior written notice to the Board that it intends to enforce a security interest in gaming property collateral using such forms as the Board may require. The notice must include the following:

1. a complete description of the gaming property collateral that is the subject of the security interest;

2. copies of the security agreement and documents evidencing the obligation secured by the gaming property collateral;

3. a statement by the secured party identifying the act of default by the licensee that is the basis for seeking to enforce the security interest, including notice of default sent to the licensee; and

4. any other information requested by the Board.

b) The Administrator will investigate the facts and circumstances related to the notice of enforcement of a security interest. The investigation may include the following:

1. review of all pertinent documents;

2. review of the transaction to determine whether the security interest was given in violation of the Act or this Part or an attempt to evade the requirements of the Act or this Part regarding the sale, assignment, transfer or other disposition of an interest in a gaming operation or in the type of property subject to this Section, including but not limited to video gaming terminals; and

3. review of any other data or information requested.

History

• Source: Added at 35 Ill. Reg. 1369, effective January 5, 2011

11 Ill. Adm. Code 1800.930 Prior Registration

a) Video gaming terminals may only be secured as collateral by a person who is licensed under the Act or who has registered with the Board on forms provided by the Board.

b) Prior registration or licensure under the Act of the secured party seeking to enforce a security interest is required. The Board will not approve the enforcement of any security interest in gaming property collateral unless all persons have been either registered or licensed, as applicable.

History

• Source: Amended at 37 Ill. Reg. 810, effective January 11, 2013

11 Ill. Adm. Code 1800.1010 Restriction on Sale, Distribution, Transfer, Supply, and Operation of Video Gaming Terminals

a) No licensee shall sell, distribute, transfer or supply a video gaming terminal to any person that could not lawfully own or operate the video gaming terminal.

b) No terminal operator or licensed video gaming location shall operate a video gaming terminal without first obtaining a terminal operator's license or a license for a video gaming location, as applicable.

c) A terminal operator may sell or otherwise transfer a video gaming terminal to another terminal operator only with prior written approval of the Administrator.

History

• Source: Amended at 37 Ill. Reg. 18843, effective November 8, 2013

11 Ill. Adm. Code 1800.1020 Transportation of Video Gaming Terminals into the State

a) A video gaming terminal is shipped or transported into the State when the starting point for shipping or transporting begins outside the State and terminates in the State.

b) Video gaming terminals may not be shipped directly to licensed video locations.

c) A manufacturer or distributor shipping or transporting a video gaming terminal into the State to a terminal operator, manufacturer or distributor shall provide the following information to the Board not less than 14 calendar days prior to shipment, unless otherwise directed by the Administrator, on forms provided by the Board:

1. the full name, address, and Illinois Gaming Board license number of the person making the shipment;

2. the method of shipment and the name of the carrier, if any;

3. the manner and method of how the shipment will be secured;

4. the full name, address, and Illinois Gaming Board license number of the terminal operator, manufacturer or distributor to whom the video gaming terminals are being sent and the destination of the shipment, if different from the address;

5. the number of video gaming terminals in the shipment;

6. the model, serial number, and description of each video gaming terminal;

7. the expected arrival date of the video gaming terminals at their destination within the State; and

8. such other information as required by the Board.

d) Each video gaming terminal transported into the State shall be inspected by an agent of the Board at a location to be determined by the Board prior to delivery to a licensed video gaming location.

e) No EPROM, logic board, or non-alterable storage media may be activated prior to signature verification by the Board or its agent.

History

• Source: Added at 35 Ill. Reg. 1369, effective January 5, 2011

11 Ill. Adm. Code 1800.1030 Receipt of Video Gaming Terminals in the State

a) Any terminal operator, manufacturer or distributor in the State that receives a video gaming terminal from outside of the State shall, immediately upon receipt of the video gaming terminal, provide the Board with the following information on forms provided by the Board:

1. the full name, address, and Illinois Gaming Board license number of the terminal operator, manufacturer or distributor receiving the video gaming terminal;

2. the full name, address and Illinois Gaming Board license number of the person from whom the video gaming terminal was received;

3. the date of receipt of the video gaming terminal;

4. the model, serial number and description of each video gaming terminal;

5. the manufacturer of the video gaming terminal;

6. the location where the video gaming terminal will be stored until placed in a licensed video gaming location;

7. such other information as required by the Board.

b) The storage location shall be approved in advance by the Administrator. At the time the video gaming terminal is removed from inventory and transported to another location within the State, the terminal operator, distributor or manufacturer shall comply with the requirements in this Subpart.

History

• Source: Added at 35 Ill. Reg. 1369, effective January 5, 2011

11 Ill. Adm. Code 1800.1040 Transportation of Video Gaming Terminals Between Locations in the State

a) Manufacturers, distributors, licensed terminal handlers, and terminal operators are authorized to transport video gaming terminals within the State.

b) Except as otherwise provided in this Section, any authorized person transporting a video gaming terminal from an approved location to another approved location in the State for any purpose shall notify the Board before transporting the video gaming terminal and provide the following information on forms provided by the Board:

1. the full name, address and Illinois Gaming Board license number of the person transporting the video gaming terminal from its current location;

2. the reason for transporting the video gaming terminal;

3. the full name, address and Illinois Gaming Board license number of the person to whom the video gaming terminal is being sent and the destination of the video gaming terminal if different from the address;

4. the name and address of the carrier and the method of transport;

5. the manner and method of how the shipment will be secured;

6. the model, serial number and description of the video gaming terminal;

7. the video gaming terminal license number, if any;

8. the manufacturer of the video gaming terminal;

9. the expected date and time of delivery and/or installation of the video gaming terminal in the location; and

10. such other information as the Board may require.

c) This Section does not apply to the movement of video gaming terminals within the same licensed video gaming location. The relocation is subject to Board approval pursuant to Section 1800.810.

d) Unless otherwise specified in this Section, an agent of the Board must approve and may inspect all video gaming terminals before the transportation of video gaming terminals within the State.

e) Movement of a video gaming terminal that has been inoperable pursuant to Section 1800.250 requires notice to the Board on forms provided by the Board. Transportation of an inoperable video gaming terminal must be to an approved location.

History

• Source: Added at 35 Ill. Reg. 1369, effective January 5, 2011

Chapter I Illinois Gaming Board

Part 1800 Video Gaming (general)

11 Ill. Adm. Code 1800.1050 Approval to Transport Video Gaming Terminals Outside of the State

a) Manufacturers and distributors located in the State shall not sell, ship, transport, or distribute video gaming terminals out of the State without the prior approval of the Administrator or as the Board provides. Applications for approval to sell, ship, transport or distribute video gaming terminals out of the State shall be made, processed and determined in such manner and using the forms the Board provides. Each application shall include:

1. the full name, state of residence, address of the purchaser, and jurisdiction where the purchaser is licensed;

2. the full name, state of residence and address of the person to whom shipment is being made, if different than the purchaser;

3. the number of video gaming terminals to be shipped;

4. the model, serial number and description of each video gaming terminal to be shipped;

5. the expected date and time of shipment;

6. the method of shipment and name and address of the carrier; and

7. the method and manner of how the shipment will be secured.

b) Manufacturers and distributors shall not ship video gaming terminals to any destination where possession of video gaming terminals or gaming devices is illegal.

c) An agent of the Board must inspect all video gaming terminals before transportation outside of the State. Licensees shall make video gaming terminals available for inspection upon request.

History

• Source: Added at 35 Ill. Reg. 1369, effective January 5, 2011

11 Ill. Adm. Code 1800.1060 Placement of Video Gaming Terminals

Manufacturers, distributors and terminal operators may store and display, and persons licensed pursuant to the Act may repair, service or maintain, video gaming terminals only at locations approved in advance by the Administrator.

History

• Source: Added at 35 Ill. Reg. 1369, effective January 5, 2011

11 Ill. Adm. Code 1800.1065 Registration of Video Gaming Terminals

a) Any terminal operator that possesses any video gaming terminal shall have

a registration tag issued by the Board securely affixed on each terminal.

b) Any video gaming terminal without a current registration tag shall be subject to seizure. Any agent of the Board may demand and gain access to any property relating to a licensed video gaming location or any location where video gaming terminals are stored, sold, distributed or transported, and seize any video gaming terminal that does not bear a current registration tag or is operating in a manner that violates any provision of the Act, this Part, or operating procedures established by the Board. Video gaming terminals so seized shall be subject to confiscation and forfeiture. In the event the Board seizes video gaming terminals in accordance with this Section, the Board shall notify the terminal operator of the seizure and of the terminal operator's right to a hearing under Subpart G of this Part.

History

• Source: Added at 36 Ill. Reg. 10029, effective June 28, 2012

11 Ill. Adm. Code 1800.1070 Disposal of Video Gaming Terminals

a) A video gaming terminal shall be disposed of only with the Administrator's prior approval and only if the manner of disposal makes the video gaming terminal incapable of use or operation. Any person seeking to dispose of a video gaming terminal shall notify the Administrator in writing on forms to be provided by the Board prior to disposal and provide the following information:

1. the full name, address, and Illinois Gaming Board license number of the person seeking to dispose of the video gaming terminal;

2. the model, serial number and description of the video gaming terminal;

3. the manufacturer of the video gaming terminal;

4. the video gaming terminal Illinois Gaming Board license number;

5. the location of the video gaming terminal;

6. the proposed manner, time and place of disposal; and

7. any other information required by the Board.

b) Disposal of a video gaming terminal pursuant to this Section shall take place in the presence of an agent of the Board.

History

• Source: Added at 35 Ill. Reg. 1369, effective January 5, 2011

Chapter I Illinois Gaming Board

Part 1800 Video Gaming (general)

11 Ill. Adm. Code 1800.1110 State-Local Relations

a) Whenever the Board takes any action authorizing or prohibiting the licensing, operation, or use of video gaming terminals, it shall notify the police department or sheriff's office whose jurisdiction includes the premises on which the video gaming terminals are authorized or prohibited.

b) Any municipality, county or law enforcement agency that takes action relating to the operation or use of a video gaming terminal, whether licensed or unlicensed, shall notify the Board and specify the extent of the action taken and the reasons for the action. The Board shall thereupon take whatever action is necessary under the Act. Any law enforcement agency that confiscates video gaming terminals or terminal income shall, as soon as practicable under the circumstances, turn over the video gaming terminals and terminal income to the Board unless otherwise ordered by a court of competent jurisdiction.

History

• Source: Added at 35 Ill. Reg. 1369, effective January 5, 2011

11 Ill. Adm. Code 1800.1210 Definitions

As used in this Subpart:

"Department" means the Department of State Police.

"Person" means an individual required by the Board to be fingerprinted in connection with an application for licensure or as a requirement for continued licensure under the Act.

"Entity" means any individual, association, partnership or corporation qualified, or seeking qualification, as a livescan vendor.

"Livescan fingerprinting" or "fingerprinting" shall be the collection of inkless fingerprints in a manner prescribed by the Department and the electronic transmission of those fingerprints to the Department.

"Livescan technician" means an individual who is trained to collect fingerprints on livescan equipment and who meets any licensing requirements of the State or federal government.

"Livescan vendor" or "vendor" shall mean an entity besides the Department certified by the Board to conduct livescan fingerprinting.

History

• Source: Added at 36 Ill. Reg. 10029, effective June 28, 2012

11 Ill. Adm. Code 1800.1220 Entities Authorized to Perform Fingerprinting

The Department or a livescan vendor may fingerprint persons required to be fingerprinted by the Board. The Board or Department may direct persons required to be fingerprinted to use the services of a livescan vendor in lieu of the services of the Department.

History

• Source: Added at 36 Ill. Reg. 10029, effective June 28, 2012

11 Ill. Adm. Code 1800.1230 Qualification as a Livescan Vendor

The following entities shall qualify as livescan vendors:

a) An entity that:

1. Demonstrates to the Board that it has two or more years of experience transmitting fingerprints electronically to the Department, and that it can successfully transmit the required data to the Department in a manner prescribed by the Department;

2. Demonstrates ability to comply with all the requirements of Section 1800.1240;

3. Enters into a standardized contract with the Board for the performance of livescan fingerprinting services;

4. Provides a single preferred point of contact with the Department and Board;

5. Complies with all other Board requirements for livescan vendors; and

6. Has not had its contract with the Board revoked or suspended under the criteria of Section 1800.1260; or

b) An entity that:

1. Has entered into, and continues to be covered by, a standardized contract with the Department of Public Health as set forth in 77 Ill. Adm. Code 955.285 and has met all the criteria of that Section;

2. Complies with all other applicable Board requirements for livescan vendors; and

3. Has not had its contract with the Board revoked or suspended or been contractually disqualified by the Board under the criteria of Section 1800.1260.

History

• Source: Added at 36 Ill. Reg. 10029, effective June 28, 2012

Chapter I Illinois Gaming Board

Part 1800 Video Gaming (general)

11 Ill. Adm. Code 1800.1240 Fingerprinting Requirements

All fingerprinting conducted under the provisions of this Subpart L by a livescan vendor shall comply with the following requirements:

a) The vendor shall use only equipment that is certified by the Department as meeting its requirements for inkless fingerprint collection.

b) The vendor shall electronically transmit the fingerprints and other data required by the Department through a secure network within one business day after the fingerprints are collected.

c) The vendor shall comply with all Electronic Fingerprint Submission Specifications (EFSS) of the Department (http://www.isp.state.il.us/docs/9-054.pdf) and all Electronic Fingerprint Transmission Specifications standards of the Federal Bureau of Investigation (http://fbi.gov/hq/cjisd/iafis/efts70/ cover.htm).

d) Fingerprints may be taken and transmitted only by livescan technicians who have had a fingerprint-based criminal history records check and have not been convicted of crimes that, if committed by a person seeking licensure under the Act, would constitute a statutory disqualification for licensure. The Board may, in its discretion, disqualify individuals from taking fingerprints who have been convicted of crimes that, if committed by a person seeking licensure under the Act, would serve as a discretionary basis for license disqualification.

e) Fingerprints shall be collected directly from the person's hand and shall consist of 10 rolled impressions and 10 slap impressions in a format acceptable to the Department.

f) The vendor shall archive (store, back up, retrieve, etc.) the fingerprints transmitted to the Department in a secure and retrievable manner. Upon expiration or termination of the contract, the vendor shall provide the stored data to the Department in a format requested by the Department.

g) The vendor shall provide a single point of contact through which the Board or Department may contact the vendor.

h) If a person's fingerprints are rejected by the Department, the vendor shall collect a second or subsequent set of fingerprints. The vendor shall not charge for collecting the second or subsequent set of fingerprints.

History

• Source: Added at 36 Ill. Reg. 10029, effective June 28, 2012

11 Ill. Adm. Code 1800.1250 Fees for Fingerprinting

A livescan vendor shall impose a fingerprinting fee on each person fingerprinted, payable to the vendor. For all vendors selected pursuant to Section 1800.1230(a), the amount of the permissible fee shall be set by the Board and shall include the costs of fingerprinting and all associated costs to the vendor, including, but not limited to, accounting charges, credit card fees, and charges in relation to the transmission and collection of fingerprints billed to the vendor by the Department, plus an additional amount based on customary profits earned by entities performing fingerprinting services for comparable governmental jurisdictions. The vendor shall compile and provide to the Board a complete record of all fees collected. The Board may establish policies governing the procedures for payment of fees under this Section and provision of fee records to the Board. For all vendors selected pursuant to Section 1800.1230(b), the fee shall be the fee shown in the contract between the vendor and the Illinois Department of Public Health.

History

• Source: Added at 36 Ill. Reg. 10029, effective June 28, 2012

11 Ill. Adm. Code 1800.1260 Grounds for Revocation, Suspension or Denial of Contract

The Board has authority to revoke or suspend a contract it has entered into with a livescan vendor, and to deny the application of an entity applying to be a livescan vendor, for any of the following reasons:

a) Failure to comply with any of the requirements of Section 1800.1240;

b) Failure to comply with any order, ruling or directive of the Board or Department;

c) A rejection rate by the Department of 5% or greater of collected fingerprints;

d) Collection of fees exceeding maximum limits imposed by the Board;

e) Any other basis upon which the Department or Board concludes that fingerprints collected by the vendor are inadequately or unreliably collected; or

f) Any of the grounds for disciplinary action applicable to licensees under Section 1800.310.

History

• Source: Added at 36 Ill. Reg. 10029, effective June 28, 2012

11 Ill. Adm. Code 1800.1310 Public Requests for Information

a) The Board shall, upon written request from any person, provide information furnished by an applicant, licensee or person with significant influence or control of the applicant or licensee, concerning the applicant, licensee or person with significant influence or control of the applicant or licensee, its products, services, gaming and video gaming enterprises, and its business holdings, as follows:

1. The name, business address and business telephone number of any applicant, licensee or person with significant influence or control of the applicant or licensee.

2. An identification of any applicant, licensee or person with significant influence or control of the applicant or licensee, including, if an applicant, licensee or person with significant influence or control of the applicant or licensee is not an individual, the state of incorporation or registration, the corporate officers and the identity of all shareholders or participants. If an applicant, licensee or person with significant influence or control of the applicant or licensee has a pending registration statement filed with the Securities and Exchange Commission, only the names of those persons or entities holding interest of 5% or more must be provided.

3. An identification of any business, including, if applicable, the state of incorporation or registration, in which an applicant, licensee or person with significant influence or control of the applicant or licensee, or his or her spouse or children, has an equity interest of more than 5%. If an applicant, licensee or person with significant influence or control of the applicant or licensee is a corporation, partnership or other business entity, the applicant, licensee or person with significant influence or control of the applicant or licensee shall identify any other corporation, partnership or business entity in which it has an equity interest of 5% or more, including, if applicable, the state of incorporation or registration. This information need not be provided by a corporation, partnership or other business entity that has a pending registration statement filed with the Securities and Exchange Commission.

4. Whether an applicant, licensee or person with significant influence or control of the applicant or licensee has been indicted, convicted, pleaded guilty or nolo contendere, or forfeited bail concerning any criminal offense under the laws of any jurisdiction, either felony or misdemeanor (except for traffic violations), including the date, the name and location of the court, arresting agency and prosecuting agency, the case number, the offense, the disposition and the location and length of incarceration.

5. Whether an applicant, licensee or person with significant influence or control of the applicant or licensee has had any license or certificate issued by a licensing authority in Illinois or any other jurisdiction denied, restricted, suspended, revoked or not renewed and a statement describing the facts and circumstances concerning the denial, restriction, suspension, revocation or non-renewal, including the licensing authority, the date each action was taken and the reason for each action.

6. Whether an applicant, licensee or person with significant influence or control of the applicant or licensee has ever filed or had filed against it a proceeding in bankruptcy or has ever been involved in any formal process to adjust, defer, suspend or otherwise work out the payment of any debt, including the date of filing, the name and location of the court, the case and number of the disposition.

7. Whether an applicant, licensee or person with significant influence or control of the applicant or licensee has filed, or been served with a complaint or other notice filed with any public body regarding the delinquency in the payment of, or a dispute over the filings concerning the payment of, any tax required under federal, State or local law, including the amount, type of tax, the taxing agency and time periods involved.

8. A statement listing the names and titles of all public officials or officers of any unit of government, and the spouse and children of those public officials or officers, who, directly or indirectly, own any financial interest in, have any beneficial interest in, are the creditors of, or hold any debt instrument issued by, or hold or have any interest in any contractual or service relationship with, an applicant, licensee or person with significant influence or control of the applicant or licensee.

9. Whether an applicant, licensee or person with significant influence or control of the applicant or licensee has made, directly or indirectly, any political contribution, or any loans, donations or other payments, to any candidate or office holder, within 5 years from the date of filing the application, including the amount and the method of payment.

10. The name and business telephone number of the counsel representing an applicant, licensee or person with significant influence or control of the applicant or licensee in matters before the Board.

b) Subject to subsection (a), the Board shall not disclose any information that would be barred by:

1. Section 7 of the Freedom of Information Act [5 ILCS 140/7]; or

2. The statutes, rules, regulations or intergovernmental agreements of any jurisdiction.

c) The Board may assess fees for the copying of information in accordance with Section 6 of the Freedom of Information Act.

History

• Source: Added at 36 Ill. Reg. 18550, effective December 14, 2012

Chapter I Illinois Gaming Board

Part 1800 Video Gaming (general)

11 Ill. Adm. Code 1800.1410 Ticket Payout Devices

a) Each licensed video gaming location at which video gaming terminals are available shall have a payout device as defined in Section 1800.110.

b) In addition to the requirement set forth in this Section, each payout device shall conform to the redemption terminal interoperability requirements approved by the Administrator and to the video gaming payout device standards approved by the Administrator. A licensed video gaming location shall only use a payout device that has received prior written approval by the Administrator. All programming changes or upgrades to an approved payout device shall also receive prior written approval by the Administrator.

c) For purposes of Section 20 of the Act, a player seeking to redeem a ticket dispensed by a video gaming terminal for cash may either:

1. submit the ticket for full payment directly to a payout device; or

2. submit the ticket for full payment to an authorized employee of the licensed video gaming location who is at least 21 years old who shall then submit the ticket into a payout device.

d) If a video gaming terminal and/or payout device has malfunctioned or is otherwise inoperable and unable to produce a ticket or redeem a ticket, a player shall promptly receive a "facility-pay" from an employee of the licensed video gaming location or an employee of the licensed terminal operator who is at least 21 years old.

e) All facility payments must be accounted for by the licensed terminal operator and licensed video gaming location using Generally Accepted Accounting Principles (GAAP). This shall require, at a minimum, that each licensed video gaming location shall record the following for each facility payment:

1. date and time of the payment event;

2. amount paid;

3. video gaming terminal license number, payout device number, or video gaming ticket number for which payment is made; and

4. name of the individual processing the facility payment.

f) A payout device may allow for automated teller machine (ATM) functionality for patron cash withdrawals initiated from bank cards and other similar instruments only when the material components of that functionality and any accompanying remote access communication is physically and logically segregated from the functionality for the video gaming ticket payment system. The ATM system and video gaming ticket payment system may share a single currency dispenser.

g) Each approved payout device shall:

1. ensure against manipulation, alteration or change of the approved payout device;

2. be operated in such a manner as to cause immediate notification to the central communication system of any malfunction that affects the integrity of the approved payout device;

3. provide for on-line real-time monitoring; and

4. be subject to testing by an independent laboratory and review by the Board as deemed necessary or appropriate to ensure the continued integrity of the approved payout device or any of its component parts.

h) A terminal operator may sell or otherwise transfer a payout device to another terminal operator only with prior written approval of the Administrator.

History

• Source: Amended at 37 Ill. Reg. 18843, effective November 8, 2013

11 Ill. Adm. Code 1800.1420 Redemption of Tickets Following Removal or Unavailability of Ticket Payout Devices

a) If a licensed video gaming location changes terminal operator providers, and/or changes ticket payout systems, such that unredeemed tickets issued under the previous terminal operator or ticket payout system are no longer redeemable by the new ticket payout device at the licensed video gaming location, the licensed video gaming location shall provide facility payments to the patrons for the tickets issued under the previous terminal operator.

b) If a licensed video gaming location closes or ceases doing business, ceases its video gaming operation, changes locations, has its video gaming license or liquor license suspended or revoked, or is otherwise unavailable or inaccessible for patrons to redeem unredeemed tickets for more than 10 consecutive days, the licensed video gaming location shall:

1. place a sign prominently at the location (so long as the video gaming location licensee still has possession or control of the location) no less than 21 x 13" that reasonably informs patrons of the name and phone number of the terminal operator from which patrons can seek payment for unredeemed tickets; and

2. prominently post a notice on any internet site and/or social media outlet under its operation or control that reasonably informs patrons of the name and phone number of the terminal operator from which patrons can seek payment for unredeemed tickets.

c) When patrons cannot redeem outstanding tickets of a terminal operator at the video gaming location from which they were issued because of the reasons stated in subsection (a) or (b), the terminal operator shall promptly maintain and secure a list or database of all issued and unredeemed tickets from the video gaming location. The list or database must be maintained for no less than one year.

History

• Source: Added at 37 Ill. Reg. 18843, effective November 8, 2013

11 Ill. Adm. Code 1800.1421 Redemption of Video Gaming Tickets During a Coin Shortage

a) In the event of a coin shortage, the Administrator may grant approval to a terminal operator, upon written request, to redeem gaming tickets and vouchers by mail through the United States Postal Service (USPS). Factors to be considered by the Administrator in the decision whether to grant approval may include:

1. Existence of a coin shortage in market areas of the terminal operator;

2. Numbers of redemption terminals;

3. Frequency of coin filling and redemptions;

4. Number of available coin suppliers; and

5. The size and geographic reach of a terminal operator’s market that may or may not allow it to remedy a deficiency of coins in one area through a surplus in another area where coins are more plentiful.

b) For the purposes of this Section, a “coin shortage” means the inability of a terminal operator to acquire sufficient U.S. currency to allow its redemption devices to redeem all gaming tickets and vouchers reasonably expected to be redeemed over a seven-day period because the terminal operator’s usual coin suppliers cannot meet the terminal operator’s demand.

c) Procedures for Approved Coin Shortages

1. Prior to a terminal operator redeeming gaming tickets or vouchers through the USPS, the terminal operator’s redemption devices shall be programmed to either return unredeemable tickets or vouchers in the full amount, or redeem an amount less than the value of the tickets or vouchers and print a ticket or voucher for the balance of the tickets’ or vouchers’ value.

2. Prior to electing to redeem a ticket or voucher through the USPS, a patron may, but is not required to, bring the ticket or a voucher printed at the redemption device to the licensed location for redemption. The licensed location may choose to redeem the value of the ticket or voucher. A licensed location redeeming tickets or vouchers shall:

A) Retain all redeemed tickets and vouchers until provided to the terminal operator;

B) Record the date and time the ticket or voucher was redeemed; and

C) Maintain and provide any other information requested by the terminal operator related to the ticket or voucher redemption.

3. A patron may submit the ticket or voucher to the terminal operator for redemption by mail. If a patron submits a ticket or voucher for redemption by mail, the following shall apply:

A) The patron shall provide their name and address with the ticket or voucher to be redeemed.

B) The terminal operator, subject to verifying the ticket or voucher through its internal processes, shall issue payment within 15 days of receipt for the ticket or voucher by mail.

C) The terminal operator shall reimburse the patron for the cost of mailing the ticket or voucher. The reimbursement shall be included with the payment for the ticket or voucher mailed to the patron.

History

• Source: Added at 46 Ill. Reg. 5530, effective March 16, 2022

Chapter I Illinois Gaming Board

Part 1800 Video Gaming (general)

11 Ill. Adm. Code 1800.1510 Non-Payment of Taxes

a) The first time that a terminal operator is more than 48 hours overdue in remitting taxes pursuant to Section 60 of the Act due to non-sufficient funds, the Administrator shall promptly direct the disabling of all video gaming terminals operated by the terminal operator until the terminal operator pays the overdue tax remittance by certified funds plus the penalty amount provided under Section 60(e) of the Act.

b) The second or subsequent time within a one-year period that a terminal operator is more than 48 hours overdue in remitting taxes pursuant to Section 60 of the Act due to non-sufficient funds, the Administrator shall promptly direct the disabling of all video gaming terminals operated by the terminal operator until each of the following occurs:

1. The terminal operator pays the overdue tax remittance by certified funds plus the penalty amount provided by Section 60(e) of the Act; and

2. The terminal operator posts a bond or cash deposit of certified funds required by the Administrator as a guarantee of future tax payments. The bond or cash deposit of certified funds shall be in an amount equal to the average net terminal income for a period of one week based on the previous 120 days, excluding any period for which the terminal operator's video gaming terminals were disabled for non-payment of taxes.

c) A terminal operator may be subject to disciplinary action by the Board under Section 1800.310 for an overdue tax remittance.

d) An overdue tax remittance caused by an error of a financial institution shall not be subject to the provisions of this Section.

History

• Source: Added at 37 Ill. Reg. 4892, effective April 1, 2013

11 Ill. Adm. Code 1800.1610 Use of Gaming Device or Individual Game Performance Data

The Board shall not permit the development of information or the use by any licensee of gaming device or individual game performance data of another licensee. Nothing in the Act shall inhibit or prohibit the Board from the use of gaming device or individual game performance data in its regulatory duties. The Board shall adopt rules to ensure that all licensees are treated, and all licensees act, in a non-discriminatory manner and shall develop processes and penalties to enforce those rules. (Section 15 of the Act)

History

• Source: Added at 39 Ill. Reg. 5593, effective April 1, 2015

11 Ill. Adm. Code 1800.1710 Conversations About Responsible Gaming

Owners and persons with significant influence or control of a licensed video gaming location, video gaming managers, and employees of a licensed video gaming location whose job duties involve any aspect of video gaming operations, shall have a right, but not an obligation, to conduct conversations about responsible gaming with video gaming players at the location. A licensed video gaming location will not be liable if a person enrolled in the Board's self-exclusion program established under 86 Ill. Adm. Code 3000.Subpart G or problem gambling registry created by Section 1800.1730 of this Part plays a video gaming terminal on the premises of the licensed video gaming location.

History

• Source: Added at 42 Ill. Reg. 3126, effective February 2, 2018

11 Ill. Adm. Code 1800.1720 Responsible Gaming Education Programs

a) As a condition of initial licensure and license renewal of a licensed video gaming location, all owners and persons with significant influence or control of the location, video gaming managers, and all employees of the location whose employment duties relate to any aspect of video gaming operations, shall be required to complete an on-line course of study on responsible gaming. Completion of this course shall be a condition of license issuance and renewal. Completion of the course shall be required within 30 days after the date the course is made available to the public, or the person becomes an owner, person with significant influence or control, video gaming manager, or employee of the location. Enrollment in the course shall be free of charge to the enrollee. The course of study shall define responsible gaming and provide instruction on conversational techniques with customers whose behavior indicates they may have a gambling problem. The recommended conversational techniques shall be informative and non-judgmental, provide players with helpful information about the random nature of video gaming play and long-term prospects of winning, and recommend appropriate means of providing information to video gaming players concerning problem gambling resources.

b) In implementing the responsible gaming education program, the Board may contract for and use educational materials and programs offered by any public or private entity, including but not limited to those prepared by other state governments.

History

• Source: Added at 42 Ill. Reg. 3126, effective February 2, 2018

11 Ill. Adm. Code 1800.1730 Problem Gambling Registry

The Board shall establish a voluntary, confidential problem gambling registry for video gaming. Persons enrolled in the registry shall receive regular e-mails providing information on problem gambling and containing links to problem gambling prevention and treatment resources available in Illinois. Individuals enrolled in the problem gambling registry may cancel their enrollments at any time. Both Illinois and out-of-state residents may enroll in the problem gambling registry.

History

• Source: Added at 42 Ill. Reg. 3126, effective February 2, 2018

11 Ill. Adm. Code 1800.1740 Utilization of Technology to Prevent Problem Gambling

The Board may utilize technology to include a message on the interface of video gaming terminals to assist players in responsible gaming and prevent problem gambling from occurring.

History

• Source: Added at 42 Ill. Reg. 3126, effective February 2, 2018

11 Ill. Adm. Code 1800.1750 Problem Gambling Signage

a) Each terminal operator shall provide to each licensed video gaming location at which it operates video gaming terminals signs to inform patrons how to obtain assistance with problem gambling.

b) Each licensed video gaming location shall post and maintain the signs provided by the terminal operator.

c) The signs must be conspicuously posted and visible at the entrance to any gaming area and from any ATM in the licensed location.

d) The content must at minimum include text materially consistent with Department of Human Services rules for problem gambling signage (see 77 Ill. Adm. Code 2059.103) and the content must include instructions on accessing the Illinois Gaming Board Self-Exclusion Program (see Subpart G of 86 Ill. Adm. Code 3000).

e) The content of the signs must be approved by the Administrator.

History

• Source: Added at 47 Ill. Reg. 16355, effective November 1, 2023

11 Ill. Adm. Code 1800.1810 Implementation of Technology

a) The Administrator shall have the authority to direct and oversee installation of technology into video gaming terminals, and the maintenance and improvement of that technology, designed to allow the Board to collect data from, and inspect, those terminals.

b) An applicant or licensee may be billed directly or be required to reimburse the Board for any expenses, including third-party expenses, associated with the testing, certification, installation, training, review or approval of video gaming-related technology or technological enhancements to a video gaming operation.

History

• Source: Added at 44 Ill. Reg. 489, effective December 27, 2019

11 Ill. Adm. Code 1800.1910 Independent Outside Testing Laboratories

a) Any independent outside testing laboratory that holds an accreditation in accordance with ISO/IEC 17025 by an accreditation body that is a signatory to the International Laboratory Accreditation Cooperation Mutual Recognition Agreement and is authorized to perform independent testing laboratory services in a gaming jurisdiction comparable to Illinois is licensed to perform independent testing laboratory services in Illinois, subject to the requirements of this Subpart.

b) Gaming Jurisdictions Comparable to Illinois

1. A "gaming jurisdiction comparable to Illinois" means a jurisdiction that regulates the operation of electronic devices that are:

A) Connected to a central monitoring system that records the gaming activity of each electronic device and is operated by the gaming regulatory authority or an agent of that authority;

B) Capable of awarding credits dependent upon chance, and containing a circuit, meter or switch capable of removing and recording the removal of credits; and

C) Dependent on the approval of their operation by a gaming regulatory body.

2. For purposes of this subsection (b), an "electronic device" shall have the same meaning as "video gaming terminal" in Section 1800.110 except that all required authorizations are provided by the comparable jurisdiction.

c) Any independent outside testing laboratory may apply for licensure under the Act by submitting to the Administrator its accreditations and the jurisdictions in which it is authorized to perform independent testing laboratory services.

d) The Administrator shall determine whether the jurisdictions in which the applicant independent outside testing laboratory is licensed to perform independent testing laboratory services is a gaming jurisdiction comparable to Illinois.

e) The Administrator shall provide a written determination as to whether the applicant independent outside testing laboratory meets the criteria in subsection (a). If the applicant independent outside testing laboratory meets the criteria, the applicant will be licensed.

f) If the Administrator determines that the applicant independent outside testing laboratory does not meet the criteria in subsection (a), the applicant may request a determination by the Board, in writing, within 21 days after the date of service of the Administrator's determination.

History

• Source: Added at 44 Ill. Reg. 1961, effective December 31, 2019

11 Ill. Adm. Code 1800.1920 Minimum Duties of an Independent Outside Testing Laboratory

a) As a condition of licensure, a licensed independent outside testing laboratory is obligated to do the following:

1. Provide to the Board 24 hours per day, seven days per week, support contacts whom Board staff and licensees may contact.

2. Provide written reports, electronically in a format prescribed by the Administrator, regarding video gaming equipment testing and test results, which include, at a minimum:

A) All testing performed;

B) A description of the product tested;

C) The unique identification code or signature, as approved by the Administrator, assigned to the product;

D) A secure hash using a cryptographic function designated by the Administrator;

E) A list of payables or other settings on the tested product, if applicable;

F) A description of the modifications between the tested product and previous versions of the tested product, if applicable; and

G) A list of components with which the product was verified to be compatible.

3. Provide the Board and its staff with real-time online access to all video gaming equipment testing reports and documents via secure communication protocol and allow the Board to view updated reports of all pending, approved, obsolete and revoked (see Section 1800.1940(d)(5)) video gaming equipment.

4. Disclose all locations of any laboratory or factory at which independent outside testing services may be conducted. Upon request of the Board, the licensed independent outside testing laboratory must reimburse the Board for all travel costs, in accordance with 80 Ill. Adm. Code 2800 (CMS travel rules), incurred by up to two employees to inspect each laboratory or facility annually.

5. Assign a unique identification code or signature, as approved by the Administrator, and a secure hash, to all Critical Program Storage Media, upon testing, using a function designated by the Administrator.

6. Conduct its operations in accordance with Section 1800.210, as applicable.

b) In addition to the violations listed in Section 1800.310, any violation of the requirements of subsection (a) may result in discipline in accordance with Section 1800.310.

c) Any licensed independent outside testing laboratory that fails to maintain its accreditation in accordance with Section 1800.1910(a) shall have its license suspended until such time as the independent outside testing laboratory reobtains its qualifications.

History

• Source: Added at 44 Ill. Reg. 1961, effective December 31, 2019

Chapter I Illinois Gaming Board

Part 1800 Video Gaming (general)

11 Ill. Adm. Code 1800.1930 Testing of Video Gaming Equipment

The Administrator shall develop and publish technical standards against which all independent outside testing laboratories must test any video gaming equipment for compliance. The independent outside testing laboratory shall provide a report of the testing results to the Administrator. The report shall include the following:

a) The extent to which the video gaming equipment meets the published technical standards;

b) Whether the video gaming equipment meets the requirements of the Act and this Part; and

c) Any additional information the Board needs in order to certify a video gaming terminal.

History

• Source: Added at 44 Ill. Reg. 1961, effective December 31, 2019

11 Ill. Adm. Code 1800.1940 Approval of Video Gaming Equipment

a) Before being offered for play, all video gaming equipment must be approved by the Administrator.

b) All video gaming equipment must be tested by an independent outside testing laboratory before the Administrator will review the video gaming equipment.

c) Request for Approval

1. Any licensee seeking approval of any piece of video gaming equipment must initiate its request by submitting that piece of video gaming equipment to a licensed independent outside testing laboratory. The licensee must cooperate with the licensed outside testing laboratory in providing all equipment and information needed for certification by the Board.

2. Each licensed independent outside testing laboratory must notify the Administrator, upon receipt of any request to test video gaming equipment for approval in Illinois, in a format prescribed by the Administrator. The notification shall, at minimum:

A) Identify the licensee seeking approval of the video gaming equipment;

B) Describe the product for which approval is being sought;

C) Indicate the date on which the request was received; and

D) Include a unique identification code or signature, approved by the Administrator, for Critical Program Storage Media. For purposes of this subsection (c)(2)(D) and Section 1800.1930(a)(2), "Critical Program Storage Media" means any program storage media containing software that is involved in, or that significantly influences, the operation and calculation of game play, game display, game result determination, game accounting, revenue or security.

i) Software in program storage media includes, but is not limited to:

• game accounting software;

• system software; and

• peripheral firmware devices.

ii) Critical Program Storage Media shall be verified utilizing an external third-party methodology approved by the Administrator.

iii) Critical Program Storage Media may be required, as determined by the Administrator, to have security seals attached.

3. The independent outside testing laboratory shall submit a written report in accordance with Section 1800.1920(a)(2) after completing the testing.

4. The Administrator may request additional information from either the licensee or the licensed independent outside testing laboratory in making his or her determination under subsection (d)(2).

5. The Administrator may require additional testing. Whether the additional testing is performed by the original independent outside testing laboratory or another independent outside testing laboratory is to be determined by the manufacturer. Additional testing will be required when the Administrator determines that it is necessary to ensure the integrity or proper functioning of any of the items listed in Section 1800.1930(a) because of the existence of one or more of the following:

A) Inconclusive initial test results;

B) A need to establish repeatability of test results; or

C) A need to determine compatibility with components other than those tested.

d) Approvals

1. The Administrator shall review the request to approve video gaming equipment after the testing report and all other requested information has been received.

2. In making the determination, the Administrator shall consider the following:

A) The minimum criteria established in Section 15 of the Act;

B) The extent to which the video gaming equipment meets the technical standards by which the independent outside testing laboratory must test; and

C) Whether approving the video gaming equipment would jeopardize the integrity and security of video gaming in this State.

3. If the video gaming equipment is approved, the Administrator shall make his or her approval available electronically.

4. If approval of the video gaming equipment is denied, the Administrator shall notify the licensee in writing. The Administrator's determination is a final Board order and is reviewable under the Administrative Review Law [735 ILCS 5/Art. III].

5. The Administrator may revoke any approval pursuant to this section under the criteria of paragraph 2) of subsection d) of this section.

History

• Source: Added at 44 Ill. Reg. 1961, effective December 31, 2019

11 Ill. Adm. Code 1800.2010 In-Location Progressive Games

All in-location progressive games shall be conducted in accordance with the requirements of this Subpart and with approval of the Administrator.

History

• Source: Added at 44 Ill. Reg. 3205, effective February 7, 2020

11 Ill. Adm. Code 1800.2020 Optional Nature of in-Location Progressive Games

Nothing in the Act or this Part shall be construed to require a terminal operator or licensed video gaming location to offer or operate in-location progressive games.

History

• Source: Added at 44 Ill. Reg. 3205, effective February 7, 2020

11 Ill. Adm. Code 1800.2030 Procedures Within Licensed Video Gaming Locations

All in-location progressive games authorized by the Act shall operate within licensed video gaming locations and according to the following procedures:

a) An in-location progressive game shall be conducted only within a single video gaming location.

b) The location shall designate one or more of its owners or employees to implement the procedures set forth in this Section. At least one designated individual shall be available at the licensed video gaming location at all times during which in-location progressive games are available for play.

c) Upon the winning of a progressive jackpot of $1,200 or more, the following procedures shall be implemented:

1. The video gaming terminal on which the progressive jackpot has been won shall immediately issue a voucher with the date, time, and amount won. The voucher shall identify the terminal operator and specify a phone number that a patron can call for payment instructions. The voucher shall also reflect the video gaming terminal on which the patron won the jackpot. The voucher shall not be redeemable at any location redemption kiosk.

2. The video gaming terminal shall communicate that a progressive jackpot voucher has been printed to the central communication system, which shall then immediately notify the terminal operator.

3. The designated owner or employee of the location shall require from the progressive jackpot winner identification in the form of one of the following:

A) A driver's license or state photo identification card issued in the United States;

B) Passport;

C) Military ID issued by the United States;

D) Photo identification cards issued by government entities located within the United States or U.S. territories and possessions; or

E) Permanent residence card issued by the United States.

d) The designated owner or employee of the licensed video gaming location shall complete a progressive jackpot form previously provided to the location by the terminal operator. Upon completion, the form shall be signed by the designated owner or employee and the progressive jackpot winner. There shall be three copies of the signed progressive jackpot form, with one copy given to the progressive jackpot winner, one copy retained by the location, and one copy provided to the terminal operator. It shall be the duty of all terminal operators that have entered into use agreements with locations where in-location progressive game play takes place to provide progressive jackpot forms to the locations before in-play progressive game play takes place. Information to be provided by a progressive jackpot winner on a progressive jackpot form shall include the following:

1. Name and address of the winning player;

2. Identification number from the authorized forms of identification in subsection (c)(3);

3. Date and time the progressive jackpot was won;

4. Amount of the progressive jackpot;

5. License number and location of the video gaming terminal on which the progressive jackpot was won; and

6. Video gaming ticket number for which payment is made.

e) In no event shall the winning jackpot, or any portion of the jackpot, be expressed as credits available for play on a video gaming terminal.

f) Completed progressive jackpot forms, payment receipts or confirmations, progressive video gaming tickets, and other related documentation shall be retained for audit and inspection by the Board or its agents for 4 years for terminal operators, and one year for licensed video gaming locations, offering in-location progressive games.

History

• Source: Added at 44 Ill. Reg. 3205, effective February 7, 2020

11 Ill. Adm. Code 1800.2040 Payments of Progressive Jackpot Amount

a) Any terminal operator offering in-location progressive games must make provisions to pay the jackpot winner within three days after the jackpot is won.

b) After retaining all applicable withholdings, including those described in Section 1800.2050, from the progressive jackpot amount, a terminal operator shall pay the remainder of the progressive jackpot amount to the progressive jackpot winner. Terminal operators must obtain prior approval from the Administrator for any method used to pay a progressive jackpot.

History

• Source: Added at 44 Ill. Reg. 3205, effective February 7, 2020

11 Ill. Adm. Code 1800.2050 Deductions from Progressive Jackpots

a) Any terminal operator seeking to operate in-location progressive games shall first obtain from the Illinois Department of Healthcare and Family Services (HFS) all necessary permissions and certifications to conduct past-due child support withholdings in accordance with 89 Ill. Adm. Code 160.70(q), including credentials to access the Gaming Intercept Program Certification System (GIPCS) database.

b) After being presented with a progressive jackpot voucher and a completed progressive jackpot form, the terminal operator shall:

1. Confirm that the individual seeking to redeem the jackpot winnings is the same individual whose identifying information appears on the progressive jackpot form using any of the identification listed in Section 1800.2030(c);

2. Complete all necessary tax forms;

3. Access the GIPCS to determine if the progressive jackpot winner has past-due child support subject to withholding under 89 Ill. Adm. Code 160.70(q); and

4. Withhold from the progressive jackpot winnings any past-due child support that the GIPCS indicates a jackpot winner may owe and remit the required amount to the HFS Division of Child Support Services (DCSS) in a manner prescribed by HFS.

c) For the withholding of past-due child support, the terminal operator shall be entitled to an administrative fee of four percent of the total amount of cash winnings paid to the progressive jackpot winner, up to $150.

d) Only mandatory taxes shall be withheld from the progressive jackpot before the amount due to DCSS and the administrative fee. Voluntary taxes elected to be withheld by the progressive jackpot winner shall be deducted from the amount remaining due to the progressive jackpot winner, if any, after mandatory taxes and the amount due DCSS. In no event shall the total amount withheld from the progressive jackpot, including the unpaid child support deduction, administrative fee and withheld taxes, exceed the total cash winnings of the progressive jackpot winner.

e) If there is a withholding for an amount due DCSS, the terminal operator shall provide the progressive jackpot winner with a Notice of Gaming Intercept provided by DCSS.

f) A terminal operator that, in good faith, complies with the requirements of this Section shall not be further liable to the progressive jackpot winner or any other individual or entity, other than the Board, for disputed past-due child support amounts or withheld taxes.

History

• Source: Added at 44 Ill. Reg. 3205, effective February 7, 2020

11 Ill. Adm. Code 1800.2060 Progressive Jackpot Coordinator

a) Each terminal operator offering in-location progressive games shall employ a progressive jackpot coordinator. The terminal operator shall disclose the progressive jackpot coordinator to the Administrator.

b) No terminal operator may offer in-location progressive games until a progressive jackpot coordinator has been disclosed and approved by the Administrator.

c) The progressive jackpot coordinator will facilitate all aspects of the progressive jackpots, including, but not limited to:

1. Coordinating all necessary approvals and credentials with HFS;

2. Creating and distributing the progressive jackpot form;

3. Coordinating with progressive jackpot winners to pay out the jackpot; and

4. Ensuring that all payments and withholdings are conducted in accordance with all applicable laws and regulations, including this Part.

History

• Source: Added at 44 Ill. Reg. 3205, effective February 7, 2020

Chapter I Illinois Gaming Board

Part 1800 Video Gaming (general)

11 Ill. Adm. Code 1800.2070 Progressive Meters

a) Any video gaming terminal featuring progressive jackpots that does not comply with the Act and this Section shall not be deployed or offered for patron play. All provisions of this Section apply to both progressive meters within individual video gaming terminals and progressive meters within linked progressive jackpot controllers.

b) No video gaming terminal progressive meter shall be manually set for any reason except as permitted or required by this Section.

c) The central communications system shall provide for recording stored value. Stored value is a progressive jackpot amount that has accumulated in the central communications system but has not been awarded as a prize. Stored value amounts shall be associated with a specific, single video gaming location license. Stored value shall not be transferrable between video gaming location licenses.

d) Upon initial installation of a video gaming terminal at a location, all progressive meters shall be at their minimum default value, except in the case where the location has stored value. Any stored value shall be applied to a newly installed video gaming terminal progressive meter to the maximum permitted by the video gaming terminal, and deducted from the stored value amount.

e) Upon removal of a video gaming terminal from a location when that video gaming terminal has greater than the minimum default value on its progressive meters, that value shall be transferred to one or more video gaming terminal progressive meters at the same location. If the amount of the progressive meter value exceeds the maximum capacity of all video gaming terminal progressive meters at the location, the remaining value shall be added to the location’s stored value amount.

f) On at least a quarterly basis, each terminal operator shall identify any active video gaming locations it serves with a non-zero stored value. For each identified location, the terminal operator shall transfer the maximum possible stored value to one or more video gaming terminal progressive meters at that location.

g) A video gaming terminal progressive meter may only be manually set in the following circumstances:

1. To restore a meter to its previous value prior to a system failure or maintenance which required clearing the meter;

2. To move a meter value from a video gaming terminal which is being removed from a location to another video gaming terminal at the same location;

3. To apply stored meter value to a video gaming terminal;

4. To clear the progressive meter of any video gaming terminal being removed from a location; or

5. For any other cause not expressly prohibited by this Section after prior approval by the Administrator.

History

• Source: Added at 46 Ill. Reg. 18049, effective October 31, 2022

11 Ill. Adm. Code 1800.2110 Statement of Purpose

The purpose of this Subpart is to implement the underage gambling provisions of Section 79.5 of the Act, which directs the Board to establish a policy and standards for compliance operations to investigate whether a licensed establishment, licensed fraternal establishment, licensed veterans establishment, or licensed truck stop establishment is:

a) permitting any person under the age of 21 years to use or play a video gaming terminal in violation of the Act; or

b) furnishing alcoholic liquor to persons under 21 years of age in violation of the Liquor Control Act of 1934 [235 ILCS 5].

History

• Source: Added at 44 Ill. Reg. 11134, effective June 22, 2020

11 Ill. Adm. Code 1800.2120 Program Considerations

In implementing the provisions of this Subpart, Board investigators shall do the following:

a) Undertake underage video gaming compliance checks with the ultimate goal of visiting all licensed video gaming locations in the State according to an annualized schedule that ensures random visitations.

b) Initiate unscheduled operations based upon a review of citizen reports or police complaints. Summary reports shall articulate the basis of unscheduled operations.

c) Use operational plans and operational checklists.

d) Seek legal advice as appropriate from the Board's general counsel regarding the conduct and pattern of compliance checks, evidence handling, arrests, confidential source criteria, and reporting.

History

• Source: Added at 44 Ill. Reg. 11134, effective June 22, 2020

11 Ill. Adm. Code 1800.2130 Utilization of Confidential Sources

Confidential sources may be used to enforce the provisions of this Subpart. The use of confidential sources shall comply with the following:

a) Confidential sources shall be of good character. An independent background check on each confidential source shall verify his or her official birth record, lack of criminal history, and acceptable driving record.

b) Confidential sources shall be either 18 or 19 years of age. They shall not alter their appearance, shall not have beards or moustaches or use any form of disguises, and shall dress in a manner appropriate to their age group.

c) A background check shall be conducted on each confidential source.

d) Each confidential source shall sign a Youth Participation Consent and Underage Gambling Participant Acknowledgment form as specified in Exhibits A and B. A Board investigator shall ascertain that these forms are understood by the confidential source.

e) A photograph shall be taken of each confidential source to establish physical appearance independent of witness testimony. These photographs shall be processed and secured for evidence.

f) A confidential source shall be searched and allowed to carry only a valid State identification issued by the Office of the Secretary of State or no identification. Under no circumstances shall fraudulent or fictitious identification cards be used by a confidential source.

g) A confidential source shall agree to make all reasonable efforts to be available for hearings or court proceedings and, if possible, to wear the same clothing at these hearings or court proceedings as on the date of the compliance check operation in which he or she participated.

h) A confidential source shall receive an orientation on utilization of a video gaming terminal.

i) A confidential source shall receive orientation training on entrapment issues. He or she shall be admonished to act as follows while engaged in a compliance check operation:

A) Carry only a valid State identification issued by the Secretary of State or no identification.

B) Carry no fraudulent or fictitious identification cards.

C) If asked for identification, present it to the requesting employee, manager or owner of the licensed video gaming location.

D) If asked for age after presentation of identification, state that his or her age is that listed on the identification.

E) If asked for age without being asked to present identification, respond truthfully.

F) Limit conversation so as not to persuade or pressure the licensed video gaming location.

j) All service as a confidential source under this Subpart shall be strictly voluntary and without any coercion.

History

• Source: Added at 44 Ill. Reg. 11134, effective June 22, 2020

11 Ill. Adm. Code 1800.2140 Provision of Funds

Confidential sources shall be provided with official advanced funds issued in compliance with the Illinois State Police policy for Official Advanced Funds (OPS-44) or other funds made available to the Board from State appropriations, State or federal agency grants, or other funding sources. Funding sources may set specific conditions for the expenditure and accounting of funds received by the Board under this Section. The Board shall ensure that all conditions of accounting and restrictions on expenditures established by a funding source are met before authorizing any expenditure or disbursement of the funds. All funds designated to be expended for an underage compliance check detail shall adhere to the following requirements:

a) The funds shall be photocopied in advance and kept with the case file.

b) The funds shall not be expended for food of any type.

c) Purchases of alcohol, for covert use, shall be pre-approved by the detail supervisor.

d) Confidential source payment shall be pre-approved by the detail supervisor.

e) Expenditure of funds by a confidential source shall be pre-approved by the detail supervisor.

f) Funds expended for surveillance shall be pre-approved by the detail supervisor.

History

• Source: Added at 44 Ill. Reg. 11134, effective June 22, 2020

11 Ill. Adm. Code 1800.2150 Operational Procedures

a) A compliance check operation plan under this Subpart shall be submitted prior to each detail and shall be approved by the Board investigator serving as operations officer prior to implementation.

b) When practicable, operation compliance checks shall be conducted outside of the peak hours of business of a licensed video gaming location.

c) A photograph shall be taken of the confidential source on each day or night of the compliance check operation showing his or her appearance and dress. This photograph shall be available for any type of hearing relating to the operation, along with an investigator who either took the photograph or observed the photograph being taken.

d) A Youth Participant Consent Form and Underage Gambling Participant Acknowledgment Form in substantially the form set forth in Exhibits A and B shall be signed by the confidential source and kept on file by the Board before the confidential source begins participation in any compliance check operation. An investigator shall ensure that the confidential source understands the instructions and parameters of both forms.

e) Before a compliance check operation begins, an investigator shall check the confidential source to ensure that he or she possesses only valid identification. A photocopy of the valid identification shall be made for later possible presentation at a hearing.

f) Board investigators shall be assigned to each detail team. The roles of the investigators shall be as follows:

1. Detail supervisor. For purposes of this Subpart U, "detail supervisor" means the highest ranking officer in charge of the underage compliance operation.

2. Covert investigator.

3. Investigator/handler who accompanies the confidential source.

4. Contact investigator whose assignments shall be to identify and confront the employee of the licensed video gaming establishment responsible for monitoring the video gaming terminals.

5. Additional investigators to serve in a support capacity at the discretion of the operations officer.

g) The investigator/handler shall direct the confidential source to enter the licensed video gaming location after surveillance positions have been taken up by covert investigators.

h) A confidential source shall enter a licensed video gaming location alone and proceed directly to the video gaming terminals.

i) The covert investigators shall always conduct observation inside the licensed video gaming location when the confidential source is attempting to gamble. They shall enter the licensed video gaming location alone and shall not be in close proximity to the confidential source

j) The confidential source shall sit at a video gaming terminal and insert a pre-determined dollar amount of funds into the terminal. The confidential source shall play the minimum bet per hand for a pre-determined number of plays. After these plays have been completed, the confidential source shall cease play and obtain a voucher from the video gaming terminal. The confidential source shall then exit the licensed video gaming location, make contact with the Board investigators, and give the voucher to the investigators.

k) The investigators and confidential source shall immediately record details of the underage compliance check on an Underage Gambling Field Notes form that shall be retained by the Board and uploaded to a report.

l) If a violation is found as a result of an underage compliance check operation, an investigator shall identify himself or herself to the on-site manager of the licensed video gaming location, explain to him or her the nature of the violation, ascertain the identity of the employee responsible for monitoring the video gaming terminals, and obtain licensee information, photographs, and all other necessary information.

m) If no violation is observed, the licensed video gaming location shall be notified within 30 days after the compliance operation that no violation has been found.

History

• Source: Added at 44 Ill. Reg. 11134, effective June 22, 2020

11 Ill. Adm. Code 1800.2160 Reporting and Evidence

a) A separate report shall be generated for each licensed video gaming location found to be in violation under this Subpart. This report shall set forth details of the compliance operation and specify whether the compliance operation was scheduled or based on a citizen report or police complaint. It shall include, at a minimum, information recorded from the confidential source, investigator/handler, and detail supervisor. In addition, all necessary paperwork shall be completed, including documentation of the transfer, receipt and expenditure of funds provided under Section 1800.2140.

b) Evidence generated by a compliance check operation that results in a finding of violation shall be marked, transported, copied and secured at headquarters by the designated investigator.

History

• Source: Added at 44 Ill. Reg. 11134, effective June 22, 2020

11 Ill. Adm. Code 1800.2170 Cooperation with Local Law Enforcement Agencies

All Board investigators engaging in underage compliance check operations under this Subpart shall comply with the directive in Section 79 of the Act to exercise their powers, to the fullest extent practicable, in cooperation with the local police department of the applicable municipality or, if these powers are exercised outside the boundaries of an incorporated municipality or within a municipality that does not have its own police department, in cooperation with the police department whose jurisdiction encompasses the applicable municipality.

History

• Source: Added at 44 Ill. Reg. 11134, effective June 22, 2020

11 Ill. Adm. Code 1800.EXHIBIT A Youth Participant Consent Form

Name

Date of birth

Date of birth documentation: (require youth participant to produce and attach a copy of some legal proof of age)

Birth certificate

passport

driver's license

Instructions: Carefully read each line below and initial each line. Please ask questions about anything you do not completely understand. Your signature indicates that you understand and are willing to abide by all the terms of this agreement.

1. I understand that the purpose of the compliance check operation is to assess the compliance with gambling laws by attempting to gamble at licensed video gaming locations by playing video gaming terminals.

2. I understand and agree that I am not to pursue or participate in any operation relating to alleged gambling violations unless I am under the direct supervision of a law enforcement officer or licensing inspection official.

3. I understand that specific information about the unannounced compliance checks is confidential and agree that I will not discuss plans, dates, times, outcomes, or details of specific inspections, including but not limited to licensed video gaming locations, nor the identify or description of law enforcement personnel working in plain clothes, unless directed by officials of the Illinois Gaming Board or pursuant to legal proceedings.

4. I agree not to violate any laws or commit any crimes while participating in unannounced compliance checks.

5. I understand that if I violate any laws, except the one from which I am granted immunity, I may be responsible for those violations.

6. I agree to relinquish all gambling vouchers generated as a result of these compliance checks and all unused money to the detail supervisor.

7. I understand that the objective of compliance checks is to test compliance. A successful compliance check is one in which the licensed video gaming location refuses to allow me to participate in gambling, acting in compliance with the law. I must not pressure or coerce an employee, manager or owner of a licensed video gaming location into allowing me to gamble at the location.

8. I agree to be completely truthful when reporting what happened during each compliance check.

9. I have participated in orientation provided by the Illinois Gaming Board and I agree to adhere to the protocol explained in that orientation.

Youth's name (print)

Youth's signature

Date

Witness

(Illinois Gaming Board)

Date

History

• Source: Added at 44 Ill. Reg. 11134, effective June 22, 2020

11 Ill. Adm. Code 1800.EXHIBIT B Underage Gambling Participant Acknowledgement

Name of participant

Date of birth

Driver's license or Illinois Identification Card #

Address

Telephone number

INSTRUCTIONS

1. Do not consume any alcoholic liquor.

2. Possess only valid identification.

3. If you are asked for identification (ID), show it.

4. If an employee, manager or owner of the location asks your age after you have shown your ID, point to the ID and say, "it's right there" or state your actual age.

5. If an employee, manager or owner of the location does not ask for your ID but merely asks how old you are, either hand the clerk your ID and say, "it's right there" or state your actual age.

6. Do not argue or ask to gamble. Once you have been refused service, the transaction is complete.

7. After exiting an establishment with a voucher from a video gaming terminal, transfer the voucher to the designated officer, following procedures established to ensure both proper handling of evidence and confidentiality.

8. Immediately record all details of each transaction.

9. In no way does your participation in this operation vest in you any authority to perform the duties of a police officer under the laws of the State of Illinois.

10. Your signature on this document verifies that you are participating in this operation of your own free will and you are not participating in this operation as a result of any threat made against you or others.

I have read and understand the above instructions.

Signature of Participant

Date

History

• Source: Added at 44 Ill. Reg. 11134, effective June 22, 2020

Chapter I Illinois Gaming Board

Part 1900 Sports Wagering

11 Ill. Adm. Code 1900.110 Board Meetings

a) 86 Ill. Adm. Code 3000.105, except subsection (f) of that Section, shall apply to Board meetings under the Act.

b) Requests for Board action by a master sports wagering licensee, management services provider licensee, supplier licensee, or tier 2 official league data provider licensee shall be given initial consideration by the Board at one meeting and be given final consideration by the Board at a subsequent meeting. The Board may waive this requirement by motion.

11 Ill. Adm. Code 1900.120 Definitions

For purposes of this Part the following terms shall have the following meanings:

"Abnormal wagering activity": Wagering activity exhibited by patrons and deemed by the master sports wagering licensee or management services provider licensee as a potential indicator of suspicious activity. Abnormal wagering activity may include the size of a patron's wager or increased wagering volume on a particular event or wager type. Abnormal wagering activity may include a pattern of behavior by one or more patrons.

"Act": The Sports Wagering Act [230 ILCS 45/Art. 25].

"Affiliate": An "affiliate of", "affiliated entity of", or person "affiliated with" another person shall mean a person that directly, or indirectly through one or more intermediaries, owns, controls, is controlled by, or is under common ownership or control with, the other person.

"Applicant": A person applying for any license under the Act.

"Application": All material, including the instructions, definitions, forms and other documents issued by the Illinois Gaming Board, or submitted to the Illinois Gaming Board by an applicant.

"Attributed interest": A direct or indirect interest in an enterprise deemed to be held by an individual not through the individual's actual holdings but, pursuant to a plan, arrangement, agreement or contract, either:

through the holdings of the individual's relatives; or

through a third party or parties on behalf of the individual.

"Board": The Illinois Gaming Board.

"Business entity" or "Business":

a partnership;

incorporated or unincorporated association or group;

firm;

corporation;

limited liability company;

partnership for shares;

trust;

sole proprietorship; or

other business enterprise.

"Cancelled wager": A wager that was valid at the time that it was made, but has since been invalidated due to an event or action that prevents its completion.

"Client" or "Client software": Any software or application installed or operating on a patron's device for the purpose of interacting with an internet wagering system and conducting internet wagering.

"Collegiate sport or athletic event": An intercollegiate contest, event, or game at which two or more persons participate, conducted under the auspices of a Board recognized college sports governing body.

"Control": The possession, direct or indirect, of power to direct or cause the direction of the management and policies of an applicant or licensee through the ownership of voting securities, by contract or otherwise.

"Designated gaming area": The portion of a facility not accessible to the public in which the actual operation of sports wagering occurs, including, but not limited to, the employee side of a sports betting window or counter, surveillance rooms, count rooms, or rooms containing wagering equipment other than publicly accessible and operational kiosks. "Designated gaming area" does not include off site servers or data centers located at a facility where in person wagering does not occur.

"Gaming operation": Has the meaning ascribed in 86 Ill. Adm. Code 3000.100.

"Institutional investor":

A retirement fund administered by a public agency for the exclusive benefit of federal, State or local public employees;

An investment company registered under section 8 of the Investment Company Act of 1940 (15 USC 80a-8);

A collective investment trust organized by a bank under Part 9 of the Rules of the Comptroller of the Currency (12 CFR 9.18);

A closed end investment trust registered with the U.S. Securities and Exchange Commission;

A chartered or licensed life insurance company or property and casualty insurance company;

A federal or state bank;

An investment advisor registered under the Investment Advisors Act of 1940 (15 USC 80b-1 through 80b-21); or

Other person the Board may determine for reasons consistent with the Act and this Part.

"Internet wagering": The conduct of sports wagering activities over the internet between a master sports wagering licensee and a patron, through use of an internet wagering system.

"Internet wagering system": Collectively, all hardware, software, and communications technology that is used by a master sports wagering licensee to offer sports wagering to patrons over the internet, including any client software.

"Key person ": A person identified by the Board as subject to regulatory approval as a person able to control or exercise significant influence over the management, assets, or operating policies of master sports wagering, management services provider, supplier, or tier 2 official league data provider licensee.

"Kiosk": Any kiosk, terminal, machine, or other device through which a patron may place or redeem an in person wager without requiring the involvement of an employee.

"Layoff bet": A wager placed between two master sports wagering licensees on the outcome of a sports event for the purpose of offsetting or managing risk by reducing the theoretical maximum exposure of a master sports wagering licensee.

"License": Authorization granted by the Board permitting a licensee to engage in the defined activities of sports wagering.

"Licensee": A person that holds a license granted by the Board pursuant to the Act.

"Minor league": Those events, contests, individuals, and entities affiliated with a sports governing body that do not constitute the highest level of play or competition under that sports governing body.

"Occupational licensee": An individual who holds an occupational license granted by the Board under the Act.

"Official league data provider": An individual, partnership, corporation or limited liability company that is licensed under the Act to provide official league data pursuant to an agreement with a relevant sports governing body for determining the outcome of tier 2 sports wagers.

"Organization gaming facility": Has the meaning ascribed in 86 Ill. Adm. Code 3000.100.

"Ownership interest": Includes, but is not limited to:

direct, indirect, beneficial or attributed interest;

holder of stock options, convertible debt, warrants or stock appreciation rights; or

holder of any beneficial ownership or leasehold interest in a business entity.

"Person": An individual, partnership, committee, association, corporation, or any other organization or group of persons.

"Problem gambling": A repetitive set of gaming behaviors that negatively impacts someone's life.

"Professional sport or athletic event": A contest, event, or game at which two or more persons participate and all participants receive compensation in excess of actual expenses for their participation in that event.

"Redemption kiosk": Any kiosk, terminal, machine, or other device through which a patron may redeem an in person wager without requiring the involvement of an employee regardless of whether the redemption is for currency or for a redemption ticket.

"Responsible gaming": All of the following:

Policies for reducing harms related to gaming;

Providing a transparent and fair game;

Playing within time and money limits; and

Gaming for entertainment and fun.

"Sole proprietor": An individual who, in his or her own name, owns 100% of the assets and who is solely liable for the debts of a business.

"Sports wagering operation": The conduct of authorized sports wagering under the Act and all related activities, including, but not limited to, accepting wagers, redeeming wagers, accounting, security, surveillance, marketing, and advertising.

"Sports wagering system": Collectively, all hardware, software, communications technology, and sports wagering equipment used to conduct sports wagering activity.

"Supplier": An individual, partnership, corporation or limited liability company that is licensed under the Act to sell or lease sports wagering equipment, systems, or other gaming items to conduct sports wagering and offer services related to the equipment or other gaming items and data to a master sports wagering licensee.

"Suspicious wagering activity": Unusual betting activity that cannot be explained and may be indicative of match fixing, the manipulation of an event, misuse of inside information, money laundering, or other prohibited or illegal activity.

"Theoretical maximum exposure": The maximum possible amount that a master sports wagering licensee may be required to pay out on accepted wagers that have been placed on events whose outcomes have not yet been determined.

"Void wager" or "Voided wager": A wager that was not valid at the time it was placed or a wager that was valid at the time it was placed but has since become invalid for any reason, including but not limited to, the change in eligibility status of a patron or subject of the wager.

"Wagering equipment": A machine, mechanism, device, or implement that is integral to the operation of sports wagering, or that monitors, records, or determines the outcome of any wager, including, without limitation:

electronic, electrical, or mechanical devices for the making or recording of wagers;

any system for displaying or determining wager information;

any kiosk, terminal, or other device for the redemption of a wager;

computer monitoring systems; and

hardware and software related to any item described in this definition.

"Wagering kiosk": Any kiosk, terminal, machine, or other device through which a patron may place an in person wager without requiring the involvement of an employee.

History

• Source: Amended at 45 Ill. Reg. 3460, effective March 4, 2021

11 Ill. Adm. Code 1900.130 Cooperation with Investigations

The Board finds that the integrity of sports wagering and the health, safety, and welfare of the people of the State of Illinois can be ensured only through cooperation by the Board, law enforcement agencies, licensees, and sports governing bodies.

a) Board Cooperation with Investigations by Law Enforcement Agencies and Sports Governing Bodies

1. A law enforcement agency or sports governing body may submit a request for cooperation to the Administrator. The request for cooperation shall be in writing and shall include the following:

A) Name and address of the agency or entity making the request;

B) Name, title, phone number, and email address of the individual making the request;

C) A summary of the general nature of the conduct under investigation; and

D) A description of the information, data, records, or other cooperation desired.

2. The Administrator may grant or deny the request for cooperation. Denial of a request for cooperation shall be in writing. In evaluating a request for cooperation, the Administrator shall consider all factors, including, but not limited to:

A) The nature and extent of cooperation requested;

B) The nature of the behavior being alleged;

C) The benefit to the integrity and security of sports wagering in the State of Illinois; and

D) Whether and to what extent granting the request would adversely impact the ongoing operations of the Board, the State of Illinois, or the sports wagering industry in Illinois.

b) Licensee Cooperation with Investigations by Law Enforcement Agencies and Sports Governing Bodies

1. A law enforcement agency or sports governing body may submit a request for cooperation to a master sports wagering licensee or management services provider licensee, with a copy submitted to the Administrator. The request for cooperation shall be in writing and shall include the following:

A) Name and address of the agency or entity making the request;

B) Name, title, phone number, and email address of the individual making the request;

C) A summary of the general nature of the conduct under investigation; and

D) A description of the information, data, records, or other cooperation desired.

2. The licensee may voluntarily grant or deny the request for cooperation. Denial of a request for cooperation shall be in writing, and shall be submitted to the requesting entity and the Administrator. A denial of a request for cooperation by a master sports wagering licensee must be for good cause, and must include a detailed explanation as to why the licensee will not cooperate.

3. Upon receiving a denial of a request for cooperation from a licensee, the Administrator may issue an order requiring the licensee to cooperate with the request. In determining whether to issue such an order, the Administrator shall consider all factors listed in subsection (a)(2).

c) Any information provided by the Board or a licensee to any sports governing body under this Section is strictly confidential and shall not be used for any purpose other than the purpose that was stated in the request for cooperation. The information may not be disclosed to any third party other than for the purposes of resolving an integrity-related investigation, to law enforcement entities, or pursuant to a lawful court order, unless approved by the Administrator.

d) A sports governing body shall notify the Administrator and cooperating licensee in writing upon receipt of any court order requiring disclosure of information obtained under this Section.

History

• Source: Amended at 45 Ill. Reg. 3460, effective March 4, 2021

11 Ill. Adm. Code 1900.150 Licenses Required

No person may engage in any activity relating to sports wagering in this State unless all required licenses have been obtained in accordance with the Act and this Part [230 ILCS 45/25-20(a)].

a) Master Sports Wagering License. To conduct sports wagering, an owners licensee, organization licensee, online sports wagering operator, or sports facility is required to hold a master sports wagering license.

b) Occupational License. A person employed by a master sports wagering licensee or management services provider licensee, and who works in a designated gaming area or performs duties in furtherance of or associated with the operation of sports wagering by the master sports wagering licensee, is required to hold an occupational license. An occupational licensee may perform any activity included within the licensee's level of occupational license or any lower level of occupational license.

1. Level 1 occupational license includes the following positions, or their equivalent:

A) Audit Manager;

B) Chief of Security;

C) Chief of Surveillance;

D) Chief Financial Officer and/or Controller;

E) General Manager;

F) IT Manager;

G) Sports Wagering Manager;

H) Any individual with direct authority over the setting of betting lines, point spreads, odds, or their equivalent;

I) Any other individual who the Board determines holds a position or a level of ownership, control or influence that is material to the regulatory concerns and obligation of the Board for the specified licensee or applicant.

2. Level 2 occupational license is a license held by a security, surveillance, compliance, or sports wagering employee not required to hold a level 1 occupational license under subsection (b)(1).

3. Level 3 occupational license is a license held by an employee not already required to hold a level 1 or level 2 occupational license who, by nature of his or her employment, has unsupervised access to a designated gaming area.

c) Supplier License. The following persons are required to hold a supplier license:

1. Seller or lessor of wagering equipment, systems, or other items to conduct sports wagering, including a manufacturer, distributor, wholesaler, or retailer.

2. Provider of wagering equipment maintenance or repair services.

3. Provider of gaming data, including, but not limited to, the setting of betting lines or odds making.

4. Provider of security services at designated gaming areas.

5. Any other purveyor of goods, data, or services to a master sports wagering licensee or management services provider licensee, as deemed necessary by the Board if the Board determines that the goods, data, or services impact the integrity or security of the sports wagering operation.

d) Management Service Provider License. Any person contracting with a master sports wagering licensee to conduct the operation of sports wagering on behalf of the master sports wagering licensee is required to hold a management services provider license.

e) Tier 2 Official League Data Provider License. Any sports governing body, league, organization, or association, or a vendor authorized by a sports governing body, league, organization, or association providing tier 2 official league data is required to hold a tier 2 official league data provider license.

History

• Source: Amended at 45 Ill. Reg. 3460, effective March 4, 2021

11 Ill. Adm. Code 1900.160 Service Via E-Mail

a) As a condition of application and licensure, applicants and licensees consent to receiving service of Illinois Gaming Board notices and letters via e-mail from the Illinois Gaming Board unless other means of service are required by rule.

b) Each applicant and licensee has an ongoing duty to:

1. Update with the Board the e-mail address at which it may be served, if that address changes; and

2. Verify that the application has an updated e-mail address no less than annually.

c) Each applicant and licensee may designate up to two additional e-mail addresses at which notice may be served. Each designated e-mail address must be owned by the applicant or licensee if an individual, or by the applicant, licensee, its owner, or a key person of the applicant or licensee if a business entity.

d) E-mail notices shall be deemed served on the date of the transmission, unless a delivery error is received on the Board's e-mail server for all of the licensee's designated e-mail addresses.

e) If a delivery error is received by the Board for all of the applicant's or licensee's designated e-mail addresses, then the notice or letter will be served via personal service or certified U.S. Mail until the applicant or licensee updates the designated e-mail address.

11 Ill. Adm. Code 1900.210 General Duties of All Licensees

In addition to all other duties and obligations required by the Act and this Part, each licensee and applicant for licensure under the Act has an ongoing duty to:

a) Comply with all federal, State and local laws and regulations;

b) Comply with all adopted internal controls of a master sports wagering licensee;

c) At all times, conduct themselves in a professional manner when communicating with licensees, the public and the Board;

d) Disclose all ownership interests to the Board in accordance with the Act and this Part;

e) Conduct the licensee's sports wagering operation in a manner that does not pose a threat to the public health, safety, morals, good order or general welfare of the people of the State of Illinois;

f) Conduct the licensee's sports wagering operation in a manner that does not discredit or tend to discredit the Illinois gaming industry or the State of Illinois;

g) Conduct the licensee's sports wagering operation in a manner that does not reflect adversely on the security or integrity of the Illinois sports wagering industry;

h) Keep current in all payments and obligations to the State of Illinois and to other licensees with whom sports wagering business is conducted;

i) Maintain suitability for licensure at all times; and

j) Cooperate with Board investigations.

11 Ill. Adm. Code 1900.220 Continuing Duty to Report Information

Licensees, key persons, and applicants for licensure under the Act have a continuing duty to report certain information to the Administrator or his or her designee.

a) Licensees, key persons, and applicants for licensure under the Act must report promptly the following information to the Administrator or his or her designee as soon as is reasonably possible:

1. Any fact, event, occurrence, matter or action that may affect the conduct of sports wagering or the business and financial arrangements incidental to the conduct of sports wagering, or the ability to conduct the activities for which the licensee is licensed;

2. Each arrest, summons, citation or charge for any criminal offense or violation, excluding minor traffic violations, if the disclosure would have been required at time of application. Information to be reported under this subsection (a)(2) shall include, but not be limited to, all changes relating to criminal arrest or criminal proceeding disposition history concerning any criminal offense under the laws of any jurisdiction or the Uniform Code of Military Conduct, in any state or foreign country;

3. Identity of key persons; and

4. Any changes in or new agreements relating to designees pursuant to Section 25-40 of the Act, if those agreements or changes will go into effect in less than 30 days.

b) Licensees, key persons, and applicants for licensure under the Act must report the following information to the Administrator or his or her designee within 30 days:

1. Any changes or additions to material information provided in an application for licensure under the Act;

2. Any changes in or new agreements relating to designees pursuant to Section 25-40 of the Act;

3. Having been named as a defendant in any civil action based in whole or in part on allegations of conduct that constitutes fraud, misrepresentation or omission of material information, breach of fiduciary duty, unfair or deceptive trade practices, or a violation of the Illinois False Claims Act [740 ILCS 175] or any similar law in any other jurisdiction;

4. Identity and contact information of legal counsel, if any;

5. Any adverse action relating to any gaming license or operation in any other jurisdiction; and

6. Any nonrenewal of, or failure to timely renew, a gaming license in any other jurisdiction.

History

• Source: Amended at 45 Ill. Reg. 3460, effective March 4, 2021

11 Ill. Adm. Code 1900.230 Duties of Master Sports Wagering Licensees

In addition to all other duties and obligations required by the Act and this Part, each master sports wagering licensee has an ongoing duty to comply with the following:

a) For master sports wagering licensees other than online sports wagering operators, maintain a secure premise for the conduct of a sports wagering operation;

b) Prevent unaccompanied access to designated gaming areas by individuals that do not hold occupational licenses;

c) Maintain an approved method of payout for valid receipt tickets and redeem for cash each valid receipt ticket that is within its redemption period;

d) Assume the primary responsibility for the sports wagering operation;

e) Assume responsibility for payment of tax remittance to the State, as required by the Act;

f) As required by the Board, obtain and install, at no cost to the State, all hardware, software and related accessories necessary to allow for remote monitoring of sports wagering by the Board;

g) Accept no prohibited wagers;

h) Install, post and display signs as required by the Board, including signs indicating that sports wagering is limited to persons 21 years of age or older, and signs relating to problem gambling;

i) Provide the Board, upon request, an accounting of all wagering activity or any subset of wagering activity;

j) Make commercially reasonable efforts to promptly notify the Board and any relevant sports governing body of any information relating to:

1. Abnormal wagering activity or patterns that may indicate a concern with the integrity of sports events;

2. Any potential breach of the relevant sports governing body's internal rules and codes of conduct pertaining to sports wagering of which a licensee has knowledge; and

3. Any other conduct that corrupts a wagering outcome of sports events for purposes of financial gain, including match fixing;

k) Make commercially reasonable efforts to promptly notify the Board of any information relating to:

1. Criminal, disciplinary, or regulatory proceedings commenced against the master sports wagering licensee or affiliated person in connection with its gaming operations in any jurisdiction; and

2. Suspicious or illegal wagering activities, including use of funds derived from illegal activity, wagers to conceal or launder funds derived from illegal activity, using agents to place wagers, and using false identification;

l) Conduct investigations as to the background and qualifications of all applicants for employment by the licensee who require occupational licensure;

m) Provide oversight of any management services provider licensee or other designee with whom the master sports wagering licensee contracts to conduct its sports wagering operation;

n) Provide to the Board any contract or agreement with a management services provider licensee or other master sports wagering licensee to be a designee under Section 25-40 of the Act;

o) Document and investigate any report by an employee of any violation of the Act, this Part, or the master sports wagering licensee's internal control system, and provide a summary of those reports and investigations to the Board quarterly; and

p) Report to the Administrator or his or her designee any facts the licensee has reasonable grounds to believe indicate a violation of the Act, this Part, or the master sports wagering licensee's internal control system.

11 Ill. Adm. Code 1900.240 Duties of Licensed Suppliers

In addition to all other duties and obligations required by the Act and this Part, each licensed supplier has an ongoing duty to comply with the following:

a) Provide technical assistance and training in accordance with the Act and this Part;

b) Obtain all approvals and certifications required by the Act and this Part;

c) Sell, distribute, lease or market in Illinois only sports wagering equipment that has been tested and certified for use in Illinois; and

d) Promptly notify master sports wagering licensees or management service provider licensees with which the licensed supplier does business if the licensed supplier's hardware or software used in the operation of sports wagering is revoked under any circumstances.

11 Ill. Adm. Code 1900.250 Duties of Management Services Provider Licensees

In addition to all other duties and obligations of the Act and this Part, each management services provider licensee has an ongoing duty to comply with the following:

a) Comply with all duties of a master sports wagering licensee in relation to any sports wagering operation the management services provider licensee conducts on behalf of a master sports wagering licensee; and

b) Cooperate with oversight and investigations conducted by any master sports wagering licensee with which the management services provider licensee contracts.

11 Ill. Adm. Code 1900.260 Duties of Official League Data Providers

In addition to all other duties and obligations of the Act and this Part, each official league data provider has an ongoing duty to comply with the following:

a) Provide to the Board copies of any contracts between the licensee and sports governing bodies pursuant to which the licensee will be providing official league data;

b) Provide to the Board copies of any contracts between the licensee and any master sports wagering licensees pursuant to which the licensee will be providing official league data; and

c) Provide official league data to master sports wagering licensees on commercially reasonable terms.

11 Ill. Adm. Code 1900.270 Duties of Occupational Licensees

In addition to all other duties and obligations of the Act and this Part, each occupational licensee has an ongoing duty to comply with the following:

a) Carry and display identification issued by the Board when working at a sports wagering operation;

b) Return identification to the Board upon resignation or termination of employment; and

c) Report violations of the Act, this Part, or a master sports wagering licensee's internal control system to his or her employer.

11 Ill. Adm. Code 1900.310 Grounds for Disciplinary Actions

a) Holders of any license issued under the Act and identified key persons shall be subject to imposition of fines, suspension, revocation or restriction of license, or other disciplinary action for any act or failure to act by themselves, their agents, their employees, or any other contracted third party that is injurious to the public health, safety, morals, good order and general welfare of the people of the State of Illinois, or that would discredit or tend to discredit the Illinois sports wagering industry or the State of Illinois. Without limiting the provisions of this subsection (a), the following acts or omissions may be grounds for discipline:

1. Failing to comply with, or make provision for compliance with, the Act, this Part, any federal, State or local law or regulation, or a control system or protocol mandated by the Board;

2. Failing to comply with any order or ruling of the Board or its agents pertaining to the regulation of sports wagering in Illinois;

3. Being found ineligible for a gaming license, having an application for a gaming license denied, or having a gaming license of any kind revoked or suspended in any state or other gaming jurisdiction;

4. Employing, associating with, or participating in any enterprise or business with a documented or identifiable organized crime group or recognized organized crime figure;

5. Employing, associating with, or participating in any enterprise or business with persons:

A) Of notorious or unsavory reputation;

B) Who have extensive police records; or

C) Who have failed to cooperate with any officially constituted investigatory or administrative body;

6. Failing to establish and maintain standards and procedures designed to prevent ineligible or unsuitable persons from being employed by the licensee;

7. Misrepresenting any information to the Board or Board staff;

8. Intentionally making, causing to be made, or aiding, assisting or procuring another to make, any false statement in any report, disclosure, application, permit, form, or any other document, including improperly notarized documents, required by the Act, this Part, or Board requirements (e.g., investigative requests, subpoenas, discovery requests);

9. Submitting tardy, inaccurate, or incomplete material or information to the Board;

10. Obstructing or impeding the lawful activities of the Board or its agents;

11. Willfully or repeatedly failing to pay amounts due or to be remitted to the State;

12. Failing to timely pay amounts due or to be remitted to the State;

13. Failing to timely pay a fine imposed by the Board;

14. Failing to respond in a timely manner to communications from the Board or its agents;

15. Being unavailable to the Board or its representatives or agents;

16. Aiding and abetting a violation by a Board member or employee, or other government official, of a requirement established by statute, resolution, ordinance, personnel code, or code of conduct;

17. Violations of the Act or this Part by any person identified as a key person;

18. Employing, associating with, or participating in any enterprise or business with a person determined unsuitable to be a licensee or a key person of an applicant or licensee by the Board or any other gaming jurisdiction;

19. Facilitating, enabling or participating in sports wagering other than in accordance with the Act;

20. Engaging in, or facilitating, any unfair methods of competition or unfair or deceptive acts or practices, including, but not limited to, the use or employment of any deception, fraud, false pretense, false promise or misrepresentation, or the concealment, suppression or omission of any material fact in the conduct of any sports wagering operation;

21. Acting in bad faith in the conduct of any business, transaction, or interaction with any other licensee or applicant, or the Board;

22. Failing to maintain minimum qualifications for licensure; and

23. Any cause that, if known to the Board, would have disqualified the applicant from receiving a license.

b) A licensee whose employment has been terminated is subject to revocation of its license for any act or failure to act that occurred while licensed.

c) A person who has had a license revoked by the Board may not reapply for a license without permission from the Board.

11 Ill. Adm. Code 1900.320 Economic Disassociation

a) Each master sports wagering licensee, management service provider licensee, tier 2 official league data provider licensee, and supplier licensee shall provide a means for the economic disassociation of any key person or holder of an ownership interest in the event the economic disassociation is required by an order of the Board.

b) Based upon findings from an investigation into the character, reputation, experience, associations, business probity, and financial integrity of a key person or a holder of an ownership interest, the Board may enter an order upon a licensee to require the economic disassociation of that person. This includes, but is not limited to, any criteria sufficient for denial of a license under Subpart E.

c) Either the licensee or a person whose economic disassociation has been ordered may contest the order under the provisions of Subpart I. Any hearing relating to an order of economic disassociation shall be a hearing on the merits of the Board's determination that economic disassociation is warranted. Either party may participate in the administrative hearing regardless of which party requested the hearing.

d) In the event that an order of economic disassociation is contested in an administrative hearing, payments owed to the disassociated individual or entity shall be abated and held in escrow until the Board issues a final Board order.

1. If the final Board order results in an economic disassociation, no further payments may be made to the disassociated individual or entity.

2. If the final Board order does not economically disassociate the individual or entity, then the abated payments shall be paid.

e) A violation of an order of economic disassociation may subject a licensee to discipline under Section 1900.310.

11 Ill. Adm. Code 1900.330 Record Retention

a) Each licensee other than an occupational licensee shall maintain in a place, secure from theft, loss or destruction, adequate records of business operations that shall be made available to the Board upon request. These records shall be held for at least as long as prescribed by the periodically published Records Retention Schedule, or longer if otherwise prescribed by general accounting and auditing procedures, litigation needs, or State or federal law. These records shall be maintained in a manner accessible to the Board or in a digital format prescribed by the Administrator.

b) Each master sports wagering licensee, in such manner and for such time period as the Administrator may approve or require, shall keep accurate, complete and legible records of any books, records or document pertaining to, prepared in, or generated by the sports wagering operation, regardless of physical form, characteristics, or subject matter, including, but not limited to, all forms, reports, accounting records, ledgers, subsidiary records, computer maintained and generated data, internal audit records, internal control records, copies of all promotional material, and advertising, correspondence and personnel records.

c) All records shall be organized and indexed in such a manner to provide immediate accessibility to agents of the Board.

d) No original book, record or document required to be maintained by this Section may be destroyed by a licensee prior to the scheduled retention date without prior approval of the Administrator.

e) The Administrator shall publish and periodically update the Retention Schedule.

11 Ill. Adm. Code 1900.340 Advertising and Marketing

a) The Gaming Board's administrative rule at 86 Ill. Adm. Code 3000.680 (Advertising and Marketing) shall apply to all advertising and marketing conducted by or on behalf of any applicant or licensee to promote its Illinois sports wagering operations.

b) Each master sports wagering and management services provider applicant or licensee shall retain a copy of all advertising and marketing materials intended to promote any sports wagering operation in the State of Illinois, including a log of when and how those materials have been published, aired, displayed, or distributed. These materials and logs shall be retained in accordance with the retention schedule prescribed by the Board.

History

• Source: Amended at 49 Ill. Reg. 10003, effective July 17, 2025

Chapter I Illinois Gaming Board

Part 1900 Sports Wagering

11 Ill. Adm. Code 1900.410 Reporting Prohibited Conduct

a) The Board shall establish an electronic form on its website to allow individuals to report allegations of prohibited conduct, criminal behavior, or violations of the Act or this Part.

b) Any individual making a report shall be required to include the following:

1. Summary of the facts supporting the allegation;

2. Affirmation by the individual that all information contained in the report is true and correct to the best of his or her knowledge and belief; and

3. Acknowledgment by the individual that knowingly making false statements in the report may subject the individual to criminal penalties.

c) The identity of any individual making a report and the contents of any report under this Section shall be confidential and not subject to disclosure under the Freedom of Information Act [5 ILCS 140/7(1)(a)] (FOIA).

d) The identity of any individual making a report shall not be disclosed for any reason unless the individual authorizes that disclosure or if the allegation is referred by the Board to a law enforcement agency.

11 Ill. Adm. Code 1900.420 Referral of Investigations

a) Upon receiving a report of prohibited conduct pursuant to Section 1900.410 that the Administrator or his or her designee deems reasonable, Board staff shall conduct a preliminary investigation.

b) After a preliminary investigation, if the Administrator or his or her designee concludes the allegations contained in the report are credible, the Administrator shall refer the allegations to the appropriate law enforcement agency.

c) Referrals under subsection (b)shall be as follows:

1. When the alleged conduct occurs entirely or primarily within the State of Illinois, referrals shall be made to the Office of the Attorney General or to any appropriate State's Attorney;

2. When the alleged conduct occurs entirely or primarily within a state other than the State of Illinois, referrals shall be made to the Attorney General of that state and to any sports wagering regulatory agency of that state, if applicable; or

3. When the alleged conduct implicates interstate commerce or other violation of federal law, referrals shall be made to the Federal Bureau of Investigation.

d) In addition to any referral under subsection (b), if a report alleges prohibited conduct by an athlete, upon determining that the allegations in the report are credible, the Administrator shall notify the appropriate sports governing body in writing. The notification shall include the identity of the athlete, and a general description of the nature of the allegations.

11 Ill. Adm. Code 1900.500 Coverage of Subpart

This Subpart shall govern qualifications for all types of licenses issued by the Board pursuant to the Act.

11 Ill. Adm. Code 1900.510 Suitability for Licensure

a) The burden is upon each applicant to demonstrate suitability for licensure.

b) The Board shall not grant a license to any applicant if that person has been found by the Board to:

1. Have a background, including a criminal record, reputation, habits, social or business associations, or prior activities that:

A) Poses a threat to the public interests of the State or to the security and integrity of sports wagering;

B) Poses a threat to public health, safety, morals, good order and general welfare of the people of the State of Illinois; or

C) Discredits or tends to discredit the Illinois sports wagering industry or the State of Illinois.

2. Creates or enhance the dangers of unsuitable, unfair, or illegal practices, methods, and activities in the conduct of sports wagering; or

3. Presents questionable business practices and financial arrangements incidental to the conduct of sports wagering.

c) In addition to the qualifications required in the Act and this Part, the Board may deny a license to an applicant if the applicant, or a key person of the applicant:

1. Associates with, either socially or in business affairs, or employs a person:

A) Of notorious or unsavory reputation or who has extensive police records;

B) Who has been convicted of a disqualifying offense under Section 1900.520(c); or

C) Who has failed to cooperate with any officially constituted investigatory or administrative body, including, but not limited to, the Board; or

2. Has had a sports wagering or gaming-related license revoked, suspended or denied in Illinois or any other jurisdiction, or is an affiliate of a person who has had a sports wagering or gaming-related license revoked, suspended, or denied in any other jurisdiction.

11 Ill. Adm. Code 1900.520 Minimum Qualifications

a) An applicant for a master sports wagering license, supplier license, management service provider license, or tier 2 official league data supplier license is not eligible for the respective license if the applicant, any owner of the applicant, any key person of the applicant, or any employee who participates in the management of sports wagering operations authorized under the Act:

1. Has been convicted of a felony under the laws of this State, any other state, or the United States;

2. Has been convicted of any violation of Article 28 of the Criminal Code of 1961 or the Criminal Code of 2012 [720 ILCS 5], or substantially similar laws of any other jurisdiction; or

3. Has submitted an application for a license under the Act, or any other documentation, to the Board that contains false information.

b) In addition to the requirements of subsection (a), an online sports wagering operator applying to the Board for a master sports wagering license under Section 25-45 of the Act is not eligible for licensure if the applicant, any owner of the applicant, any key person of the applicant, or any employee who participates in the management or operation of sports wagering operations authorized under the Act has been convicted of a crime involving dishonesty or moral turpitude.

c) A person applying to the Board for an occupational license under Section 25-15(e) of the Act must be an employee of a master sports wagering or management services provider licensee, and must meet the same requirements an applicant for an occupational licensee must meet under Section 9 of the Illinois Gaming Act [230 ILCS 10]. For the purposes of applicability of Section 9(a)(2) of the Illinois Gambling Act, all individuals required to hold a Level 1 or Level 2 occupational license are considered to be performing functions involved in gaming by patrons.

History

• Source: Amended at 50 Ill. Reg. 7151, effective May 1, 2026

Chapter I Illinois Gaming Board

Part 1900 Sports Wagering

11 Ill. Adm. Code 1900.530 Identification and Requirements of Key Persons

a) Applicants and licensees shall disclose the identity of key persons. Key persons must be approved by the Board and maintain suitability as a key person of the licensee.

b) With respect to an applicant for, or the holder of, a master sports wagering license or management service provider license, key person shall include:

1. Any person with an ownership interest or voting rights of 5% or more in the licensee or applicant, and the trustee and beneficiaries of any trust holding the ownership interest or voting rights; and

2. The directors of the licensee or applicant and its Chief Executive Officer, Chief Operating Officer, and Chief Financial Officer, or their functional equivalents, and any managers of a limited liability company.

c) With respect to an applicant for, or holder of, a supplier license or a tier 2 official league data provider license, key person shall include:

1. Any person with an ownership interest or voting rights of 5% or more in the licensee or applicant, and the trustee and beneficiaries of any trust holding the ownership interests or voting rights; and

2. The Chief Executive Officer, Chief Operating Officer and Chief Financial Officer or their functional equivalents.

d) In addition to the persons named in subsections (b) and (c), the key persons include all other persons that the Board determines hold a position or a level of ownership, control or influence that is material to the regulatory concerns and obligations of the Board for the specified licensee or applicant.

e) Individuals required to hold a level 1 occupational license, pursuant to Section 1900.150(b), may also be certified by the Board as key persons. For these individuals, the disclosure and approval requirements and the standards for compliance with this Part shall be those related to key persons.

1. An individual denied an occupational license or whose license is revoked by a final determination of the Board is unsuitable to be, and shall not be allowed to function as, a key person of any applicant or licensee.

2. An individual who, by voluntary action, relinquishes status as a level 1 occupational licensee and remains or becomes a key person shall be required to comply with all requirements imposed by the Board and this Part upon key persons.

f) Each person designated as a key person shall:

1. File an individual personal disclosure form or business entity disclosure form;

2. File, on an annual basis, a disclosure affidavit, updated personal and background information, and updated tax and financial documents and information;

3. Comply with the applicable provisions of this Part and shall disclose promptly to the Board (within 30 days) any material changes in status or information previously provided to the Board;

4. As required, cooperate fully with Board agents in any investigation conducted by the Board;

5. Maintain suitability as a key person; and

6. Be subject to a fine or other appropriate discipline for each act or omission that is grounds for discipline of a licensee under Section 1900.310.

g) An individual identified as a key person of a master sports wagering licensee or management services provider licensee shall not act in that role until after submission of an individual key person personal disclosure form.

11 Ill. Adm. Code 1900.600 Coverage of Subpart

This Subpart shall govern procedures for applying for a master sports wagering license pursuant to Section 25-45 of the Act. When Subpart F conflicts with Subpart G, Subpart F shall apply.

11 Ill. Adm. Code 1900.610 Forms and Submissions

a) The Administrator shall promulgate an Online Master Sports Wagering License Application and Bid Summary Form and cause them to be posted to the Board's website.

b) During any application period, an applicant may submit a bid. A complete bid shall include, at minimum, the following:

1. A completed Online Master Sports Wagering License Application;

2. Business Entity Disclosure Forms or Individual Key Person Personal Disclosure Forms for all key persons;

3. Any and all documents required by Section 1900.715 or Section 1900.720;

4. A completed Bid Summary Form;

5. A completed 5.1 Disclosure of Records statement containing all information responsive to Section 5.1(a) of the Illinois Gambling Act [230 ILCS 10]; and

6. A notarized affirmation by the applicant that the applicant has conducted its own due diligence and investigation, and the applicant and all key persons meet the minimum qualifications of the Act and Section 1900.520.

c) A bid shall be submitted in electronic format to the address listed on the Online Master Sports Wagering License Application.

11 Ill. Adm. Code 1900.620 Initial Competitive Selection

a) The application period for the initial competitive selection pursuant to Section 25-45 of the Act shall commence upon the Administrator posting public notice of the application on the Board website, along with the Online Master Sports Wagering License Application and Bid Summary Form.

b) The Administrator shall post the notice and forms no later than 420 days after the first license of any kind is issued under the Act.

c) The application period shall last for 120 days after the notice and forms are posted.

d) No bid shall be accepted after the close of the application period.

e) Incomplete Bids

1. If the Administrator determines a bid or application is incomplete, the Administrator shall notify the applicant in writing. The notice shall identify any deficiencies in the bid submission.

2. The applicant may supplement its bid submission to remedy any deficiencies. The supplement must be received no later than 30 days after notice is given to the applicant of the deficiencies.

3. If the Administrator determines the bid submission is still incomplete because the applicant failed to supplement its bid submission, or because the supplement did not remedy all deficiencies, the applicant shall be disqualified.

f) Until opened in a public forum pursuant to Section 25-45(e) of the Act, the identity of applicants and contents of bids shall be confidential and not subject to disclosure under FOIA Section 7(1)(a).

g) Applicants and key persons shall submit fingerprints on forms prescribed by the Board no later than 30 days after the close of the application period.

1. An applicant may request an extension of up to 30 days that may be granted by the Administrator for good cause shown.

2. An applicant that fails to timely submit all required fingerprints shall be deemed not a qualified applicant.

h) The Administrator shall review the criminal history of all key persons and applicants not otherwise disqualified and determine whether the applicant meets the minimum qualifications under Section 25-45(d) of the Act and Section 1900.520(b).

1. Any applicant that fails to meet the minimum qualifications shall be deemed not a qualified applicant and disqualified.

2. Any applicant that meets the minimum qualifications of Section 25-45(d) of the Act and Section 1900.520(b) shall be deemed a qualified applicant.

i) The Administrator shall notify an applicant in writing when it is either deemed qualified or disqualified.

j) After every applicant that submitted a bid during the application period has been either disqualified or deemed qualified by the Administrator, the qualified applicants' bids shall be opened in a public forum after no less than 48 hours public notice.

k) At the time of opening, the Administrator shall disclose:

1. The identity of all qualified applicants;

2. The identity of all disqualified applicants;

3. The 5.1 Disclosure of Records statements of all applicants (see Section 1900.610(b)(5)); and

4. The Bid Summary Form of all applicants.

l) No more than 90 days after the publication of the qualified applicants, the Board shall identify three winning bidders. In determining the winning bidders, the Board shall consider the all of following factors:

1. The character, reputation, experience and financial integrity of the applicant, its key persons, and any other person that directly or indirectly controls or is controlled by the applicant or a key person or affiliate of the applicant;

2. The highest prospective total revenue to be derived by the State from the conduct of sports wagering;

3. The extent to which the ownership of the applicant reflects the diversity of the State by including minority persons, women, persons with a disability, and veterans of service in the armed forces of the United States;

4. The good faith affirmative action plan of each applicant to recruit, train and upgrade minority persons, women, persons with a disability, and veterans of service in the armed forces of the United States in all employment classifications;

5. Whether the applicant has adequate capitalization to establish and maintain a sports wagering operation for the duration of a license;

6. The amount of the applicant's license bid;

7. Any factor listed in Section 1900.510; and

8. Any other factor relevant to security and integrity of the Illinois sports wagering industry.

m) After selecting winning bidders, the Board shall conduct an investigation of the applicant to determine whether the applicant is suitable for licensure under the Act and this Part.

n) Pursuant to Section 25-45(g) of the Act, at any point after selecting the winning bidders and before the issuance of a license pursuant to this Subpart F, the Board may make a finding that a winning bidder is not suitable for licensure for any reason under Section 1900.510, and that applicant shall be disqualified. The Board shall select another winning bidder from any remaining qualified applicants.

o) Disqualified applicants under this Subpart F are not entitled to administrative hearings on disqualification.

p) If the Board finds a winning bidder suitable for licensing, it shall direct the Administrator to issue the applicant a license upon payment of the applicant's license fee.

11 Ill. Adm. Code 1900.630 Supplementary Competitive Selection

a) If, at any time after the initial competitive selection for issuance of master sports wagering licenses pursuant to Section 25-45 of the Act, there are fewer than three active master sports wagering licenses, the Administrator may commence a supplementary competitive selection.

b) To commence a supplementary competitive selection, the Administrator shall post public notice on the Board website.

c) The application period shall last for 120 days after the notice is posted.

d) The supplementary competitive selection shall otherwise comply with all other provisions of Section 1900.620.

11 Ill. Adm. Code 1900.700 Coverage of Subpart

This Subpart governs procedures for applying for, renewing and maintaining all types of licenses issued by the Board pursuant to the Act.

11 Ill. Adm. Code 1900.710 Submission of Applications

a) Applicants shall submit electronic copies of the application forms in the manner provided for in the instructions contained in the forms.

b) Application Forms

1. Master Sports Wagering License and Management Services Provider License

A) An applicant that holds or is a current applicant for an owners license or organization gaming license under the Illinois Gambling Act may submit a Master Sports Wagering/Management Services Provider License Application (Short Form). The applicant must also submit all required forms and documents referenced in the License Application (Short Form).

B) All other applicants for a master sports wagering license and management services provider license shall submit a Master Sports Wagering/Management Services Provider License Application, and must include Business Entity Disclosure Forms or Individual Key Person Personal Disclosure Forms for each of the applicant's key persons.

2. Supplier License and Tier 2 Official League Data Provider License

A) An applicant that holds or is a current applicant for a supplier license under the Illinois Gambling Act or a manufacturer, distributor, or supplier license under the Video Gaming Act may submit a Sports Wagering Act Supplier/Tier 2 Official League Data Provider License Application (Short Form). The applicant must also submit all required forms and documents referenced in the License Application (Short Form).

B) All other applicants shall submit a Supplier's License Application Form, and must include Business Entity Disclosure Forms or Individual Key Person Personal Disclosure Forms for each of the applicant's key persons.

3. Occupational License

A) Applicants for a level 1 occupational license shall submit a Personal Disclosure Form 1.

B) Applicants for a level 2 occupational license shall submit a Personal Disclosure Form 2.

C) Applicants for a level 3 occupational license shall submit a Personal Disclosure Form 3.

D) All applicants for occupational licenses shall be photographed and fingerprinted.

c) Additional Forms. To be considered complete, an application must also include any additional forms as identified in Sections 1900.715 and 1900.720.

d) The Board may require further materials in addition to those identified in subsection (b) if after review of the submitted materials the Board determines additional information is necessary to determine the applicant's suitability for licensure.

e) Application Process

1. Each individual applicant or key person shall submit with the application, on forms prescribed by the Board, two sets of his or her fingerprints. Each individual applicant and key person shall be photographed and fingerprinted at the time of application at a place designated by the Administrator.

2. An application shall be deemed filed when the completed application form, including all required documents, materials, necessary fingerprinting, and the application fee, if any, have been submitted to the Board.

f) Amendments and Incorporation by Reference. Upon written request, the Administrator may allow information, documents, or other materials submitted by an applicant to be incorporated by reference into a subsequent application.

11 Ill. Adm. Code 1900.715 Disclosure of Ownership and Control

a) As part of its application, each applicant for or holder of a master sports wagering, supplier, management services provider, or tier 2 official league data provider license shall provide to the Board and maintain on a current basis a Table of Organization, Ownership and Control. That table shall contain the information required by this Section, in sufficient detail to identify the hierarchy of individuals and business entities that, through direct or indirect means, manage, own or control the interests and assets of the applicant or license holder.

b) Direct Ownership or Control. The Table of Organization, Ownership and Control shall identify the following information concerning the direct management, ownership and control of the applicant or license holder:

1. The name and percentage of ownership of each individual or business entity with an ownership interest in the applicant or licensee. If the licensee or applicant is a business entity whose stock is traded publicly, the identification of ownership shall be provided as required in subsection (d);

2. A table of organization reflecting the management and governance structure of the licensee or applicant, including the name and office or position of each individual serving as an officer, director or member of an executive committee or similar governing body and identifying each managerial position and each managerial employee reporting directly to an officer of the company or its board of directors;

3. For each trust holding ownership interest, and for each voting trust, the name of the grantors, trustees and beneficiaries of the trust; and

4. For each business entity with an ownership interest, the name and position of each officer, director and all persons reporting to the chief executive officer or the board of directors of the business entity and, in the case of each privately held business entity, the names of all persons with an ownership interest.

c) Intermediary Entities and Ultimate Ownership. To the extent that ownership of, or control over, the applicant or licensed entity is exercised through intermediary business entities, the Table of Organization, Ownership and Control must identify, in hierarchical fashion, all intermediary entities and their officers, directors, trustees, shareholders or other persons reporting to the chief executive officer or board of directors, and provide similar information on any parent business entity. If the intermediary entity or ultimate parent is a publicly traded company, the ownership identification requirements for this business entity shall be provided as required in subsection (d).

d) Publicly Traded Company Ownership. If a business entity identified in subsection (b) or (c) is a publicly traded company, the following information shall be provided in the Table of Organization, Ownership and Control:

1. The name and percentage of ownership interest of each individual or business entity with ownership of more than 5% of the voting shares of the entity, to the extent that information is known or contained in 13D or 13G Securities and Exchange Commission (SEC) filings.

2. To the extent known, the names and percentage of interest of ownership of persons who are relatives of one another and who together (as individuals or through trusts) exercise control over or own more than 10% of the voting shares of the entity.

3. Any trust holding a more than 5% ownership or voting interest in the company, to the extent that information is known or contained in 13D or 13G SEC filings.

11 Ill. Adm. Code 1900.720 Other Required Forms

a) Institutional Investor Disclosure Form. Any business entity that meets the definition of an institutional investor and that would otherwise be required to submit a Business Entity Disclosure Form may instead submit the Institutional Investor Disclosure Form.

b) Trust Registration and Disclosure Form. Level 1 occupational licensees and key persons of any other applicant or licensee shall submit a Trust Registration and Disclosure Form for any trust that holds a direct or indirect interest in any gaming entity that is subject to regulation by a gaming jurisdiction for which they are a grantor, trustee or beneficiary, or for any other trust in which they have an interest, if so requested by the Board. These disclosures are material information for the purposes of Section 1900.220 (b).

11 Ill. Adm. Code 1900.730 Licensing Procedures

a) Applicants for licensure under the Act shall be subject to the following procedures prior to licensing:

1. Application;

2. Investigation of the applicant; and

3. Action of the Board.

b) An applicant is responsible for compliance with all requests for information, documents, or other materials relating to the applicant and the applicant's application.

c) An applicant must satisfy the Board by clear and convincing evidence that the applicant is suitable for licensure under the Act and this Part.

d) Action of the Board

1. If the Board finds the applicant suitable for licensing, it shall direct the Administrator to issue the applicant a license upon payment of the applicant's license fee, if any, required by the Act.

2. If the Board finds the applicant not suitable for licensing, it shall issue the applicant a Notice of Denial. The Notice of Denial shall be served upon the applicant in accordance with Section 1900.160.

e) Request for Hearing

1. An applicant who is served with a Notice of Denial may request a hearing in accordance with Subpart H.

2. If a hearing is not requested, the Notice of Denial becomes the final order of the Board denying the applicant's license application.

11 Ill. Adm. Code 1900.735 Issuance of License

a) The Board may only issue a license after the background investigation is complete, the Board determines the applicant is suitable for licensure, and the applicant has paid the required initial license fee, if any.

b) Initial License Fees

1. For a master sports wagering license issued to an organization licensee under the Illinois Horse Racing Act of 1975 [230 ILCS 5] prior to June 28, 2019, the initial license fee shall be equal to 5% of its handle from the 2018 calendar year, or $2,341,976.20, whichever is greater, but not to exceed $10,000,000.

2. For a master sports wagering license issued to an organization licensee under the Illinois Horse Racing Act of 1975 after June 28, 2019, the initial license fee due at licensure shall be $5,000,000 or 5% of its handle from its first 12 months of racing operations, whichever is greater, but not to exceed $10,000,000.

3. For a master sports wagering license issued to an owners licensee under the Illinois Gambling Act prior to June 28, 2019, the initial license fee shall be equal to 5% of its adjusted gross receipts from the 2018 calendar year. No initial license fee shall exceed $10,000,000.

4. For a master sports wagering license issued to an owners licensee under the Illinois Gambling Act after June 28, 2019, the initial license fee shall be equal to $5,000,000 or 5% of its adjusted gross receipts from its first 12 months of gambling operations, whichever is greater, but not to exceed $10,000,000.

5. The initial license fee for a tier 2 official league data provider license is payable to the Board 13 months after the date of initial licensure.

c) If an applicant is denied a license, the applicant may not reapply for a license for one year from the date on which the final order of denial was voted upon by the Board, unless granted leave of the Board.

d) Initial Term of Licenses

1. Master sports wagering, supplier, and management services provider licenses issued by the Board shall be for an initial term of four years. Prior to the expiration of the four year initial license, the licensee may apply for a license renewal in accordance with the Act and this Part.

2. Tier 2 official league data provider licenses issued by the Board shall be for an initial term of three years. Prior to the expiration of the three year initial license, the licensee may apply for a license renewal in accordance with the Act and this Part.

3. Occupational licenses issued by the Board shall be for a term of one year. Prior to the expiration of the license, the licensee may apply for a license renewal in accordance with the Act and this Part.

11 Ill. Adm. Code 1900.740 Renewal of Licenses

a) The Board may only renew a license upon receipt of any completed renewal forms required by the Board and the applicable renewal fee, except in the case of tier 2 official league data provider licenses. The renewal fee for a tier 2 league data provider license shall be due 30 days after the date of renewal.

b) A license other than a tier 2 official league data provider license shall expire if the renewal fee is not received by the Board prior to the first regular Board meeting held in or after the month in which the license was issued. A tier 2 league data provider license shall expire if the renewal fee is not received by the Board within 30 days after the first day of the month in which the license was issued, regardless of any Board action decision to otherwise renew the license.

c) The Board shall only renew a license if the licensee continues to meet all qualifications for licensure set forth in the Act and this Part.

d) Upon the expiration of an initial license, a license may be renewed for the following terms:

1. A master sports wagering or management services provider license may be renewed for a term of four years.

2. A tier 2 official league data provider license may be renewed for a term of three years.

3. A supplier or occupational license may be renewed for a term of one year.

e) Applications for Renewal

1. Applicants for renewal of master sports wagering, management services provider, supplier, and tier 2 official league data provider licenses shall submit a renewal application on forms promulgated by the Board.

2. Applications for renewal shall include Business Entity or Personal Disclosure forms from each key person or level 1 occupational licensee.

3. Applications for renewal shall be electronically submitted, in a manner designated by the Administrator, no less than 90 days prior to the first day of the month in which the license was issued unless a later date is authorized in writing by the Administrator.

4. Applications for renewal of a license, except a tier 2 official league data provider license, must be accompanied by any renewal fee required by the Act.

f) Exceptions

1. A master sports wagering licensee that holds an owners license or organization gaming license under the Illinois Gambling Act is not required to submit an application for renewal, but must submit the required renewal fee no less than 90 days prior to the first day of the month in which the license was issued, unless a later date is authorized in writing by the Administrator.

2. Occupational licensees are not required to submit an application for renewal, but the Board may only renew an occupational license after receipt of the annual fee. The annual fee is due on the last day of the month prior to the month in which the license was issued, unless a later date is authorized in writing by the Administrator.

g) Applicants for renewal shall submit, at a minimum, the following information:

1. An updated organizational chart of the licensee showing parent and subsidiary entities in relation to the licensee, including a separate listing of all key persons of the licensee;

2. Key person and level 1 occupational licensee disclosure updates;

3. The most recent year-end financial statements, including the most recent Form 10K and 10Q filed with the SEC by the licensee and its parent company, if they are publicly held corporations;

4. A list of revenues derived from Illinois sports wagering operations during the previous licensing period, categorized according to date and licensee;

5. Any and all fees received from management agreements or consulting services with a holder of a master sports wagering license, and the basis for the calculation of fees received;

6. Any specific plans for changes in the financing, ownership or organization of the licensed entity;

7. Disclosure of any past or pending disciplinary action taken against the licensee or its affiliated entities in any other jurisdictions;

8. Disclosure of any past or pending material litigation involving the licensee, its parent corporation and subsidiaries, and any key person;

9. If applicable, any and all equipment, devices and supplies offered for sale or lease in connection with sports wagering authorized under the Act and this Part; and

10. An affidavit certifying the licensee is in compliance with required payment of all applicable federal and State taxes.

h) The Board shall base its decision on an application for renewal upon the same qualifications required for initial licensure under Subpart E. The Board may consider any additional relevant information, including but not limited to:

1. The timeliness and responsiveness of the information submitted by the licensee under this Section;

2. The Board's analysis of the licensee's operations, including the nature, frequency, extent and any pattern of past violations of the Act and this Part;

3. The financial status and the current and projected financial viability of the entity;

4. The owner licensee's pattern of compliance exhibited through quarterly, special and annual compliance reviews or audits performed by the Board staff or contract audit firms; and

5. The overall adherence of the licensee to all requirements of the Act and this Part.

i) Action of the Board

1. The Board shall act on the renewal of a license at a public meeting.

2. If the Board decides to deny license renewal, it shall issue the applicant a Notice of Denial. The Notice of Denial shall be served upon the applicant in accordance with Section 1900.160.

j) Request for Hearing

1. An applicant who is served with a Notice of Denial may request a hearing in accordance with Subpart H.

2. If a hearing is not requested, the Notice of Denial becomes the final order of the Board denying the applicant's license application.

History

• Source: Amended at 45 Ill. Reg. 10979, effective August 27, 2021

11 Ill. Adm. Code 1900.750 Withdrawal of Applications and Surrender of Licenses

a) Withdrawal of Applications

1. An applicant does not have a right to withdraw a submitted application.

2. An applicant may submit a request to withdraw an application to the Administrator.

3. A request to withdraw an application shall not be considered unless received by the Administrator prior to Board action on the application.

4. The Administrator shall deny a request to withdraw an application if he or she finds that doing so is in the best interests of the State or the Illinois sports wagering industry.

5. If the Administrator denies a request to withdraw an application, the applicant shall be notified in writing.

6. If the Administrator denies a request to withdraw an application, the Board shall not deny the pending application until at least 14 days after the request is denied.

7. An applicant whose request to withdraw has been denied by the Administrator may request leave of the Board to withdraw the application.

b) Surrender of License

1. A licensee does not have a right to surrender a license.

2. A licensee may submit a request to surrender its license at any point after licensure.

3. A request to surrender a license shall not be considered if a disciplinary action seeking suspension or revocation of the license is pending.

4. The Administrator shall deny a request to surrender a license if he or she finds that doing so is in the best interests of the State or the Illinois sports wagering industry.

5. If the Administrator denies a request to surrender a licensee, the licensee shall be notified in writing.

6. A licensee whose request to surrender has been denied by the Administrator may request leave of the Board to surrender the license.

11 Ill. Adm. Code 1900.755 Sports Facility Designees

A master sports wagering license under Section 25-40 of the Act may be applied for and be issued in the name of a designee of a sports facility. When a master sports wagering license is applied for or issued in the name of a designee, the provisions of this Section apply.

a) Any rights a designee has to apply for or hold a master sports wagering license under Section 25-40 of the Act are exclusively based on a contract with the qualifying sports facility.

b) The owners of the respective sports facility shall be key persons of a designee for the purposes of any master sports wagering license issued under Section 25-40 of the Act.

c) A sports facility shall notify the Board of any termination of a designee relationship. Upon the effective date of the termination, the master sports wagering license shall immediately expire.

d) If a master sports wagering license in the name of a designee under Section 25-40 of the Act is denied, revoked, not renewed, or expires, the sports facility shall have a 180-day period during which its owners or a newly named designee may apply for a master sports wagering license. If the 180-day period expires without a new application, or if the sports facility notifies the Board of its intent not to pursue a new license, the Administrator may begin a new application process under Section 25-40(c) of the Act.

e) When there is no designee, a master sports wagering license issued pursuant to Section 25-40 of the Act shall be issued in the name of the owner of the facility.

History

• Source: Amended at 45 Ill. Reg. 3460, effective March 4, 2021

Chapter I Illinois Gaming Board

Part 1900 Sports Wagering

11 Ill. Adm. Code 1900.760 Transferability of Ownership Interest

a) An ownership interest in an entity holding a master sports wagering license or a management services provider license may only be transferred with leave of the Board. An ownership interest in a business entity, other than a publicly traded corporation, that has an interest in an entity holding a master sports wagering license or a management services provider license may only be transferred with leave of the Board.

1. Any individual or entity filing an application for transfer of any ownership interest under this Section must submit a Business Entity Form or Personal Disclosure Form, as appropriate, and any other information specifically requested by the Board. All costs associated with Board investigation of the applicant for transfer will be borne by the licensee in which the transfer of ownership interest is being sought.

2. The Board shall determine suitability for transfer based on the same criteria as for a finding of suitability for licensure (see Section 1900.510).

3. If the Board denies the application for transfer, it shall issue the applicant a Notice of Denial. An applicant served with a Notice of Denial may request a hearing under Subpart H. If a hearing is not requested, the Notice of Denial becomes the final order of the Board denying the application for transfer.

b) An ownership interest in an entity holding a master sports wagering license or a management services provider license may only be pledged as collateral with leave of the Board.

c) Transferability of Ownership in Publicly Traded Parent Corporation. The Board shall investigate the suitability for transfer of any person who, individually or in association with others, acquires directly, indirectly or beneficially, ownership of more than 5% of any class of voting or non-voting with conversion rights securities of a publicly traded corporation that holds an ownership interest in an entity holding a master sports wagering license or a management services provider license.

1. Any such person must submit a Business Entity Form or Personal Disclosure Form, as appropriate, and any other information specifically requested by the Board. All costs associated with Board investigation of the applicant for transfer will be borne by the licensee in which the publicly traded corporation holds an interest.

2. Board decision as to suitability for transfer will be based on the criteria for a finding of preliminary suitability for licensure (see Section 1900.510).

3. If the Board denies the application for transfer, it shall issue the applicant a Notice of Denial. An applicant served with a Notice of Denial may request a hearing under Subpart H. If a hearing is not requested, the Notice of Denial becomes the final order of the Board denying the application for transfer.

4. Commencing as of the date the Board issues a Notice of Denial, it shall be unlawful for the applicant served with the Notice:

A) To receive any dividends or interest upon any such securities;

B) To exercise, directly or indirectly, any right conferred by the securities; or

C) To receive any remuneration in any form from any person or entity holding any license under the Act for services rendered or otherwise.

5. Within 30 calendar days after the earlier of either the failure of an applicant served with a Notice of Denial to request a hearing or the issuance of a final order pursuant to Subpart H:

A) The holder of the affected license shall purchase all of the interests in the holder of the owner's license from the disqualified person or entity; and

B) The disqualified person or entity shall sell all of the subject interest in the holder of the license to the licensee at the lesser of the market price or purchase price of those interests in the holder of the license.

11 Ill. Adm. Code 1900.770 Annual Updates

a) A holder of a master sports wagering, management services provider, supplier, or tier 2 official league data provider license shall be required to submit an annual update to the Board during any year in which the license is not due to expire or be renewed.

b) Annual updates shall be electronically submitted, on forms and in a manner designated by the Administrator, no less than 90 days prior to the first day of the month in which the license was issued.

c) Annual updates shall include, at a minimum, the following information:

1. An updated organizational chart of the licensee showing parent and subsidiary entities in relation to the licensee, including a separate listing of all key persons of the licensee;

2. Key person and level 1 occupational licensee disclosure updates;

3. The most recent year-end financial statements, including the most recent Form 10K and 10Q filings with the SEC by the licensee and its parent company, if they are publicly held corporations;

4. A list of revenues derived from Illinois sports wagering operations during the previous licensing period, categorized according to date and licensee;

5. Any and all fees received from management agreements or consulting services with a holder of a master sports wagering license, and the basis for the calculation of fees received;

6. Any specific plans for changes in the financing, ownership or organization of the licensed entity;

7. Disclosure of any past or pending disciplinary action taken against the licensee or its affiliated entities in any other jurisdictions;

8. Disclosure of any past or pending material litigation involving the licensee, its parent corporation and subsidiaries, and any key person;

9. If applicable, any and all equipment, devices and supplies offered for sale or lease in connection with sports wagering authorized under the Act and this Part; and

10. An affidavit certifying the licensee is in compliance with required payment of all applicable federal and State taxes.

11 Ill. Adm. Code 1900.780 Recognition of Existing Board Licenses

a) An applicant for a supplier license under the Sports Wagering Act that holds a valid supplier license under the Illinois Gambling Act shall be granted a supplier license by the Board, providing the following requirements have been met:

1. The Administrator has deemed the application to be complete;

2. The applicant has updated its description of products or services provided; and

3. The applicant has paid its nonrefundable application fee.

b) An applicant for an occupational license under the Sports Wagering Act who holds a valid occupational license of the same or higher level under the Illinois Gambling Act shall be granted an occupational license by the Board, providing the following requirements have been met:

1. The Administrator has deemed the application to be complete; and

2. The applicant has paid his or her initial annual license fee.

11 Ill. Adm. Code 1900.790 Temporary Operating Permits

The Administrator may issue a temporary operating permit to an applicant for a supplier, tier 2 official league data supplier, management service provider, or master sports wagering license issued under Section 25-30 or 25-35 of the Act. The holder of a temporary operating permit may engage in any activity in connection with sports wagering that would otherwise require licensure under the Act.

a) To qualify for any temporary operating permit, an applicant must have:

1. Already submitted an application that has been deemed complete by the Administrator; and

2. Already paid any required application fee.

b) Any applicant requesting a master sports wagering temporary operating permit must:

1. Possess a valid organization gaming license or owners license; or

2. Be an affiliated entity of the holder of a valid organization gaming license, owners license, master sports wagering license, or management service provider license.

c) Any applicant requesting a supplier or tier 2 official league data supplier temporary operating permit must possess a valid license in another jurisdiction with respect to the same goods or services the applicant will supply in Illinois.

d) Any applicant requesting a management service provider temporary operating permit must be an affiliated entity of an owners licensee or organization gaming licensee under the Illinois Gambling Act, or a master sports wagering licensee.

e) In determining whether to grant a temporary operating permit, the Administrator shall consider any relevant factor, including, but not limited to:

1. Facts that suggest an applicant may not be suitable for licensure under the Act and this Part;

2. Any past or pending disciplinary action against the applicant in any jurisdiction;

3. The best interests and needs of the Illinois sports wagering industry; and

4. Whether issuing a temporary operating permit would pose a threat to public confidence and trust in the Illinois sports wagering industry, or to the integrity and security of the Illinois sports wagering industry.

f) The Administrator may rescind a temporary operating permit at any time for any just cause, including, but not limited to, the factors identified in Sections 1900.310 and 1900.510(a), and in subsection (e) of this Section.

g) Rescission of a temporary operating permit by the Administrator is not a final ruling on the merits of an application.

h) A temporary operating permit shall be rescinded upon issuance of a Notice of Denial of Application.

History

• Source: Amended at 45 Ill. Reg. 3460, effective March 4, 2021

11 Ill. Adm. Code 1900.795 Temporary Identification Badge

The Administrator may issue a temporary identification badge to an applicant for an occupational license. The holder of a temporary identification badge may be employed in a designated gaming area or may perform duties that would otherwise require an occupational license.

a) To qualify for a temporary identification badge, an applicant must have already submitted an application that has been deemed complete by the Administrator, including fingerprinting and a photograph.

b) In determining whether to grant a temporary identification badge, the Administrator shall consider any relevant factor, including but not limited to:

1. Facts that suggest an applicant may not be suitable for licensure under the Act and this Part; and

2. Any past or pending disciplinary action against the applicant in any jurisdiction.

c) Temporary identification badges are valid for up to one year from the date of the application unless extended by the Administrator.

d) A temporary identification badge is not transferable and, upon resignation or termination of employment, must be returned by the applicant to the master sports wagering licensee or to the Board. A master sports wagering licensee shall return any such badge to the Board.

e) The Administrator may rescind a temporary identification badge at any time for any just cause, including, but not limited to, the factors identified in Sections 1900.310 and 1900.510(a), and in subsection (b) of this Section.

f) Rescission of a temporary identification badge by the Administrator is not a final ruling on the merits of an application.

g) A temporary identification badge shall be rescinded upon issuance of a Notice of Denial of Application.

11 Ill. Adm. Code 1900.810 Coverage of Subpart

a) This Subpart governs all hearings requested upon issuance of a Notice of Denial of Application for licensure. Hearings under this Subpart are de novo proceedings for the creation of a record regarding an applicant's suitability for licensure. A hearing under this Subpart is not an appeal of Board action.

b) Section 1900.110(b) is not applicable to any requests under this Subpart.

11 Ill. Adm. Code 1900.815 Requests for Hearing

a) If the Board finds that an applicant is not suitable for licensure, it shall issue the applicant a Notice of Denial.

b) The Board shall serve notice on the applicant by e-mail pursuant to Section 1900.160, personal service, or certified U.S. Mail to the last known address of the applicant. Service is complete upon transmission of the e-mail, date of personal service, or four days after mailing.

c) Should an applicant wish to contest the action the Board has taken regarding his or her application, the applicant must submit a request for hearing to the Board.

d) All requests for hearing shall be in writing. If a request for hearing is mailed, it shall include an original and one copy. The request shall contain the following:

1. The name, current address and current telephone number of the petitioner (the applicant);

2. Detailed reasons why, and the facts upon which the petitioner will rely to show that, the petitioner is suitable for licensure, including specific responses to any facts enumerated in the Board's Notice of Denial;

3. A signature of the petitioner;

4. A verification of the petition in the following form:

"The undersigned certifies that the statements set forth in this request are true and correct, except as to matters therein stated to be on information and belief and as to such matters the undersigned certifies as aforesaid that he/she verily believes the same to be true."; and

5. The request must be notarized.

e) A request for hearing must be made within 10 days after service of Notice of Denial from the Board. A request shall be deemed filed on the date the e-mail was transmitted or on which it is postmarked.

f) If a request for hearing is not filed within 10 days of the date of service, then the Notice of Denial becomes the final order of the Board denying the applicant's license application.

g) A request for hearing shall be deemed granted unless denied. The Board may deny a request for hearing if the statement of the reasons and facts that it contains does not establish a prima facie case or fails to comply with any of the other requirements of this Section. The Board's denial of a request for hearing is a final decision and the denial of licensure becomes a final order on the date the Board denies the request for hearing.

h) A request for hearing may be withdrawn or voluntarily dismissed through written notification to the Board unless objected to by the Administrator. If the Administrator objects, the request for hearing may not be withdrawn or voluntarily dismissed without leave of the Board.

i) The petitioner may submit a request for hearing by:

1. personal delivery;

2. certified U.S. Mail, postage prepaid;

3. overnight express mail, postage prepaid; or

4. e-mail.

j) All personally delivered or mailed requests must be submitted to the Administrator at the address provided in the Notice of Denial. All requests sent by email must be submitted to the email address provided in the Notice of Denial.

k) If a request is granted, an Administrative Law Judge will be appointed to conduct a hearing.

11 Ill. Adm. Code 1900.820 Appearances

a) All petitioners may be represented by an attorney who is licensed to practice in Illinois. All attorneys who appear in a representative capacity on behalf of a petitioner must file a written appearance setting forth:

1. The name, address, telephone number, and e-mail address of the attorney;

2. The name and address of the petitioner the attorney represents; and

3. An affirmative statement that the attorney is licensed to practice in Illinois.

b) Only individual attorneys may file appearances. Any petitioner's attorney who has not filed an appearance may not address the Administrative Law Judge or sign pleadings.

c) An attorney may only withdraw his or her appearance upon written notice to the Administrative Law Judge, the petitioner, and the Board.

d) An individual or sole proprietorship may appear on his or her own behalf.

e) A partner may appear on behalf of a partnership.

f) Any other business entity must be represented by an attorney.

11 Ill. Adm. Code 1900.825 Appointment of Administrative Law Judge

a) The Chairman of the Board may provide for or appoint an attorney admitted to the practice of law by, and in good standing with, the Illinois Supreme Court as an Administrative Law Judge (ALJ) to conduct a hearing in accordance with this Subpart. If designated, the Administrator may provide for the appointment of an ALJ to conduct a hearing in accordance with this Subpart. The petitioner will be copied on the letter of appointment and the letter will serve as notice of the pendency of the hearing. The ALJ shall establish a status date and notify the parties of that date.

b) If the petitioner believes the ALJ is biased or has a conflict of interest, the petitioner may file with the Board a motion to disqualify the ALJ from conducting the hearing. The motion must be in writing, accompanied by an affidavit signed and dated by the petitioner setting forth the specific grounds for disqualification. The petitioner shall serve a copy of the motion on the ALJ. Prior adverse rulings against the petitioner or its attorney in other matters shall not, in and of themselves, constitute grounds for disqualification. On satisfactory evidence submitted by the petitioner in support of the motion to disqualify, the Board shall remove the ALJ and provide for the reassignment of the case to another ALJ to continue the hearing. Any ALJ may voluntarily disqualify himself or herself upon determining that bias or conflict of interest exists. Grounds for disqualification of an ALJ shall include but not be limited to:

1. Financial interest or pecuniary benefit derived from the gaming industry;

2. Personal friendship with any of the parties, witnesses or attorneys involved;

3. Past representation of any of the parties or witnesses involved; or

4. Demonstrable pre-disposition on the issues.

c) If the motion to disqualify an ALJ is denied, the Board shall set forth in writing the reasons for the denial and the ALJ will proceed with the hearing. The motion to disqualify the ALJ and the reasons for the denial of the motion will be part of the administrative record.

11 Ill. Adm. Code 1900.830 Discovery

a) Upon written request served on the opposing party, a party shall be entitled to:

1. The name and address of any witness who may be reasonably expected to testify on behalf of the opposing party;

2. All documents or other materials in the possession or control of the opposing party that the opposing party reasonably expects will be necessary to introduce into evidence. Each party's burden of production includes those documents the party reasonably expects to introduce into evidence either in its case-in-chief or in rebuttal. To the extent that they are not immediately identifiable, rebuttal documents shall be tendered to the opposing party within 14 days after receipt of documents tendered to that party unless additional time is granted by the ALJ.

b) Discovery may be obtained only through written requests to produce witness lists, documents or other materials, as specified in subsection (a). Witnesses and documents responsive to a proper request for production that were not produced shall be excluded from the hearing and additional sanctions or penalties may be imposed.

11 Ill. Adm. Code 1900.835 Subpoenas

a) Subpoenas for the attendance of witnesses at hearing may be served by the petitioner only upon application to the ALJ.

1. The petitioner must show good cause, state the testimony to be elicited from a witness, state why the evidence to which the testimony relates cannot otherwise be obtained, and state the reasons why the testimony is necessary and relevant.

2. An agent or employee of the Board may not be required by the petitioner to appear except under the procedures provided in this Section.

b) The General Counsel of the Board or the Administrator may issue subpoenas for the attendance of witnesses or subpoenas duces tecum for the production of relevant documents, records or other material at a proceeding conducted under this Subpart.

11 Ill. Adm. Code 1900.840 Motions for Summary Judgment

The ALJ may recommend the granting or denying summary judgment upon the filing of an appropriate motion by any party. A recommendation to deny summary judgment shall not be considered by the Board until the completion of the proceedings pursuant to Section 1900.850.

11 Ill. Adm. Code 1900.850 Proceedings

a) All testimony shall be given under oath or affirmation.

b) Both parties may present opening statements. Petitioner shall proceed first.

c) Petitioner shall then present petitioner's case-in-chief.

d) The burden of proof is at all times on petitioner. Petitioner shall have the affirmative responsibility of establishing by clear and convincing evidence that Petitioner is suitable for licensure.

e) Upon the conclusion of petitioner's case-in-chief, the Board may move for a directed finding. The ALJ may hear arguments on the motion or may grant, deny or reserve decision, without argument.

f) If no motion for directed finding is made, or if the motion is denied or decision reserved, the Board may present its case.

g) Each party may conduct cross-examination of adverse witnesses.

h) Upon the conclusion of the Board's case, petitioner may present evidence in rebuttal.

i) If petitioner presents rebuttal evidence, the Board may present additional, non-cumulative, evidence in surrebuttal.

j) Both parties may present closing arguments. Petitioner proceeds first, then the Board, and then the Petitioner may present rebuttal argument.

11 Ill. Adm. Code 1900.860 Evidence

a) The hearing need not be conducted according to the technical rules of evidence. Any relevant evidence may be admitted and shall be sufficient in itself to support a finding if it is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statute that might make improper the admission of evidence over objection in a civil action. Hearsay may support a finding of the ALJ if it has sufficient indicia of trustworthiness and reliability and is of the type reasonably and customarily relied on in the regular course of business.

1. Official Board records or certified copies of the records shall be admissible into evidence if the records tend to prove or disprove an allegation contained in the complaint.

2. Official Board records are documents either prepared by or provided to the Board for the purpose of conducting its regular business.

3. The Board shall have an opportunity to investigate and verify information Petitioner intends to offer in support of his case. Petitioner shall fully cooperate with any such investigation or verification of Petitioner's information by the Board. Petitioner shall not introduce into evidence any information that the Board has not been afforded the opportunity to investigate and verify.

b) To the fullest extent possible, the parties should stipulate to all matters that are not or fairly should not be in dispute.

c) The parties may make objections to evidentiary offers. When an objection is made, the ALJ may receive the disputed evidence subject to a ruling at a later time.

d) The ALJ may take official notice of any generally accepted information or technical or scientific matter within the field of sports wagering, and any other fact that may be judicially noticed by courts of this State. The parties shall be informed of any information, matter or facts so noticed, including any staff memoranda or data, and shall be given reasonable opportunity to refute that information.

11 Ill. Adm. Code 1900.870 Prohibition on Ex Parte Communication

A party or its representative shall not communicate directly or indirectly with the ALJ or a member of the Board regarding any pending matter under this Subpart, except upon notice to and opportunity for all parties to participate. This prohibition does not include communication by the Board with its staff in the ordinary course of business.

11 Ill. Adm. Code 1900.880 Sanctions and Penalties

a) The ALJ may impose sanctions and penalties if the ALJ finds that a party has acted in bad faith, for the purpose of delay, or has otherwise abused the hearing process. Sanctions and penalties include, but are not limited to, default judgment or directed finding on one or more issues.

b) If Petitioner, or an owner or key person of Petitioner, fails to testify on his or her own behalf with respect to any question propounded, the ALJ may infer that the testimony or answer would have been adverse to Petitioner's case.

c) Failure of Petitioner to appear at a hearing or scheduled proceeding shall constitute an admission of all matters and facts contained in the Notice of Denial. In those cases the ALJ may take action based upon that admission or upon any other evidence, including affidavits, without any further notice to the petitioner.

11 Ill. Adm. Code 1900.890 Transmittal of Record and Recommendation to the Board

a) The record shall consist of the following:

1. The Notice of Denial, the Request for Hearing and all motions and rulings on the Notice or Request;

2. All evidence received;

3. A statement of matters officially noticed;

4. Offers of proof, objections and rulings; and

5. The recommendation, any findings of fact, and any conclusions of law made by the ALJ.

b) Oral proceedings or any part of those proceedings involving contested facts shall be recorded by stenographic or other appropriate means as to adequately ensure the preservation of such testimony or oral proceedings and shall be transcribed on request of any party. The transcript shall be paid for by the requesting party.

c) Upon conclusion of the hearing, the ALJ shall issue to the Board written findings of fact and conclusions of law and his or her recommendations. Findings of fact shall be based exclusively on the evidence and on matters officially noticed.

d) Any party to the hearing may file exceptions to the recommendations of the ALJ with the Board no later than 14 days after receipt of the recommended decision. Exceptions shall specify each finding of fact and conclusion of law to which exception is taken. There shall be no oral argument on exceptions.

e) Final Board Order

1. The Board shall review the entire record, including any exceptions filed, and shall render a written order including the bases for its decision.

2. Copies of the final Board order shall be served on Petitioner by e-mail pursuant to Section 1900.160, personal delivery, certified mail, or overnight express mail to Petitioner's last known address.

3. A final Board order shall become effective upon transmission of the e-mail, personal delivery to a party, or upon posting by certified U.S. Mail or overnight express mail to Petitioner's last known address.

11 Ill. Adm. Code 1900.895 Status of Applicant for Licensure Upon Filing Request for Hearing

An applicant who has been denied a license and who has requested a hearing under this Subpart shall be considered an applicant for purposes of compliance with applicable statutory provisions and this Part until a final Board order is issued.

11 Ill. Adm. Code 1900.910 Coverage of Subpart

The rules contained in this Subpart shall govern all disciplinary actions against licensees or key persons including, but not limited to, fines or suspension and revocation of a license. For purposes of this Subpart, "disciplinary actions" shall include orders of economic disassociation under Section 1900.320.

11 Ill. Adm. Code 1900.915 Notice of Proposed Disciplinary Action

a) When notified of facts sufficient to support disciplinary action against a licensee or key person, the Administrator shall notify the Board and the respondent licensee or key person of the proposed disciplinary action. The notice will include the following:

1. A statement of the facts supporting the proposed disciplinary action;

2. A description of the rule or statutory Section the respondent has violated;

3. A statement or description of the matters asserted and the consequences of the failure to respond; and

4. The mailing address and e-mail address of the Board.

b) If the Administrator finds that the public interest, safety, or welfare imperatively requires emergency action, the Administrator may order the summary suspension of a license during the pendency of disciplinary proceedings.

1. If the Administrator makes such a finding, it shall be incorporated into the notice of proposed disciplinary action.

2. Summary suspension shall be effective immediately upon service of the notice of disciplinary action.

3. A licensee may submit a written request to the Board to modify or rescind the summary suspension. The request must be submitted no later than 14 days prior to a regularly scheduled Board meeting. The request is not subject to Section 1900.110(b).

4. A master sports wagering licensee subject to summary suspension shall still be obligated to redeem wagers placed prior to the summary suspension.

c) The Administrator shall serve the notice of proposed disciplinary action on the licensee by e-mail pursuant to Section 1900.160, personal service, or certified or regular U.S. Mail to the last known address of the licensee. Service is complete upon transmission of the e-mail, date of personal service, or four days after mailing.

11 Ill. Adm. Code 1900.920 Hearings in Disciplinary Actions

a) Should a respondent wish to contest the proposed disciplinary action, the licensee must submit a response to the notice of proposed disciplinary action described in Section 1900.915 to the Administrator.

b) All responses shall be in writing. The response shall contain the following:

1. The name, current address and current telephone number of the licensee;

2. A clear and concise statement admitting or denying each of the factual allegations set forth in the notice of proposed disciplinary action, with each admission or denial being shown in separately numbered paragraphs corresponding to the separately numbered paragraphs in the notice of proposed disciplinary action;

3. For all factual allegations that the licensee denies, a clear and concise statement of facts upon which the licensee relies or will rely on at a hearing;

4. A signature of the licensee;

5. A verification of the licensee in the following form:

"The undersigned certifies that the statements set forth in this request are true and correct, except as to matters therein stated to be on information and belief and as to such matters the undersigned certifies as aforesaid that he or she verily believes the same to be true."; and

6. The response must be notarized.

c) The response must be filed within 21 days after the date of service of the notice of proposed disciplinary action. A response shall be deemed filed on the date the e-mail is transmitted or on which it is postmarked.

d) If a response is not filed within 21 days after service of the notice of proposed disciplinary action then the proposed disciplinary action becomes effective and final immediately.

e) No response shall be deemed filed if it fails to comply with any of the requirements of this Section.

f) The licensee may submit a response by:

1. Personal delivery;

2. Certified U.S. Mail, postage prepaid;

3. Overnight express mail, postage prepaid; or

4. E-mail.

g) All personally delivered or mailed responses must be submitted to the Administrator at the address provided in the notice of proposed discipline. All responses sent by email must be submitted to the email address provided in the notice of proposed discipline.

h) If a response is properly filed, an ALJ will be appointed to conduct a hearing.

11 Ill. Adm. Code 1900.925 Appearances

a) All respondents may be represented by an attorney who is licensed to practice in Illinois. All attorneys who appear in a representative capacity on behalf of a respondent must file a written appearance setting forth:

1. The name, address, telephone number, and e-mail address of the attorney;

2. The name and address of the respondent the attorney represents; and

3. An affirmative statement that the attorney is licensed to practice in Illinois.

b) Only individual attorneys may file appearances. Any respondent's attorney who has not filed an appearance may not address the ALJ or sign pleadings.

c) An attorney may only withdraw his appearance upon written notice to the ALJ, the respondent, and the Board.

d) An individual or sole proprietorship may appear on his or her own behalf.

e) A partner may appear on behalf of a partnership.

f) Any other business entity must be represented by an attorney.

11 Ill. Adm. Code 1900.930 Appointment of Administrative Law Judge

a) The Chairman of the Board may provide for or appoint an attorney admitted to the practice of law by, and in good standing with, the Illinois Supreme Court as an ALJ to conduct a hearing in accordance with this Subpart. If designated, the Administrator may provide for the appointment of an ALJ to conduct a hearing in accordance with this Subpart. The respondent will be copied on the letter of appointment and the letter will serve as notice of the pendency of the hearing. The ALJ shall establish a status date and notify the parties of that date.

b) If the respondent believes the ALJ is biased or has a conflict of interest, the respondent may file with the Board a motion to disqualify the ALJ from conducting the hearing. The motion must be in writing, accompanied by an affidavit signed and dated by the respondent setting forth the specific grounds for disqualification. The respondent shall serve a copy of the motion on the ALJ. Prior adverse rulings against the respondent or its attorney in other matters shall not, in and of themselves, constitute grounds for disqualification. On satisfactory evidence submitted by the respondent in support of the motion to disqualify, the Board shall remove the ALJ and provide for the reassignment of the case to another ALJ to continue the hearing. Any ALJ may voluntarily disqualify himself or herself upon determining that bias or conflict of interest exists. Grounds for disqualification of ALJ shall include but not be limited to:

1. Financial interest or pecuniary benefit derived from the gaming industry;

2. Personal friendship with any of the parties, witnesses or attorneys involved;

3. Past representation of any of the parties or witnesses involved; or

4. Demonstrable pre-disposition on the issues.

c) If the motion to disqualify an ALJ is denied, the Board shall set forth in writing the reasons for the denial and the ALJ will proceed with the hearing. The motion to disqualify the ALJ and the reasons for the denial of the motion will be part of the administrative record.

11 Ill. Adm. Code 1900.935 Discovery

a) Upon written request served on the opposing party, a party shall be entitled to:

1. The name and address of any witness who may be reasonably expected to testify on behalf of the opposing party;

2. All documents or other materials in the possession or control of the opposing party that the opposing party reasonably expects will be necessary to introduce into evidence. Each party's burden of production includes those documents the party reasonably expects to introduce into evidence either in its case-in-chief or in rebuttal. To the extent that they are not immediately identifiable, rebuttal documents shall be tendered to the opposing party within 14 days after receipt of documents tendered to party unless additional time is granted by the ALJ.

b) Discovery may be obtained only through written requests to produce witness lists, documents or other materials, as specified in subsection (a). Witnesses and documents responsive to a proper request for production that were not produced shall be excluded from the hearing and additional sanctions or penalties may be imposed.

11 Ill. Adm. Code 1900.940 Subpoenas

a) Subpoenas for the attendance of witnesses at hearing may be served by the respondent only upon application to the ALJ.

1. The respondent must show good cause, state the testimony to be elicited from a witness, state why the evidence to which the testimony relates cannot otherwise be obtained, and state the reasons why the testimony is necessary and relevant.

2. An agent or employee of the Board may not be required by the respondent to appear except under the procedures provided in this Section.

b) The General Counsel of the Board or the Administrator may issue subpoenas for the attendance of witnesses or subpoenas duces tecum for the production of relevant documents, records or other material at a proceeding conducted under this Subpart I.

11 Ill. Adm. Code 1900.945 Motions for Summary Judgment

The ALJ may recommend the granting or denying summary judgment upon the filing of an appropriate motion by any party. A recommendation to deny summary judgment shall not be considered by the Board until the completion of the proceedings pursuant to Section 1900.950.

11 Ill. Adm. Code 1900.950 Proceedings

a) All testimony shall be given under oath or affirmation.

b) Both parties may present opening statements. The Board will proceed first.

c) The Board shall then present its case. The Board shall establish the charges contained in the notice of proposed disciplinary action by a preponderance of the evidence.

d) Upon the conclusion of the Board's case, the respondent may move for a directed finding. The ALJ may hear arguments on the motion or may grant, deny or reserve decision on the motion, without argument.

e) If no motion for directed finding is made, or if that motion is denied or decision reserved, the respondent may present its case.

f) The respondent bears the burden of rebutting the charges contained in the notice of proposed disciplinary action by clear and convincing evidence.

g) Each party may conduct cross-examination of adverse witnesses.

h) Upon the conclusion of the respondent's case, the Board may present evidence in rebuttal.

i) If the Board presents rebuttal evidence, the respondent may present additional, non-cumulative, evidence in surrebuttal.

j) Both parties may present closing arguments. The respondent proceeds first, then the Board and thereafter the respondent may present rebuttal argument.

11 Ill. Adm. Code 1900.960 Evidence

a) The hearing need not be conducted according to the technical rules of evidence. Any relevant evidence may be admitted and shall be sufficient in itself to support a finding if it is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statute that might make improper the admission of evidence over objection in a civil action. Hearsay may support a finding of the ALJ if it is the best evidence available, has sufficient indicia of trustworthiness and reliability and is of the type reasonably and customarily relied on in the regular course of business.

1. Official Board records or certified copies of the records shall be admissible into evidence if the records tend to prove or disprove an allegation contained in the complaint.

2. Official Board records are documents either prepared by or provided to the Board for the purpose of conducting its regular business.

b) To the fullest extent possible, the parties should stipulate to all matters that are not or fairly should not be in dispute.

c) The parties may make objections to evidentiary offers. When an objection is made, the ALJ may receive the disputed evidence subject to a ruling at a later time.

d) The ALJ may take official notice of any generally accepted information or technical or scientific matter within the field of sports wagering, and any other fact that may be judicially noticed by courts of this State. The parties shall be informed of any information, matter or facts so noticed, including any staff memoranda or data, and shall be given reasonable opportunity to refute that information.

11 Ill. Adm. Code 1900.970 Prohibition on Ex Parte Communication

A party or its representative shall not communicate directly or indirectly with the ALJ or a member of the Board regarding any pending matter under this Subpart, except upon notice to and opportunity for all parties to participate. This prohibition does not include communication by the Board with its staff in the ordinary course of business.

11 Ill. Adm. Code 1900.980 Sanctions and Penalties

a) The ALJ may impose sanctions and penalties if the ALJ finds that a party has acted in bad faith, for the purpose of delay, or has otherwise abused the hearing process. The sanctions and penalties include, but are not limited to, default judgment or directed finding on one or more issues.

b) If the respondent, or an owner or key person of the respondent, fails to testify on his or her own behalf with respect to any question propounded to him or her, the ALJ may infer that the testimony or answer would have been adverse to the licensee's case.

c) Failure of the respondent to appear at a hearing or scheduled proceeding shall constitute an admission of all matters and facts contained in the complaint. In such cases the ALJ may take action based upon that admission or upon any other evidence, including affidavits, without any further notice to the licensee.

11 Ill. Adm. Code 1900.990 Transmittal of Record and Recommendation to the Board

a) The record shall consist of the following:

1. The notice of proposed disciplinary action, the response and all motions and rulings on motions;

2. All evidence received;

3. A statement of matters officially noticed;

4. Offers of proof, objections and rulings on those offers and objections; and

5. The recommendation, any findings of fact, and any conclusions of law made by the ALJ.

b) Oral proceedings or any part of those proceedings involving contested facts shall be recorded by stenographic or other appropriate means as to adequately ensure the preservation of the testimony or oral proceedings and shall be transcribed on request of any party. The transcript shall be paid for by the requesting party.

c) Upon conclusion of the hearing, the ALJ shall issue to the Board written findings of fact and conclusions of law and his or her recommendations. Findings of fact shall be based exclusively on the evidence and on matters officially noticed.

d) Any party to the hearing may file exceptions to the recommendations of the ALJ with the Board no later than 14 days after receipt of the recommended decision. Exceptions shall specify each finding of fact and conclusion of law to which exception is taken. There shall be no oral argument on exceptions.

e) Board Order

1. The Board shall review the entire record, including any exceptions filed, and shall render a written order including the bases for its decision.

2. Copies of the final Board order shall be served on Respondent by e-mail pursuant to Section 1900.160, personal delivery or certified or overnight express U.S. Mail to the licensee's last known address.

3. A final Board order shall become effective upon transmission of the e-mail, personal delivery to a party, or upon posting by certified or overnight express U.S. Mail to Respondent's last known address.

11 Ill. Adm. Code 1900.995 Persons Subject to Proposed Orders of Economic Disassociation

Persons subject to a proposed order of economic disassociation under Section 1900.320 may request a hearing on the order under this Subpart. Both the licensee and the person subject to the proposed order of economic disassociation shall be parties to the proceeding. A person requesting a hearing under this Section shall have the same procedural rights and obligations and shall be subject to the same notice requirements and deadlines as a licensee under this Subpart.

11 Ill. Adm. Code 1900.1000 Ownership Records

A holder of a master sports wagering license or management services provider license shall keep on a permanent basis, and provide to the Board upon request, the following records:

a) If a corporation:

1. A certified copy of the articles of incorporation and any amendments;

2. A certified copy of the bylaws and any amendments;

3. A certificate of good standing from the state of its incorporation;

4. A certificate of authority from the Illinois Secretary of State authorizing it to do business in Illinois, if the corporation is operating as a foreign corporation in Illinois;

5. A list of all current and former officers and directors, including the dates each individual held those titles;

6. A certified copy of minutes of all meetings of the stockholders and directors;

7. A current list of all stockholders including the names of beneficial owners of shares held in street or other names;

8. The name of any business entity and a current list of all stockholders in such entity, including the names of beneficial owners of shares held in street or other names, in which such corporation has a direct, indirect or attributed interest;

9. A copy of the stock certificate ledger;

10. A complete record of all transfers of stock;

11. A schedule of amounts paid to the corporation for issuance of stock and other capital contributions and the dates of those payments;

12. A schedule of all dividends distributed by the corporation; and

13. A schedule of all salaries, wages, and other remuneration (including perquisites), direct or indirect, paid during the calendar or fiscal year, by the corporation, to all officers, directors, and stockholders with an ownership interest at any time during the calendar or fiscal year, equal to or greater than 5% of the outstanding capital stock of any class of stock.

b) If a limited liability company (LLC):

1. A certified copy of the Articles of Formation;

2. A certificate of authority from the Illinois Secretary of State authorizing it to do business in Illinois, if the LLC is operating as a foreign organization in Illinois;

3. A certified copy of the Operating Agreement and any amendments to that Agreement;

4. The name and address of each member; and

5. A detailed description of the organization of the LLC, including whether the LLC is managed by an outside manager;

c) If a partnership:

1. A certified copy of the partnership agreement;

2. A certificate of limited partnership of its domicile;

3. A list of the partners, including names, addresses, the percentage of interest in net assets, profits and losses held by each, the amount and date of each capital contribution of each partner, and the date the interest was acquired;

4. A schedule of all withdrawals of partnership funds or assets;

5. A schedule of salaries, wages and other remuneration (including perquisites), direct or indirect, paid to each partner during the calendar or fiscal year; and

6. A schedule of salaries, wages and other remuneration (including perquisites), direct or indirect, paid to each member, manager, or employee during the calendar or fiscal year.

d) If a sole proprietorship:

1. A schedule showing the name and address of the proprietor and the amount and date of his or her original investment;

2. A schedule of dates and amounts of subsequent additions to the original investment and any withdrawals; and

3. A schedule of salaries, wages and other remuneration (including perquisites), direct or indirect, paid to the proprietor during the calendar or fiscal year.

11 Ill. Adm. Code 1900.1010 Accounting Records

A master sports wagering licensee or its designee shall keep, in accordance with the retention schedule, and provide to the Board upon request, the following records specific to sports wagering activity.

a) The accounting records shall be maintained in a format defined in its internal control system as approved by the Administrator, with transactions recorded on the accrual basis and supported by detailed and subsidiary records.

b) The Administrator shall prescribe a summary level chart of accounts to insure consistency, comparability, and appropriate disclosure of financial information.

c) The detailed subsidiary records shall include as a minimum the following:

1. Detailed general ledger accounts identifying all revenue sources, expenses, assets, liabilities and equity for the holder of a master sports wagering license;

2. Records of all investments, advances, loans and receivable balances, other than patron checks, due to the establishment;

3. Records of all loans and other amounts payable by the holder of a master sports wagering license;

4. Records of all patron checks initially accepted by the holder of a master sports wagering license, deposited by the licensee, returned to the licensee as "uncollected" and ultimately written-off as uncollectible by the holder of a master sports wagering license;

5. Journal entries prepared by the holder of a master sports wagering license and an independent accountant;

6. Tax workpapers used in preparation of any State or federal tax return;

7. Records that identify by sporting contest or event, gross sports wagering receipts, winnings paid to wagerers, tier 1 sports wagers, tier 2 sports wagers, ticket redemption and such other information relating to sports wagering as deemed necessary by the Board or required by its internal control system;

8. Records supporting the accumulation of the costs for complimentary services and items. A complimentary service or item provided to patrons in the normal course of a licensee's business shall be recorded at an amount based upon the full retail price normally charged for that service or item;

9. Records required to fully comply with all the federal financial record-keeping requirements as enumerated in 31 CFR 103;

10. Records required by the holder of a master sports wagering licensee's internal control system;

11. Workpapers supporting the daily reconciliation of cash accountability;

12. Records concerning the acquisition or construction of a proposed or existing facility; and

13. Any other records that the Administrator requires to be maintained.

d) If a holder of a master sports wagering license or its designee fails to maintain the records used in order to calculate the adjusted gross sports wagering receipts, the Administrator may compute and determine the amount of the adjusted gross sports wager receipts upon the basis of an audit conducted by the Board based upon available information.

11 Ill. Adm. Code 1900.1020 Standard Financial and Statistical Records

a) The master sports wagering licensee, unless specifically exempted by the Administrator, shall file daily, monthly, quarterly and annual reports of financial and statistical data.

b) The Administrator shall periodically prescribe a set of standard reporting forms and instructions to be used in filing daily, monthly, quarterly and annual reports.

c) Annual reports shall be based on a calendar year beginning January 1 and ending December 31. All reports shall start and end at midnight, Central Time. Quarterly reports shall be based on the calendar quarters ending March 31, June 30, September 30 and December 31. Monthly reports shall be based on calendar months. Quarterly and monthly reports shall contain a cumulative year-to-date column to facilitate analysis.

d) Reports required to be filed pursuant to this Section shall be submitted electronically in accordance with the form instructions and received no later than the required filing date. The required filling date for monthly reports shall be the last calendar day of the following month.

e) In the event of a termination or suspension of a master sports wagering license, voluntary or involuntary change in business entity or material change in ownership, the master sports wagering licensee shall file an interim quarterly report as of the date of occurrence of the event, unless the event has already been disclosed in a regular quarterly report or unless exempted by the Administrator. The filing date shall be 30 calendar days after the date of occurrence of the event.

f) Any adjustments resulting from the quarterly and annual audits shall be recorded in the accounting records. In the event that the adjustments were not reflected in the master sports wagering licensee's quarterly or annual reports and the Administrator concludes the adjustments are significant, a revised report may be required. The revised filing shall be due within 30 calendar days after written notification to the master sports wagering licensee.

11 Ill. Adm. Code 1900.1030 Annual and Special Audits and Other Reporting Requirements

a) Annual and Special Audits and Other Reports

1. The Administrator shall direct an audit to be performed of the annual financial statements of the Illinois sports wagering operation of a holder of a master sports wagering license, including a report on the internal control system communicating any reportable conditions and material weaknesses noted in the course of the audit. Upon written notice by the Administrator other procedures or reports may be required. The annual audit shall be performed by an independent certified public accountant who is or whose firm is licensed in the State of Illinois. The independent certified public accountant who performs the annual audit shall be approved by the Administrator and may be based on the recommendation of the licensee.

2. The annual audit and internal control report procedures shall be performed in accordance with generally accepted auditing standards. The annual audit report is to be presented in accordance with generally accepted accounting principles and contain the opinion of the independent certified public accountant as to its fair presentation in accordance with the generally accepted accounting principles.

3. To ensure the integrity of gaming and compliance with the Act and the rules of the Board, the Administrator may require at any time a special audit of a holder of a master sports wagering license to be conducted by Board personnel or an independent certified public accountant who is, or whose firm is, licensed in Illinois. The Administrator shall establish the scope, procedures and reporting requirements of any special audit.

b) Quarterly compliance reports by independent certified public accountants or personnel. The Administrator shall require quarterly compliance reports to be prepared and procedures performed by independent certified public accountants or Board personnel covering the following:

1. Quarterly agreed-upon procedures to ascertain that adjusted gross sports wagering receipts are determined in conformity with the Act and this Part;

2. Semiannual agreed-upon procedures relating to internal controls;

3. Semiannual "unannounced" observation of the sports wagering activity and accounting procedures. For purposes of these procedures, "unannounced" means that no officers, directors or employees of the holder of a master sports wagering license or its designee are given advance information regarding the dates or times of the observations;

4. Review of purchasing functions and contractual agreements, both oral and written, on a sample basis, in order to report on compliance with the licensee's internal control system and to determine that those purchases and contractual agreements are not in excess of their fair market value. This review shall be conducted at least annually at the direction of the Administrator; and

5. Quarterly reports on deviations from the licensee's approved internal control system based on procedures performed in the reports of adjusted gross sports wagering receipts, procedures relating to internal controls, purchasing and contracting functions or "unannounced" observations.

c) Independent certified public accountants performing annual audits shall not perform compliance services on behalf of the Administrator for the same licensees.

d) Independent certified public accountants who perform compliance services to a licensee on behalf of the Administrator shall not perform an annual audit or any other service for the licensee during the terms of their engagement and for a period of two years following termination of the engagement.

e) The holder of master sports wagering license shall prepare a written response relating to findings noted in the independent certified public accountant's or Board's reports as required by subsections (a) and (b). The response shall indicate in detail the corrective actions taken and shall be incorporated in the independent certified public accountant's or Board's reports.

f) The reports required under this Section shall be submitted electronically in a manner prescribed by the Administrator and the reports shall be received by the Administrator no later than the required filing date.

1. Quarterly reports for procedures performed in the first three fiscal quarters of a licensee's approved fiscal year shall be due not later than two months after the last day of the quarter.

2. Quarterly reports for the procedures performed in the fourth fiscal quarter of the licensee's approved fiscal year and the annual reports shall be due not later than three months after the last day of the calendar or fiscal year.

g) Master sports wagering licensees who are public reporting companies under the Securities Act of 1933 or the Securities Exchange Act of 1934 shall submit electronic copies of all reports required by the Securities and Exchange Commission to the Administrator. These reports shall be due on the same filing dates as required by the Securities and Exchange Commission.

h) All of the audits and reports required by this Section that are performed by independent certified public accountants shall be prepared at the sole expense of the master sports wagering licensee.

i) The reporting year end of the master sports wagering licensee shall be December 31.

11 Ill. Adm. Code 1900.1040 Wagering Tax

a) For the purposes of this Section, "wagering tax" means the tax assessment due pursuant to Section 25-90(a) of the Act. Each holder of a master sports wagering license is subject to tax and fee liability assessment under the Act.

b) Wagering taxes shall be paid via an electronic funds transfer system employing an Automated Clearinghouse Debit method (ACH-Debit). Each master sports wagering licensee shall maintain an account with sufficient funds to pay, in a timely fashion, all tax and fee liabilities due under the Act. The account shall be maintained at a financial institution capable of making payments to the State under the electronic funds transfer requirements imposed by the State.

c) The Administrator shall prescribe and make available to each master sports wagering licensee and manager forms, instructions and reporting requirements for taxes. Forms may be provided by the Administrator to master sports wagering licensees in computer-based format and include a computer program that, upon input by the licensee of requisite data, provides for the calculation of tax and fee reporting information and tax and fee liability.

d) The Tax and Fee Schedules must be filed with the Board no later than 12:00 noon on the due date. Wagering tax payments shall be transferred electronically on the due date to the Board's designated financial institution by the end of that financial institution's business day. For purposes of tax and fee schedules and tax and fee payments, the due date shall be defined as the last day of the month following the calendar month in which the adjusted gross sports wagering receipts were received and the wagering tax obligation was accrued.

e) The wagering tax imposed on the master sports wagering licensee shall be based on adjusted gross sports wagering receipts from sports wagering. Adjusted gross sports wagering receipts for a given month equal the total value of placed wagers the outcome of which are determined during that month, less the value of all winning wagers the outcome of which are determined that month, regardless of when the wager was placed or when the winning wager was redeemed, plus or minus any adjustments made. The wagering tax imposed on the master sports wagering licensee shall be 15% of adjusted gross sports wagering receipts.

f) Pursuant to Section 25-90(a-5) of the Act, the State shall impose and collect a tax of 2% of the adjusted gross receipts from sports wagers that are placed within a home rule county with a population of over 3,000,000 inhabitants. For the purposes of this tax, a wager is considered placed within the county if the patron is physically located within the county at the time the wager is placed.

g) Monthly Tax and Fee Schedules shall include all information necessary for adjustments and reconciliation of tax and fee liability and shall be subject to audit by the Board and its audit agents. Adjustments to previously reported tax and fee information shall be made by the master sports wagering licensee, except that no adjustment of $25,000 or more shall be made to previously reported adjusted gross sports wagering receipts without the prior written approval of the Administrator or the Administrator's designee.

h) In the event that a Tax and Fee Schedule properly reflects a net loss experienced by the master sports wagering licensee, an adjustment for the amount of any remaining net wagering loss (negative adjusted gross sports wagering receipts) shall be carried forward on the subsequent Tax and Fee Schedules until the loss is offset by net win (positive adjusted gross sports wagering receipts).

i) All Wagering Taxes paid pursuant to the requirements of the Act shall be deposited by the Board into the Sports Wagering Fund. On the 25th of each month, the Board shall transfer excess funds in the Sports Gaming Fund to the Capital Projects Fund.

j) Failure to Comply

1. A master sports wagering licensee's failure to comply with the provisions of this Section may subject the master sports wagering licensee to penalty and interest amounts pursuant to the Uniform Penalty and Interest Act [35 ILCS 735].

2. The Administrator is authorized to waive any penalty and interest for the late filing of a tax schedule or late tax payment, if the master sports wagering licensee can show good cause. "Good cause" shall include, but not be limited to, detection and correction of a deficiency in filing or payment that resulted from a documented inadvertent or unintentional error that was corrected within one business day after the applicable due date.

3. The master sports wagering licensee shall be notified by the Administrator in writing of any penalty or interest payable because of a late tax schedule filing or late tax payment.

4. The master sports wagering licensee may, within 10 business days after receiving the notice, file with the Administrator a written request for a waiver of any penalty or interest. The Administrator shall act on the request for waiver and notify the master sports wagering licensee in writing of the decision within 15 calendar days after receiving the request. If the Administrator fails to act within the 15 day period, the waiver is deemed granted.

5. If the Administrator denies the request for waiver, the master sports wagering licensee may ask the Board for a hearing. The request for hearing must be in writing and filed not later than 15 calendar days after receipt of the notice of denial. Section 1900.110(b) does not apply to such a request.

6. Except as provided in this subsection (j), the provisions for hearings under Subpart H shall apply to any hearing conducted under this Section. The licensee has the burden of showing good cause by clear and convincing evidence.

11 Ill. Adm. Code 1900.1050 Reserve Requirements

A master sports wagering licensee shall maintain certain cash reserves or other means sufficient to protect wagerers against defaults on gaming debts owed by the master sports wagering licensee.

a) For the purposes of this Subpart J, "cash equivalents" means all highly liquid investments with an original maturity of 3 months or less.

b) A master sports wagering licensee shall maintain a cash reserve equal to at least 20% of the total of all amounts in all sports wagering accounts, and cash equivalents equal or greater to the remaining amounts in all sports wagering accounts.

c) A master sports wagering licensee shall maintain a cash reserve equal to or greater than the amount of unredeemed or cancelled wagers that have been placed on all events whose outcome have already been determined and have not expired.

d) A master sports wagering licensee shall establish a method to determine the estimated theoretical maximum exposure at a frequency no less than monthly. A master sports wagering licensee shall maintain guarantees equal to its theoretical maximum exposure. These guarantees may be in the form of cash, cash equivalents, insurance, or other commercially reasonable means. Other means may include, but are not limited to, layoff bets between master sports wagering licensees or personal guarantees by key persons.

e) Any cash, cash equivalent, or other means used for any purpose in this Section may not be applied to other purposes, including other purposes within this Section.

11 Ill. Adm. Code 1900.1100 Commencement of Wagering

a) No master sports wagering licensee shall commence its sports wagering without requesting and obtaining the approval of the Administrator.

b) The Administrator shall grant approval to commence sports wagering when the Administrator concludes that the master sports wagering licensee is in compliance with the Act and this Part, including the adoption of an approved internal control system in accordance with Section 1900.1510.

c) If the Administrator concludes that the master sports wagering licensee is not in compliance with the Act and this Part, the Administrator shall notify the licensee in writing, and identify the manner in which the licensee is deficient.

d) A master sports wagering licensee may request that the Administrator grant provisionary approval to commence sports wagering while the licensee is not fully compliant with the Act and this Part. The request must be in writing, and include the following:

1. An itemized description of the provisions of the Act or this Part with which the licensee is not in compliance;

2. A detailed explanation of the licensee's plans to come into compliance with each provision identified under subsection (d)(1), including dates certain by which compliance will occur; and

3. A description of what steps the licensee shall take to minimize the risks to the integrity of the sports wagering operation during the period of time in which the licensee is not in compliance.

e) The Administrator may rescind provisionary approval to commence sports wagering for any just cause, including but not limited to:

1. Failure by the licensee to come into compliance by the dates identified by the licensee;

2. Failure by the licensee to comply with its stated risk mitigation plans;

3. Discovery of any other non-compliance by the licensee that was not disclosed in its request for provisionary approval;

4. Discovery of any fact sufficient to support a disciplinary action against the licensee or one or more of its key persons; or

5. A determination by the Administrator that continued operation is or may be injurious to the health, safety, morals, good order, or general welfare of the people of the State of Illinois.

History

• Source: Amended at 45 Ill. Reg. 3460, effective March 4, 2021

11 Ill. Adm. Code 1900.1110 Temporary Suspension of Wagering

a) The Administrator may order a master sports wagering licensee to temporarily suspend sports wagering operations without prior notice or hearing if the Administrator:

1. Determines that the continuing operation of the sports wagering operation jeopardizes the safety or health of patrons or employees; or

2. Determines that the continuing operation of the sports wagering operation poses a significant, imminent danger to the integrity of sports wagering in Illinois.

b) The Administrator shall notify the master sports wagering licensee in writing of a temporary suspension. The notification shall include the following:

1. A detailed description of the facts and circumstances relied upon by the Administrator supporting the decision to suspend sports wagering operations;

2. Identification of any violations of provisions of the Act or this Part implicated by the described facts; and

3. Proposed corrective actions that, if undertaken by the licensee, would be sufficient to correct the conditions which necessitated the temporary suspension.

c) Notification of temporary suspension shall be served pursuant to Section 1900.160.

d) A licensee may submit a written request to the Board to modify or rescind the order of temporary suspension. The request must be submitted no later than 14 days prior to a regularly scheduled Board meeting. The request is not subject to Section 1900.110(b).

e) A licensee subject to an order of temporary suspension shall accept no wagers during the suspension period.

f) A licensee subject to an order of temporary suspension shall redeem wagers during the suspension period if so ordered by the Administrator.

g) An order of temporary suspension is for the protection of the public interest and is not disciplinary in nature. The issuance of an order of temporary suspension is not a final determination as to the merits of the alleged facts in the notice of suspension.

h) The Administrator shall rescind the order of temporary suspension upon determination that the licensee has taken sufficient corrective action that the continuing operation of the sports wagering operation no longer jeopardizes the safety or health of patrons or employees, nor poses a significant, imminent danger to the integrity of sports wagering in Illinois.

i) Rescission of an order of temporary suspension is not a final determination as to the merits of the alleged facts in the notice of suspension. A licensee may still be subject to discipline related to any alleged facts.

11 Ill. Adm. Code 1900.1120 Prohibited Wagering Activity

a) Persons Prohibited from Wagering

1. No person under 21 years of age may place or redeem a wager.

2. No person not physically located in the State of Illinois may place a wager.

3. No person located outside a 5-block radius from a sports facility may place a wager with that sports facility or its designee.

4. No person enrolled in the self-exclusion program may place or redeem a wager.

5. No athlete, competitor, referee, official, coach, manager, medical professional or athletic trainer or employee or contractor of a team or athletic organization who has access to nonpublic information concerning an athlete or team may engage in sports wagering on an event or the performance of an individual in an event in which the person is participating or otherwise has access to nonpublic or exclusive information.

6. No key person or employee of a master sports wagering licensee or management services provider licensee may place a wager with that master sports wagering licensee or a master sports wagering licensee for which the management services provider licensee is a designee.

b) The following wagers are prohibited:

1. Wagering on a minor league sports event;

2. Wagering on a sports event involving an Illinois collegiate team or individual competing through an Illinois collegiate program.

A) This prohibition includes any combination wager the outcome of which may be determined by the performance of an Illinois participant, including but not limited to:

i) Parlay bets in which a component contest involves an Illinois collegiate team or individual competing through an Illinois collegiate program; and

ii) Fantasy sports in which individuals competing through an Illinois collegiate program may be selected.

B) This prohibition does not include wagering on the final outcome of a series or combination of sports events such as a tournament or season outcome that includes both Illinois and non-Illinois collegiate teams or individuals, so long as no wager is accepted on the Illinois participant.

3. Wagering on any school-sponsored or affiliated sports event other than a collegiate event.

4. Wagering on any sports event or portion thereof where the majority of the participants are under 18 years of age.

5. Wagering on any sports event or portion of a sports event, or wagering by type or form, prohibited by the Board under Section 1900.1130.

6. Wagering on behalf of a third party who is otherwise prohibited from wagering pursuant to the Act or this Part.

c) No master sports wagering licensee shall knowingly accept or redeem a prohibited wager.

d) A master sports wagering licensee shall not accept any wager the operator knows, or reasonably should know, is being placed by or on behalf of a prohibited person.

e) A master sports wagering licensee has an affirmative duty to actively prevent the placement or redemption of a wager by individuals under the age of 21 years or enrolled in the self-exclusion program.

f) If a master sports wagering licensee discovers it has accepted a prohibited wager, it shall immediately notify the Administrator or his or her designee, and take commercially reasonable steps to notify the wagerer.

g) Any wager that was prohibited at the time it was made shall be deemed void.

h) If a wager is identified as void under this Section prior to the commencement of any event or series of events on which the outcome of the wager is dependent, the amount of the wager shall be refunded by the master sports wagering licensee and deducted from the adjusted gross sports wagering receipts. If the void wager is not refunded prior to the expiration date of the wager, the amount of the wager shall be remitted to the Sports Wagering Fund and deducted from the adjusted gross sports wagering receipts.

i) If a wager is identified as void under this Section after the commencement of any event or series of events on which the outcome of the wager is dependent, the amount of the wager shall be deducted from the adjusted gross sports wagering receipts and remitted to the Sports Wagering Fund, except for those wagers placed by an individual enrolled in the self-exclusion program.

History

• Source: Amended at 45 Ill. Reg. 3460, effective March 4, 2021

11 Ill. Adm. Code 1900.1130 Requests to Prohibit

Pursuant to Section 25-15(g) of the Act, the Board may prohibit a type or form of wagering, or wagering on a specific sport, event, league, or competition, that would otherwise be permitted under the Act and this Part, if it concludes the wagering in question would be contrary to public policy, unfair to consumers, or affects the integrity of a particular sport or the sports wagering industry.

a) A master sports wagering licensee, professional sports team, league, or association, sports governing body, institution of higher education, or the Administrator may submit to the Board a request to prohibit a type or form of wagering, or wagering on a specific sport, event, league or competition.

b) The request must be in writing, and shall include the following:

1. A detailed description of the type or form of wagering, or the sport, event, league, or competition; and

2. A detailed description of how the wagering in question is contrary to public policy, unfair to consumers, or affects the integrity of a particular sport or the sports wagering industry.

c) The Board shall post a copy of the request to its website for public review.

d) Licensees may submit comments or responses in writing to be considered by the Board. Any such comments or responses shall be submitted to the Board not later than 14 days after the request is posted.

e) All requests pursuant to this Section shall be exempt from Section 1900.110(b).

f) If a request is for prohibition of wagering on a specific event, the Board shall decide upon the request prior to that event, unless the first regularly scheduled Board meeting after the conclusion of the comment period is scheduled to occur after the start of the event. In that case, the Board shall decide upon the request at the first regularly scheduled Board meeting after the conclusion of the comment period.

g) If the Board grants the request, the type or form of wagering shall be deemed a prohibited wager, subject to the provisions of Section 1900.1120(b).

h) If the Board grants the request, any unredeemed wagers placed prior to the Board's decision shall be cancelled.

i) Temporary Suspension

1. On the date the request is posted or at any time thereafter, the Administrator may temporarily suspend wagering of the type or form of wagering identified in the request if the Administrator determines that the wagering poses a significant likelihood of serious risk to the integrity of sports wagering in Illinois or the public health, safety, morals, good order or general welfare of the people of the State of Illinois.

2. During the period of temporary suspension, no wagers of the type or form subject to the request may be placed or redeemed.

3. The Administrator may rescind the temporary suspension at any time.

4. The temporary suspension shall be rescinded upon issuance of a final Board order.

j) A master sports wagering licensee, professional sports team, league, association, sports governing body, institution of higher education, or the Administrator may request that a prohibition previously instituted pursuant to this Section be removed.

1. The Board shall post a copy of the request to its website for public review.

2. The Board shall not vote to lift any prohibition until at least 30 days after the public posting of the request.

11 Ill. Adm. Code 1900.1140 Authorized Events and Competitions

Pursuant to the Act, sports wagering may be permitted on any other event or competition of relative skill authorized by the Board [230 ILCS 45/25-10].

a) A master sports wagering licensee may submit to the Administrator in writing a request to permit wagering on a specific sport, event, league or competition of relative skill.

b) Prior to making a request to the Administrator, the master sports wagering licensee shall notify the organizer or governing body of the event or competition, if any, of the licensee's intent to make the request. The notification shall include the address and phone number of the Illinois Gaming Board.

c) The request to the Administrator must be in writing, and shall include the following:

1. A detailed description of the sport, event, league, or competition;

2. Identification of any known or possible risks to integrity of the event or competition, and what steps the organizer or governing body of the event or competition has taken or will take to minimize those risks; and

3. A description of any communication or cooperation made or attempted between the master sports wagering licensee and the organizer or governing body, including a copy of any written response from the organizer or governing body to the notification by the licensee.

d) The Administrator shall not grant a request to permit wagering less than

14 days after receiving the request.

e) In determining whether to grant a request, the Administrator shall consider any relevant factor, including but not limited to:

1. The best interests and needs of the Illinois sports wagering industry;

2. Any known or possible risks to the integrity of the event or competition; and

3. Whether granting the request would pose a threat to public confidence and trust in the Illinois sports wagering industry.

f) Upon approval of a request, any master sports wagering licensee may offer wagering on the subject event, sport, league, or competition.

History

• Source: Amended at 45 Ill. Reg. 3460, effective March 4, 2021

Chapter I Illinois Gaming Board

Part 1900 Sports Wagering

11 Ill. Adm. Code 1900.1150 Placement of Wagers

a) A master sports wagering licensee shall not accept any wager on any sports event, or of any type or kind, unless the type or kind of wager and subject of the wager has been documented in its internal control system.

b) A master sports wagering licensee shall always have the right to decline to accept any wager a patron attempts to place.

c) A master sports wagering licensee shall only accept wagers placed in United States currency. Sources of currency accepted by a master sports wagering licensee shall be documented in its internal control system.

d) A master sports wagering licensee bears the risk of ACH transfer or check insufficient funds, credit chargebacks, acceptance of counterfeit currency, or any other similar incident.

e) When a wager is placed in person through either a wagering kiosk or cashier, the patron shall be issued a ticket that meets all requirements of Section 1900.1420.

f) Master sports wagering licensees shall implement methods and procedures to detect and document abnormal or suspicious wagering activity. Those methods and procedures shall be documented in the internal control system.

g) Master sports wagering licensees shall not offer a loan, credit, or advancement of anything of value to any person to take part in sports wagering either directly or through a third party, unless the licensee holds an organization gaming license or owners license and is acting in accordance with 86 Ill. Adm. Code 3000.1050.

11 Ill. Adm. Code 1900.1160 Redemption of Wagers

a) A master sports wagering licensee shall redeem any winning ticket it has issued that has not expired.

b) A ticket shall expire one year after the date of the conclusion of the sports event or combination of sports events that is the subject of the wager.

c) The proceeds of any winning ticket that expires shall be deposited into the Sports Wagering Fund and deducted from the adjusted gross sports wagering receipts in the same manner as a redeemed wager, pursuant to Section 1900.1040.

d) A master sports wagering licensee, other than one holding a license pursuant to Section 25-45 of the Act, shall provide for in-person redemption of winning wagers at least eight hours per day, five days per week.

e) All wagers shall be redeemed in United States currency. The currency amount may be provided to the patron in any form that has been documented in the internal control system, subject to the following minimum requirements:

1. Any wager redeemed in person for an amount of $1,000 or less shall provide the patron the option of receiving cash or chips issued by the master sports wagering licensee pursuant to an owners license or organizational gaming license.

2. Any wager redeemed in person for an amount greater than $1,000 shall provide the patron the option of receiving a check issued at the time of redemption.

f) A master sports wagering licensee may provide for redemption of winning tickets or refund of void or canceled wagers by U.S. Mail. In that case, the licensee must document methods in its internal control system to provide for compliance with all other rules, including but not limited to:

1. Age verification;

2. Compliance with the self-exclusion program; and

3. Identification of illegal or suspicious activity.

11 Ill. Adm. Code 1900.1170 Cancelled or Void Wagers

a) A master sports wagering licensee shall not cancel any wager except in accordance with this Section.

b) Cancellation of an otherwise validly placed wager by a master sports wagering licensee shall be nondiscretionary. A master sports wagering licensee shall and shall only cancel a wager under the following circumstances:

1. Any wager where a sports event that is the subject of the wager is cancelled, or postponed or rescheduled to a different date prior to completion of the sports event;

A) In the case of a wager on a portion of a sports event, that wager shall be valid when the event is canceled, postponed, or rescheduled if the outcome of the affected portion was determined prior to the cancelation, postponement or rescheduling.

B) A master sports wagering licensee may establish a timeframe in which an event may be rescheduled or postponed without canceling the wager. This timeframe shall be tied to specific sports events, subject to the approval of the Administrator, and documented in the internal control system.

2. Any tier 1 wager in a non-team event when an individual athlete or competitor fails to participate in a sports event and the outcome of the wager is solely based upon that one individual's performance;

3. Any tier 2 wager when an individual athlete or competitor fails to participate in a sports event and the outcome of the wager is solely based upon that one individual's performance; or

4. A material change in circumstances occurs.

A) What constitutes a material change in circumstances for a given sports event or wager type is subject to the approval of the Administrator, and must be documented in the internal control system.

B) What constitutes a material change in circumstances must be clearly and prominently displayed to a patron at the time of placement of the wager.

5. When ordered by the Administrator pursuant to this Section.

c) A master sports wagering licensee may request the Administrator to order the cancellation of all wagers of a specific type, kind, or subject. A request to cancel shall be in writing, and contain the following:

1. A description of the type, kind, or subject of wager the licensee is requesting to cancel;

2. A description of any facts relevant to the request; and

3. An explanation why cancelling the wagers is in the best interests of the State of Illinois or ensures the integrity of the Illinois sports wagering industry.

d) The Administrator shall issue an order in writing granting or denying the request to cancel. In determining whether to grant or deny the request, the Administrator shall consider any relevant factors, including, but not limited to, the following:

1. Whether the alleged facts implicate the integrity of the sports event subject to the wager or the Illinois sports wagering industry;

2. Whether the alleged facts implicate possible illegal activity relating to the sports event or the Illinois sports wagering industry;

3. Whether allowing the wager would be unfair to wagering patrons; or

4. Whether allowing the wager is contrary to public policy.

e) No wager subject to the request to cancel shall be redeemed until the Administrator issues an order granting or denying the request to cancel.

f) If the Administrator grants the request to cancel, the master sports wagering licensee shall make commercially reasonable efforts to notify patrons of the cancellation.

g) The Administrator has discretion to order all master sports wagering licensees to cancel all wagers on a specific sports event or wagers of a specific type or kind on a specific sports event. In exercising his or her discretion, the Administrator shall apply the same factors described in subsection (b).

h) Any cancelled wager shall be refunded upon request by a patron. The request must be made prior to the expiration of the original redemption period, and shall be deducted from adjusted gross sports wagering receipts.

i) At the expiration of any outstanding cancelled wager which has not been refunded, the original amount of the outstanding wager shall be deducted from adjusted sports wagering receipts and remitted to the Sports Wagering Fund.

j) A wagerer may request that the Administrator or his or her designee review any wager declared void by a master sports wagering licensee. If the Administrator or his or her designee concludes there is no reasonable basis to believe there was obvious error in the placement or acceptance of the wager, the Administrator or his or her designee may order the master sports wagering licensee to honor the wager.

k) A master sports wagering licensee may declare a wager to be void if the licensee has reasonable basis to believe there was obvious error in the placement or acceptance of the wager. Those errors include, but are not limited to:

1. The wager was placed with incorrect odds;

2. Human error in the placement of the wager;

3. The ticket does not correctly reflect the wager; or

4. Equipment failure rendering a ticket unreadable.

l) If a wager is declared void pursuant to subsection (g), the wager shall be refunded to the patron and that amount shall be deducted from the adjusted gross sports wagering receipts.

m) A wager shall not be declared void pursuant to subsection (g) without the approval of a supervisory employee of the master sports wagering licensee.

n) All voided or cancelled wagers and all refunds of any voided or cancelled wager pursuant to this Part shall be logged at the time they occur.

o) A master sports wagering licensee shall provide a monthly summary report to the Board of all cancelled, voided, and refunded wagers in a manner or on the form as prescribed by the Administrator.

History

• Source: Amended at 45 Ill. Reg. 10979, effective August 27, 2021

Chapter I Illinois Gaming Board

Part 1900 Sports Wagering

11 Ill. Adm. Code 1900.1180 General Conduct of Wagering

a) A wager placed pursuant to the Act is not transferrable between patrons, regardless of whether for value.

1. If a master sports wagering licensee has reason to believe a wager ticket has transferred, the licensee shall report it to the Administrator or his or her designee.

2. Prior to the redemption of a wager, if the Administrator or his or her designee determines that a wager ticket has been transferred, the Administrator or his or her designee may order that the specific wager be cancelled.

b) No employee or key person of any licensee shall advise or encourage an individual patron to place a specific wager of any specific type, kind, subject, or amount. This restriction does not prohibit general advertising or promotional activities.

History

• Source: Amended at 45 Ill. Reg. 10979, effective August 27, 2021

11 Ill. Adm. Code 1900.1190 House Rules

a) House rules are a non-authoritative document compiled by the master sports wagering licensee for the purpose of summarizing portions of the internal control system and certain other information necessary to inform patrons of the functionality of the sports wagering operation.

b) Each master sports wagering licensee shall provide upon request a copy of its house rules to any patron.

c) Each master sports wagering licensee shall conspicuously post a notice within view of any in-person betting location that copies of the house rules are available.

d) The house rules shall include, but not be limited to:

1. A description of each type of wager;

2. A description of how winning wagers are determined;

3. An explanation of how to redeem winning wagers, and the expiration period for winning wagers;

4. A description of how and when wagers may be cancelled or voided, and the consequences of the cancellation or voiding;

5. A list of all forms of currency the master sports licensee accepts for placement of wagers;

6. A list of all forms of payment in which a patron may have a winning wager redeemed;

7. Description of means by which a patron may submit a complaint to the master sports wagering licensee;

8. Instructions on how to commence enrollment in the self-exclusion program; and

9. Instructions on how to report prohibited conduct to the Board pursuant to Section 1900.410.

e) Each master sports wagering licensee shall submit a copy of its house rules document or any revision to its house rules to the Administrator.

History

• Source: Amended at 45 Ill. Reg. 3460, effective March 4, 2021

11 Ill. Adm. Code 1900.1210 Internet Wagering – General

a) Internet wagering shall only be conducted between a master sports wagering licensee and a patron with a sports wagering account.

b) Internet wagering conducted by the holder of a master sports wagering license issued pursuant to Section 25-40 of the Act or its designee shall not occur greater than 3,300 feet from the nearest property line of the contiguous property on which the relevant sports facility is located.

c) A master sports wagering licensee shall implement methods or systems in the internet wagering system to detect unauthorized access to sports wagering accounts, fraud, theft, suspicious wagering activity, or other prohibited activity. Those methods shall be documented in the internal control system.

d) Proceeds of a winning wager shall be promptly deposited and reflected in the balance of a sports wagering account.

11 Ill. Adm. Code 1900.1220 Sports Wagering Accounts

a) Internet wagering shall only be engaged in by a patron through a sports wagering account established with a master sports wagering licensee.

b) In order to establish a sports wagering account, a master sports wagering licensee shall:

1. Create an electronic patron file, which shall include at a minimum:

A) Patron's legal name;

B) Patron's date of birth;

C) Entire or last four digits of the patron's Social Security number, if voluntarily provided, or equivalent for a foreign patron such as a passport or taxpayer identification number;

D) Account number;

E) Patron's residential address;

F) Patron's electronic mail address;

G) Patron's telephone number;

H) Any other information collected from the patron used to verify his or her identity;

I) Method used to verify the patron's identity;

J) Date of identity verification;

K) Patron's disclosure whether or not he or she is an athlete, competitor, referee, official, coach, manager, medical professional or athletic trainer or employee or contractor of a team or athletic organization.

2. Encrypt all of the following information contained in an electronic patron file:

A) Patron's Social Security Number or equivalent for a foreign patron such as a passport or taxpayer identification number;

B) Patron's passwords, answers to security questions, or similar; and

C) Patron's debit or credit card numbers, bank account numbers, or other personal financial information.

3. Patron Information

A) Verify the patron's identity either:

i) In person, by recording a signature and examining one government-issued photographic identification credential; or

ii) Other methodology for remote multi-sourced authentication, which may include third-party or governmental databases, as described in the master sports wagering licensee's internal control system and approved by the Administrator;

B) Provide the option to establish a password and means of two-factor authentication, and provide a patron with the option to always require two-factor authentication;

C) Verify the patron is at least 21 years of age, not enrolled in the self-exclusion program, or otherwise prohibited from wagering with the master sports wagering licensee;

D) Record the patron's acceptance of any terms and conditions, which shall at minimum include the patron's acknowledgment of the Act and this Part;

E) Record the patron's certification that the information provided to the master sports wagering licensee by the patron is accurate;

F) Record the patron's acknowledgement that the legal age for sports wagering is 21 and that he or she is prohibited from allowing any other person to access or use his or her sports wagering account; and

G) Notify the patron of the establishment of the account via electronic or regular mail.

c) A patron shall have only one sports wagering account with each master sports wagering licensee. A sports wagering account shall be:

1. Non-transferable;

2. Unique to the patron who established the account; and

3. Distinct from any other account number that the patron may have established with the master sports wagering licensee.

d) A sports wagering account may only be funded through:

1. A patron's debit card;

2. Deposit of United States currency by the patron at an in-person wagering location, including both cashiers or self-service kiosks;

3. When the master sports wagering licensee is also an organization gaming licensee or owners licensee, the deposit of chips or other cash value vouchers issued pursuant to the organization gaming or owners license by the patron with a cashier at an in-person wagering location, if that practice is documented in both the master sports wagering license and owners license or organization gaming license internal controls;

4. Reloadable prepaid card if it has been verified by the master sports wagering licensee as being issued to the patron and non-transferrable;

5. ACH transfer;

6. Deposit of United States currency through a money transmitter licensed under the Transmitters of Money Act [205 ILCS 657];

7. Complimentary, reward, or promotional amounts; or

8. Adjustments or refunds pursuant to this Part.

e) Funds may be withdrawn from a sports wagering account for the following:

1. The placement of wagers;

2. Cash withdrawal from a cashier at an in-person wagering location;

3. Cash transfer to a patron's reloadable prepaid cash card, which has been verified by the master sports wagering licensee as being issued to the patron and is non-transferrable;

4. Cash transfer to a patron's individual account with a bank or other financial institution;

5. Cash withdrawal from a redemption kiosk up to $3,000;

6. Adjustments made pursuant to this Part; or

7. Any other means in the approved internal control system.

f) Upon any deposit, withdrawal, or adjustment, the master sports wagering licensee shall send a confirmation email to the patron's registered address, and shall provide a means through which a patron may contest any transaction.

g) Adjustments shall only be made:

1. To correct an overpayment or underpayment to a sports wagering account due to error, regardless of whether the error was human or technological in nature; or

2. Due to a wager being canceled or deemed void.

h) All adjustments under $500 shall be periodically reviewed by supervisory personnel as set forth in the internal control system. All other adjustments shall be authorized by supervisory personnel prior to being entered.

i) The internet wagering system shall provide an account statement to patrons on demand, which shall include detailed account activity for at least the six months preceding 24 hours prior to the request.

j) The internet wagering system shall, both every six months and upon request, provide a summary statement of all of a patron's activity during at least the prior six months. When a statement is requested, it shall be transmitted no later than 24 hours after the request is made. The statement shall include, at minimum:

1. Deposits to the sports wagering account;

2. Withdrawals from the sports wagering account;

3. Win or loss statistics;

4. Beginning and ending account balances;

5. Responsible gaming limit history, if applicable; and

6. A statement regarding obtaining assistance with gambling problems, the text of which shall be determined under Department of Human Services rules (see 77 Ill. Adm. Code 2059.103).

k) A master sports wagering licensee shall periodically verify a patron's identification upon reasonable suspicion that the patron's identification has been compromised.

l) An internet wagering system shall provide a conspicuous and readily accessible method for a patron to close his or her sports wagering account. Any remaining balance in the sports wagering account shall be refunded pursuant to the master sports wagering licensee's internal control system.

m) Licensees shall not charge patrons a fee to withdraw or receive funds from a sports wagering account.

History

• Source: Amended at 49 Ill. Reg. 14640, effective October 28, 2025

Chapter I Illinois Gaming Board

Part 1900 Sports Wagering

11 Ill. Adm. Code 1900.1230 Client Requirements

a) Client software shall not retain patron account data when not logged in and connected to the internet wagering system, including but not limited to, client identity, login information, financial data, or wagering information.

b) Prior to login by a patron, client software shall prominently display a statement regarding obtaining assistance with gambling problems, the text of which shall be determined under Department of Human Services rules (see 77 Ill. Adm. Code 2059.103).

c) The client shall require two-factor authentication when sports wagering account logs in through a specific device for the first time.

d) Client software shall give a patron prominent and convenient access to a support page, screen, menu, or equivalent, which at minimum contains access to the following:

1. Name and contact information of the master sports wagering licensee or designee, including at minimum a phone number, email address, and physical address;

2. Complete explanation of all wager types a patron may place through the internet wagering system;

3. Responsible gaming limit functionality pursuant to Section 1900.1250;

4. Means by which a patron can submit a complaint to the licensee;

5. Contact information for the Board, including at minimum a link to the Board website;

6. Terms of service; and

7. Instructions and means to close a sports wagering account.

e) When terms of service or rules for a type of wager change, the client shall require a patron to acknowledge acceptance of the change.

11 Ill. Adm. Code 1900.1240 Account Suspension

a) Internet wagering systems shall employ a mechanism to suspend sports wagering accounts.

b) A sports wagering account shall be suspended by a master sports wagering licensee:

1. When ordered by the Administrator or his or her designee during the pendency of any investigation;

2. Upon determination that a patron is prohibited from placing any wagers with that master sports wagering licensee pursuant to Section 1900.1120;

3. When a sports wagering account has a negative account balance; and

4. When a master sports wagering licensee has reasonable suspicion of illegal activity or suspicious wagering activity.

c) When a sports wagering account is suspended, the internet wagering system shall:

1. Prevent the patron from wagering;

2. Prevent the patron from depositing funds, unless for the purpose of remedying a negative balance;

3. Prevent the patron from withdrawing or transferring funds, except when the only reason for suspension is that the patron is a prohibited person pursuant to Section 1900.1120;

4. Prevent the patron from making changes to the sports wagering account information;

5. Prevent the closure of the sports wagering account; and

6. Prominently display to the patron that the sports wagering account is suspended, the restrictions in place, and any further course of action needed to remove the suspension.

d) When a sports wagering account is suspended, the master sports wagering licensee shall notify the patron by email of the suspension. The notification shall include the restrictions placed on the sports wagering account and any further course of action needed to remove the suspension.

e) A suspension may only be lifted:

1. By order of the Administrator or his or her designee;

2. If the patron is no longer a prohibited person; or

3. If any negative balance has been remedied.

11 Ill. Adm. Code 1900.1250 Responsible Gaming Limits

a) An internet wagering system shall permit a patron to voluntarily impose limitations or restrictions on wagers that can be placed through the internet wagering system.

b) The internet wagering system must allow a patron to implement prohibitions including, at minimum, prohibitions on:

1. Dollar amount of wager;

2. Prohibiting new deposits; or

3. All wagering.

c) Patrons shall be permitted to determine the length of time of the limitation, but no limitation shall be imposed for less than 72 hours or greater than one year.

d) Limitations or restrictions imposed under this Section shall not be lifted prior to their expiration.

e) Upon the expiration of a limitation or restriction, the client shall notify the patron. The internet wagering system shall not accept wagers from the patron until the patron has acknowledged the notification. The notification shall give the patron the option to renew or extend the limitation.

f) The existence of any limitation or restriction shall not prevent a patron from withdrawing money from a sports wagering account or closing a sports wagering account.

g) If a patron has imposed any limitations or restrictions under this Section, a master sports wagering licensee shall not send sports wagering related direct digital marketing or promotional materials to the patron, including but not limited to electronic mail or push notifications.

11 Ill. Adm. Code 1900.1310 General

a) A master sports wagering licensee must document its sources for tier 2 data in its internal controls.

b) A master sports wagering licensee must document all types and kinds of tier 2 wagers offered in its internal control system.

c) There shall be no tier 2 wagers on the injury of a competitor.

History

• Source: Amended at 45 Ill. Reg. 10979, effective August 27, 2021

11 Ill. Adm. Code 1900.1320 Official League Data

a) For the purposes of this Subpart, "governing body" means any sports governing body, sports league, organization, or association headquartered in the United States.

b) A governing body shall notify the Board in writing of its intent to supply official league data to master sports wagering licensees pursuant to Section 25-25(g) of the Act only after the governing body or a vendor authorized by the governing body has been issued a tier 2 official league data provider license.

c) Notification by the governing body shall include:

1. Identification and contact information for at least one specific individual who will be the primary point of contact for issues related to provision of official league data and compliance;

2. If the governing body is not a licensee, identity of the vendor holding a tier 2 official league data provider license;

3. If the governing body is not a licensee, any contract between the governing body and the vendor holding a tier 2 official league data provider license;

4. If the governing body is a tier 2 official league data provider licensee, all contracts with master sports wagering licensees or applicants; and

5. A description of the data provided.

d) Upon receipt of notification, the Board shall electronically inform all master sports wagering licensees of the notification, including the date upon which all master sports wagering licensees are required to use official league data.

e) The Board shall maintain and publish a list of all governing bodies that provide official league data.

f) A governing body may rescind its notice at any time. The rescission must be in writing to the Board and all master sports wagering licensees to whom the governing body or its vendor is currently providing official league data.

11 Ill. Adm. Code 1900.1330 Commercial Reasonableness

a) Governing bodies or their vendors providing official league data must do so on commercially reasonable terms.

b) A master sports wagering licensee may petition the Board for a determination that the terms under which official league data is being provided are not commercially reasonable.

c) Any petition under this Subpart shall be submitted electronically to the Board and to the tier 2 official league data provider licensee. The petition shall:

1. Identify the petitioning master sports wagering licensee, including name, address, and contact information for any legal counsel;

2. Identify the respondent tier 2 official league data provider licensee;

3. Include a complete copy of the contract or offer sheet the petitioner alleges to include the unreasonable terms;

4. Include any facts upon which the petitioner will rely to show that the terms of the contract or offer are not commercially reasonable;

5. Include a summary of the petitioner's argument as to why the terms of the contract or offer are not commercially reasonable;

6. Contain the verification in the following form:

"The undersigned certifies that the statements set forth in this request are true and correct, except as to matters therein stated to be on information and belief and as to such matters the undersigned certifies as aforesaid that he/she verily believes the same to be true."; and

7. Be notarized.

d) If the Administrator determines that a petition does not meet all requirements of subsection (c), that petition shall be rejected and he or she shall notify the petitioner and respondent.

e) The respondent tier 2 official league data provider shall submit an answer electronically to the Board and to the petitioner within 21 days after submission of the petition.

f) Respondent's answer shall:

1. Identify the respondent, including name, address, and contact information of any legal counsel;

2. Include specific responses to any factual allegations made in the petition;

3. Include any additional facts upon which the respondent will rely;

4. Include a summary of the respondent's argument as to why the terms of the contract or offer are commercially reasonable;

5. Contain the verification in the following form:

"The undersigned certifies that the statements set forth in this request are true and correct, except as to matters therein stated to be on information and belief and as to such matters the undersigned certifies as aforesaid that he/she verily believes the same to be true."; and

6. Be notarized.

g) Failure to submit an answer within 21 days, or failure to submit an answer that complies with all requirements of this Section shall constitute an admission of all facts in the petition.

h) Upon receipt of a petition and answer that meet all requirements of this Section, the Board shall appoint an Administrative Law Judge pursuant to Section 1900.825 to conduct a hearing.

i) All hearings shall be conducted under the same procedures as those under Subpart H, with the following exceptions:

1. The burden of proof is on the petitioner to show by a preponderance of the evidence that terms of the contract or offer are not commercially reasonable;

2. Any party may move that the Administrative Law Judge make a recommendation on the pleadings. In any such motion, all facts will be strictly construed against the movant. A recommendation to grant a motion on the pleadings shall be considered by the Board prior to any other proceedings on the merits;

3. Any oral argument of any substantive motion and any oral proceeding involving contested facts shall be recorded stenographically;

4. The Administrative Law Judge shall tender any recommendation to both parties electronically and simultaneously;

5. The petitioner shall compile the record. The record shall consist of the following:

A) The petition;

B) The answer;

C) All evidence tendered to the Administrative Law Judge;

D) A statement of matters officially noticed;

E) Any substantive motions, responses, and rulings;

F) All offers of proof, objections, and rulings;

G) All transcripts; and

H) The recommendation, any findings of fact, and any conclusions of law made by the Administrative Law Judge;

6. Within 5 days after receipt of any recommendation of the Administrative Law Judge, the petitioner shall compile the record and tender it electronically to the respondent and the Board;

7. Each party may file exceptions to the recommendation of the Administrative Law Judge with the Board, with a copy to the opposing party, no later than 14 days after the receipt of the recommendation of the Administrative Law Judge; and

8. The non-prevailing party shall be liable for the costs of transcription and to the Board for administrative costs, unless the Board makes a finding in its final Board order that the non-prevailing party acted in good faith, in which case the costs shall be shared by both parties.

j) The Administrative Law Judge and the Board shall consider the following factors when determining whether the terms of a contract or offer are commercially reasonable:

1. Whether and to what extent the terms of the contract or offer are anticompetitive in nature;

2. Whether and to what extent the terms of the contract or offer are not economically feasible; and

3. Whether and to what extent the terms of the contract or offer are against the public interest of the State of Illinois.

11 Ill. Adm. Code 1900.1400 Technology Fee

As deemed necessary by the Administrator, an applicant or licensee for a Master Sports Wagering license, Supplier license, Management Services Provider license, or Tier 2 Official League Data Provider license may be billed directly or be required to reimburse the Board for any expenses, including any third party expenses, associated with the testing, certification, installation, training, review, or approval of sports wagering-related technology or technological enhancements to a sports wagering operation.

11 Ill. Adm. Code 1900.1410 Testing and Certification of Wagering Equipment

a) All wagering equipment must be tested by an independent outside testing laboratory licensed pursuant to the Illinois Gambling Act and 86 Ill. Adm. Code 3000.287 prior to sale or distribution by a supplier licensee.

b) The Administrator may develop and publish technical standards against which all independent outside testing laboratories must test any wagering equipment for compliance.

c) All wagering equipment shall be tested by the independent outside testing laboratory in accordance with 86 Ill. Adm. Code 3000.288. In addition to the requirements of 86 Ill. Adm. Code 3000.288, the report issued by the independent outside testing laboratory shall include:

1. The extent to which the wagering equipment meets the published technical standards, if any;

2. Whether the wagering equipment meets the requirements of the Act and this Part; and

3. Any additional information the Administrator needs in order to certify wagering equipment.

d) The Administrator shall review all wagering equipment for proper mechanical and electronic functioning, and consider the written test reports submitted by the independent outside testing laboratory.

e) After completing evaluations of the wagering equipment, the Administrator may certify the wagering equipment for use in Illinois.

f) Wagering equipment must be certified by the Administrator prior to use by a sports wagering operation.

g) The Administrator may suspend or revoke the certification of any wagering equipment without notice if the Administrator has good cause to believe the continued operation of the wagering equipment poses a threat to the security and integrity of the Illinois sports wagering industry.

h) The Administrator may issue temporary certification to any wagering equipment that has been previously tested and approved for operation in another jurisdiction similar to Illinois.

i) In determining whether to issue temporary certification, the Administrator shall consider any relevant factor, including but not limited to:

1. Wagering equipment standards and testing in the other jurisdiction;

2. Date of the most recent testing;

3. Professional reputation and history of the supplier;

4. The best interests and needs of the Illinois sports wagering industry; and

5. Whether issuing temporary certification would pose a threat to public confidence and trust in the Illinois sports wagering industry, or to the integrity and security of the Illinois sports wagering industry.

j) The Administrator may rescind temporary certification at any time for any just cause, including but not limited to the factors identified in subsection (h).

k) Temporary certification shall expire after 90 days. The Administrator may renew any temporary certification for good cause shown.

l) The Administrator may waive any technical requirement of any wagering equipment, including the sports wagering system and internet wagering system, established in this Part upon written request by a licensee. Waiver shall only be granted if the Administrator determines that other features or characteristics of the wagering equipment sufficiently meet the policy goals of the requirement that is being waived.

m) The Administrator may rescind a waiver granted under subsection (l) at any time if the Administrator has reason to believe that the wagering equipment no longer sufficiently meets the policy goals of the waived requirement.

11 Ill. Adm. Code 1900.1420 Wagering Equipment Requirements

a) General

1. Wagering equipment software shall contain sufficient information to identify the software and revision level of the information stored on the wagering equipment.

2. Wagering equipment able to accept or redeem wagers shall have the ability to authenticate that all critical components being used are valid upon installation of the software, each time the software is loaded for use, and upon manual request. Critical components include wagering data, elements that control communication with a sports wagering system, and any component necessary to conduct wagering or redemption through the device.

3. In the event of a failed authentication or other error, the wagering equipment shall cease accepting or redeeming wagers and display an appropriate error message.

4. Any wagering equipment shall electronically record all of the following information for each wager accepted:

A) Description of event;

B) Event identifying number;

C) Wager selection;

D) Type of wager;

E) Amount of wager;

F) Odds and payout of wager;

G) Date and time of wager; and

H) Unique wager identifier.

b) Kiosk and Point of Sale System Requirements

1. Kiosks and point of sale devices shall have an identification badge affixed to the exterior of the device by the licensed supplier. The badge shall not be removable without evidence of tampering. The badge shall include the following minimum information:

A) The name and license number of the supplier;

B) A unique serial number; and

C) Model number.

2. Hardware Requirements

A) Any circuit board, including modifications, switches, or jumpers, shall be documented prior to certification by the Administrator.

B) Any reconfiguration of a circuit board, switch, or jumper shall constitute a different version of the wagering equipment.

C) Power and data cables shall be routed so that they are not accessible to the general public.

D) Wired communication ports shall be clearly labelled and must be securely housed within the device to prevent unauthorized access to ports or cable connectors.

E) Devices shall not be adversely affected, other than resets, by surges or dips of 20% or less of supply voltage.

F) Device power supplies shall be appropriately protected by fuses or circuit breakers.

G) Devices shall resist liquid spills.

3. Security Requirements

A) Kiosks and point of sale devices shall be robust enough to resist forced entry into any secured doors, areas, or compartments without extreme force.

B) External doors shall be manufactured of materials that are suitable for allowing only legitimate access to the inside of the kiosk or device, and capable of withstanding determined and unauthorized efforts to gain access to the interior of the device.

C) The seal of the door of any locked area of a device shall be designed to resist the entry of objects.

D) Doors that provide access to secure areas of a kiosk or point of sale device shall be monitored by a door access detection system.

E) Any kiosk or point of sale device shall cease wagering operations when any secured area door is open.

4. Memory Requirements

A) Nonvolatile memory shall be used to store all data elements that are considered vital to the continued operation of the kiosk or point of sale device, including device configuration and state of operations unless that information can be automatically recovered from the sports wagering system.

B) Nonvolatile memory shall not retain sensitive information outside of kiosk and point of sale device operations.

C) All devices shall have backup or archive capability for the recovery of nonvolatile memory should a failure occur.

D) Nonvolatile memory storage shall be maintained by a methodology that enables errors to be identified. Acceptable methodology includes, but is not limited to, signatures, check sums, redundant copies, database error checks or other methods.

E) Comprehensive checks of critical nonvolatile memory data elements shall be made on startup.

F) An unrecoverable corruption of critical nonvolatile memory shall result in an error. Upon detection, the device software shall cease to function. Additionally, the critical nonvolatile memory error shall cause any communication external to the device to cease.

5. Software Errors

A) After a program interruption, a point of sale device shall recover to the state it was in immediately prior to the interruption occurring.

B) After a program interruption, a kiosk shall recover to the state it was in immediately prior to the interruption, but shall not allow any further action by a patron without intervention by an attendant unless the kiosk is able to recover and complete any interrupted operation without loss or corruption of any locally stored nonvolatile memory or installed software.

C) Any communications to an external device shall not begin until the program resumption routine, including any self-test, is completed successfully.

D) Any program interruption or recovery shall be electronically logged by either the affected wagering equipment or the sports wagering system.

c) Tickets generated by a kiosk or point of sale device shall include all of the following information:

1. Name and address of the master sports wagering licensee;

2. A barcode or similar machine readable marking corresponding to a unique wager identifier;

3. Identification of the kiosk or point of sale device that dispensed the ticket;

4. If generated by a point of sale device, identification of the cashier;

5. Identification of the event and wager;

6. Amount of the wager;

7. Odds and payout upon winning;

8. Date and time of the generation of the ticket; and

9. Expiration date of the ticket.

d) Redemption Requirements

1. Winning tickets shall be redeemed by a cashier through a point of sale device or by a redemption kiosk after verifying the validity of the ticket.

2. The point of sale device or kiosk shall electronically document the redemption of the wager, and record the following information:

A) Date and time of redemption; and

B) Serial number of the device or kiosk.

3. If a ticket is unreadable or otherwise cannot be validated by a redemption kiosk, the kiosk shall return the ticket to the patron.

e) Error Detection

1. A kiosk shall be capable of recognizing limitations or errors that render the kiosk not capable of operation or not capable of operation in accordance with this Part, including but not limited to:

A) Printer failure or jam;

B) Bill dispenser or acceptor jams;

C) Insufficient funds; or

D) Communications failure. The redemption kiosk shall electronically record the error and issue an error receipt.

2. A kiosk that detects any error shall be automatically rendered inoperable until intervention by an attendant.

3. If any error occurs during the processing of a transaction of any kind, the kiosk shall electronically record the error and issue an error receipt. The electronic record and error receipt shall include, at minimum, the date and time of error and nature of error:

A) Date and time of the attempted redemption;

B) Serial number of the redemption kiosk;

C) The nature of the error; and

D) In the case of a redemption error, the amount of the redemption and amount of any currency dispensed.

4. A master sports wagering licensee shall retain a record of all logged errors for no less than one year.

5. A master sports wagering licensee shall provide the Board a weekly summary of all logged errors, including the total number of errors logged and subtotals based on the nature of the error.

Chapter I Illinois Gaming Board

Part 1900 Sports Wagering

11 Ill. Adm. Code 1900.1430 Internet Wagering System Requirements

a) A master sports wagering licensee conducting sports wagering over the internet shall use an internet wagering system, all the integral components of which have been tested and certified pursuant to Section 1900.1410.

b) An internet wagering system shall employ a mechanism to detect the physical location of a patron upon logging into the client, or prior to placement of the first wager after logging in, and at a frequency to be specified in the master sports wagering licensee's internal control system.

c) An internet wagering system must have methods to detect and prevent efforts to defeat or circumvent the location detection mechanisms.

d) An internet wagering system shall not permit placement of wagers if it detects attempts to defeat or circumvent the location detection mechanisms.

e) Client software shall not engage in any other data collection other than that necessary for compliance with the Act and this Part, without the express approval of the Administrator.

f) Any data collected by the internet wagering system shall be considered confidential and shall not be disclosed except in accordance with this Part.

g) Data collected by client software shall not be used for any purpose other than compliance with the Act and this Part, and shall not be disclosed to any third party other than the Board, a licensed supplier of any component of the internet wagering system that collected the data, or a management services provider licensee acting as the designee of the master sports wagering licensee that collected the data, unless:

1. Approved by the Administrator when the Administrator concludes that doing so would further the public interests of the people of the State of Illinois; or

2. As required pursuant to Section 1900.130.

h) Any data disclosed pursuant to this Part shall not include personally identifying information of wagering patrons unless deemed necessary for law enforcement or investigative purposes by the Administrator. The determination shall be in writing.

i) Each master sports wagering licensee shall maintain modern best practices to ensure the security and integrity of the internet wagering system, including but not limited to:

1. Network security;

2. Patron identity authentication;

3. Location detection;

4. Error detection; and

5. Data security.

j) If a master sports wagering licensee becomes aware of a reproducible error in the internet wagering system that relates to network security, data security, location detection, or otherwise calls into question the security and integrity of the internet wagering system, the licensee shall notify the Board immediately. The notification shall include:

1. A description of the error;

2. Risks created or imposed by the error; and

3. Efforts being taken by the master sports wagering licensee to prevent any impact to the security and integrity of the internet wagering system or sports wagering system.

11 Ill. Adm. Code 1900.1440 Transfer, Maintenance and Disposal of Wagering Equipment

a) No supplier licensee shall sell, distribute, transfer or supply wagering equipment to any person in the State of Illinois other than the holder of a master sports wagering license, management services provider license, or supplier license.

b) No master sports wagering licensee or management services provider licensee shall sell, distribute, transfer or supply wagering equipment to any person in the State of Illinois other than an affiliated entity that holds a master sports wagering or management services provider license, or a holder of a supplier license.

c) Wagering equipment shall only be serviced or maintained by employees of a master sports wagering licensee, management services provider licensee, or supplier licensee.

d) The holder of a master sports wagering license or management services provider license shall only dispose of wagering equipment in a manner as prescribed in its approved internal control system, ensuring no critical or confidential data is retrievable after disposal.

11 Ill. Adm. Code 1900.1450 Sports Wagering System Requirements

a) Each master sports wagering licensee shall operate a single sports wagering system through which all sports wagering activity is conducted and recorded.

b) At no cost to the Board, each master sports wagering licensee shall provide the Board remote, read only, real time access to the sports wagering system. That access shall include, at minimum:

1. Complete access to all records of wagers, including canceled, voided, pending, and redeemed wagers;

2. Ability to query or sort wagering data; and

3. Ability to export wagering data in a non-proprietary format.

c) The sports wagering system shall have the capability to provide to a sports governing body real-time information regarding wagers placed on that sports governing body's events, when required under a request for cooperation pursuant to Section 1900.130. That information shall include:

1. A record of all wagers placed;

2. Amount and type of wager;

3. Location the wager was placed if it was placed in person;

4. If the wager was placed via the internet wagering system, the internet protocol address;

5. If the wager was placed via the internet wagering system and geolocation data exists, geolocation data shall be provided but it shall not be more detailed than the nearest quarter mile;

6. If the wager was placed via a sports wagering account, a unique, non-personally identifying account number; and

7. Any records of abnormal wagering activity identified by the master sports wagering licensee.

d) The Board may develop and implement a central sports wagering monitoring system for the purpose of compiling all sports wagering activity data from all master sports wagering licensees. In such event, each master sports wagering licensee shall provide all sports wagering activity data in a format compatible with the central sports wagering monitoring system.

e) All servers necessary to the placement or resolution of wagers, other than backup servers, shall be physically located in the State of Illinois.

f) Each master sports wagering licensee shall maintain modern best practices to ensure the security and integrity of the sports wagering system, including, but not limited to:

1. Physical security;

2. Access control;

3. Network security;

4. Resistance to manipulation;

5. Redundancy; and

6. Error detection.

g) A sports wagering system shall maintain records of all wagers for a period of not less than 10 years.

h) A sports wagering system shall record at minimum the following information for each wager:

1. Description of event or contest;

2. Unique identifier for the event or contest;

3. Wager selection;

4. Type of wager;

5. Amount of wager;

6. Odds and amount of potential payout;

7. Date and time of wager;

8. Unique identifier for the wager;

9. Unique identifier of the sports wagering account or patron, if applicable;

10. Internet protocol address and geolocation information, if the wager is placed through a mobile device;

11. Unique identifier of the kiosk or point of sale device through which the wager was placed, if applicable;

12. Unique identifier of the kiosk or point of sale device through which the wager was redeemed, if applicable; and

13. Whether a wager was cancelled or voided, and the reason, if applicable.

i) A sports wagering system shall perform, at least once every 24 hours, a self-authentication process on all software used to offer, record and process wagers to ensure there have been no unauthorized modifications. In the event of an authentication failure, a master sports wagering licensee shall immediately notify the Board. The results of all self-authentication attempts shall be recorded by the system and maintained for a period of not less than 90 days.

j) A master sports wagering licensee shall have internal controls in place to review the accuracy and timeliness of any data feeds used to offer or settle wagers. In the event that an incident or error occurs that results in a loss of communication with data feeds used to offer or redeem wagers, that error shall be recorded in a log capturing the date and time of the error, the nature of the error and a description of its impact on the system's performance. That information shall be maintained for a period of not less than six months.

k) If a master sports wagering licensee becomes aware of a reproducible error in the sports wagering system that relates to network security, data security, accurate placement, or recording or redemption of wagers, or otherwise calls into question the security and integrity of the internet wagering system, the licensee shall notify the Board immediately. The notification shall include:

1. A description of the error;

2. Risks created or imposed by the error; and

3. Efforts being taken by the master sports wagering licensee to prevent any impact to the security and integrity of the sports wagering system.

l) If an active sports wagering system ever fails, crashes, or becomes inoperable for any reason, the master sports wagering licensee shall notify the Board immediately.

Chapter I Illinois Gaming Board

Part 1900 Sports Wagering

11 Ill. Adm. Code 1900.1460 Software Change Management

a) After testing, certification, and installation of a sports wagering system, any further changes to the software of the system must be in compliance with this Section.

b) The sports wagering system must be tested and re-certified at least once every six months.

c) Changes to the Sports Wagering System

1. New Core Functions

A) A "core function" is any function related to the placement, recording, and resolution of wagers, or any other function or feature that affects the security, integrity, availability, or record keeping of the sports wagering system.

B) Any new core function must be tested and certified by the Administrator in accordance with Section 1900.1410 prior to installation on a live sports wagering system.

2. Substantial Changes to Core Functions

A) A "substantial change" is any change that directly affects the functionality of a core function.

B) A master sports wagering licensee shall notify the Administrator prior to the installation of any substantial change to a core function on a live sports wagering system. The notification shall include a clear identification of the core function that is affected, an explanation of the reason for the change, and an identification of any critical files affected.

C) The Administrator or his or her designee may order that the substantial change be tested and certified in accordance with Section 1900.1410 prior to installation on a live sports wagering system.

D) If the Administrator does not order testing and certification within three business days after the notification, the master sports wagering licensee may install the substantial change on the sports wagering system.

3. Changes to Non-core Functions

A) A "non-core function" is any other function of a sports wagering system that is not identified as a core function.

B) A master sports wagering licensee is not required to notify the Administrator of changes to non-core functions, except when any such change is related to or impacts a core function.

4. Emergency Changes

A) When an unanticipated incident occurs that causes a disruption in the collection, accuracy, integrity, or availability of the sports wagering system, the master sports wagering licensee must notify the Board in accordance with Section 1900.1450(k).

B) When such an incident is reported, the master sports wagering licensee may implement substantial changes to core functions of the sports wagering system without prior notification to the Administrator.

C) Emergency changes must be documented in the change log and the master sports wagering licensee shall notify the administrator immediately upon implementation of any emergency changes.

5. Logging

A) All changes to the sports wagering system must be recorded on a change log.

B) The change log must include date, summary of change, requestor, implementer, and results.

C) The change log must be made available to the Board upon request.

d) Each master sports wagering licensee shall include in its internal control system information detailing the software change management process for the sports wagering system, internet wagering system, client software, and any other software that is a component part of those systems. The internal control system must, at a minimum, address the following:

1. Process Description

A) Roles in change management process.

B) Handling requests for change.

C) Change classification procedure.

2. Writing release notes.

3. Administrator notification process.

4. Change logging.

History

• Source: Added at 45 Ill. Reg. 3460, effective March 4, 2021

11 Ill. Adm. Code 1900.1500 General Requirements – Internal Control System

The holder of a master sports wagering license shall establish, maintain and update an internal control system, the purposes and the procedures of which shall be designed to reasonably ensure that:

a) Assets are safeguarded;

b) Financial records are accurate and reliable;

c) Transactions are performed only in accordance with the specific or general authorization of the holder of a master sports wagering license;

d) Transactions are recorded adequately to permit proper reporting of adjusted gross sports wagering receipts and of fees and taxes, to maintain accountability for assets, and in conformity with generally accepted accounting principles;

e) Access to assets is permitted only by authorized personnel;

f) Recorded accountability for assets is compared with actual assets at reasonable intervals and appropriate action is taken with respect to any discrepancies;

g) Functions, duties and responsibilities are appropriately segregated and performed in accordance with sound practices by competent, qualified personnel;

h) Sports wagering is conducted with integrity; and

i) The requirements of the Act and this Part are followed.

11 Ill. Adm. Code 1900.1510 Approval of Internal Control System

a) The Board has delegated to the Administrator responsibility for approving, on behalf of the Board, the internal control systems of master sports wagering licensees if the Administrator finds that the internal control system meets the requirements of Sections 1900.1500 and 1900.1520.

b) The internal control system of an applicant or licensee must be initially approved by the Administrator prior to the commencement of sports wagering operations.

c) Proposed changes to the internal control system must be submitted in writing to the Administrator for approval. No internal control system change may be implemented by the master sports wagering licensee unless approved by the Administrator.

d) A master sports wagering licensee that holds an organization gaming license or owners license may incorporate by reference any internal control system that has been approved pursuant to the Illinois Gambling Act and its adopted rules.

e) The holder of a master sports wagering license or management services provider license is subject to disciplinary action for violations of its internal control system.

f) Occupational licensees are subject to disciplinary action for the violation of a master sports wagering licensee's internal control system.

g) The internal control system of each master sports wagering licensee may be reviewed for compliance with the requirements of this Part by an independent certified public accountant selected by the Administrator. Each certified public accountant must be registered in the State of Illinois under the Illinois Public Accounting Act [225 ILCS 450].

11 Ill. Adm. Code 1900.1520 Minimum Standards for Internal Control Systems

a) The internal control system shall include a detailed narrative description of the master sports wagering licensee's sports wagering, administrative and accounting procedures, including without limitation separate sections comprehensively describing the specific procedures that the licensee will follow in meeting the requirements of Section 1900.1500. The procedures shall discuss at a minimum, when applicable, the topics listed in subsection (c).

b) The Administrator shall develop and publish, with input from master sports wagering licensees, Minimum Internal Control Standards (MICS) necessary to address the requirements in Section 1900.1500. All internal control systems shall address all topics covered in the MICS.

c) The MICS shall cover, without limitation, the following topics:

1. Submission, Approval, and Amendment of the Internal Control System;

2. General and Administrative;

3. Access Control

A) General – Location and Access;

B) Key Procedures; and

C) Data Access;

4. Conduct of Wagering, including:

A) Wagering and Payout Procedures; and

B) Statistics;

5. Rules of Wagering, including:

A) What May be Wagered Upon;

B) Types of Wagers Offered; and

C) Establishing Lines or Payout Odds;

6. Wagering Equipment, including:

A) Access and Computer Monitoring Procedures;

B) Point of Sale Devices;

C) Kiosks;

D) Location, Conversion and Movement of Kiosks; and

E) Suspected Defective or Malfunctioning Equipment;

7. Kiosk Fill and Counts, including:

A) Transportation of Fills/Collections; and

B) Counting and Recording Drops;

8. Cashiering, including:

A) Fills and Payouts;

B) Cage Accountability; and

C) Main Bank/Vault Accountability;

9. Internet Wagering, including:

A) Sports Wagering Accounts;

B) Identity Verification;

C) Internet Wagering System Description, including:

i) Structural Overview;

ii) Security and Integrity; and

iii) Upgrade and Improvement Plans;

D) Identity Protection;

E) Fraud Prevention;

F) Contested Transaction Procedures; and

G) Patron Terms and Conditions;

10. Accounting, including:

A) Accounting Records;

B) Controls over Locked Accounting Box;

C) Procedures for Monitoring and Reviewing Wagering Operations; and

D) Monthly Reporting Requirements;

11. Suspicious Activity Reporting, including:

A) Financial Activity; and

B) Wagering Activity;

12. Internal Audit, including:

A) Required Internal Audits; and

B) Reporting Guidelines;

13. Surveillance, including:

A) Surveillance Room Access and Control; and

B) Surveillance System Description;

14. Security, including:

A) Case Number System/Incident Reports;

B) Lost Badges/Temporary Badges;

C) Power Failure/Camera Outage;

D) Enforcement of Wagering Restrictions/21 Years Old Minimum; and

E) Handling of Emergencies.

11 Ill. Adm. Code 1900.1610 Wagering Locations

a) Sports wagers may be placed or redeemed at:

1. One or more fixed windows or counters through a clerk, cashier, or other employee; or

2. Self-service kiosks.

b) Fixed Windows or Counters. Fixed windows or counters with cashiers may be operated at any location within a gaming operation, racetrack facility, or sports facility operated by a master sports wagering licensee.

c) Kiosks

1. Kiosks may be operated at any location within a gaming operation, racetrack facility, or sports facility operated by a master sports wagering licensee.

2. Kiosks must be supervised by an attendant at all times unless:

A) located inside the admissions turnstiles of a gaming operation or organization gaming facility; or

B) located inside a portion of a facility restricted to persons age 21 or over.

3. When kiosks are not located inside the admissions turnstiles of a gaming operation or organization gaming facility, or within a portion of a facility restricted to persons age 21 or over, the attendant shall be responsible for verifying the age of wagerers.

4. Kiosks shall not accept wagers greater than $500 without intervention of an attendant, unless located within the admissions turnstiles of a gaming operation or organization gaming facility.

5. Kiosks shall not redeem wagers for currency in an amount greater than $2,000 without intervention of an attendant.

11 Ill. Adm. Code 1900.1620 Sports Facilities

Sports wagering conducted by the holder of a master sports wagering license issued pursuant to Section 25-40 of the Act may occur in person at or within a 5-block radius of a sports facility.

a) For the purposes of the Act, a 5-block radius" is defined as 3,300 feet.

1. For the purposes of in-person wagering, the distance shall be measured along public rights of way from the nearest property line of the contiguous property on which the sports facility is located to the farthest outside edge of any structure, building, facility, or business in which sports wagering is occurring.

2. Where in-person wagering is occurring within one unit of a multi-unit building, the distance shall be measured to the farthest outside edge of the unit.

3. For the purposes of mobile online wagering, the distance shall be measured as a straight line to the nearest property line of the contiguous property on which the sports facility is located.

b) A master sports wagering licensee licensed pursuant to Section 25-40 of the Act may conduct in-person sports wagering at or within a 5-block radius of the sports facility only if any and all professional sports teams that play their home contests at that sports facility provide written authorization. The home facility for a professional sports team shall be defined by the applicable sports governing body, but not to include temporary or special arrangements.

c) A master sports wagering licensee licensed pursuant to Section 25-40 of the Act may place sports wagering windows, counters, or kiosks at any location within the 5-block radius.

d) Any entity with which a master sports wagering licensee enters into an agreement related to in-person wagering within a 5-block radius of a sports facility shall be considered a key person under Section 1900.530, except in the case of a commercial real estate lessor.

e) All portions of a sports wagering operation conducted outside of the sports facility are still subject to all requirements and restrictions of those within the sports facility, including but not limited to:

1. Use of occupational licensees;

2. Security of the operation and the designated gaming area; and

3. Surveillance and monitoring requirements.

f) All in-person sports wagering conducted within the 5-block radius shall comply with local zoning restrictions and regulations.

11 Ill. Adm. Code 1900.1630 Inter-Track Wagering Locations

a) A master sports wagering licensee licensed pursuant to Section 25-30 of the Act that also holds an inter-track wagering location license may conduct in-person sports wagering at up to three inter-track wagering locations associated with its inter-track wagering location license.

b) Any sports wagering windows, counters, or kiosks operated pursuant to this Section shall be located entirely within an inter-track wagering location.

c) A master sports wagering licensee that conducts or intends to conduct sports wagering operations at an inter-track wagering location shall disclose any contracts or agreements with the inter-track wagering location prior to commencing sports wagering operations at that location.

d) An inter-track wagering location at which a master sports wagering licensee conducts sports wagering operations shall be considered a key person under Section 1900.530.

e) All portions of a sports wagering operation conducted at an inter-track wagering location are subject to all requirements and restrictions of this Part, including but not limited to:

1. Use of occupational licensees;

2. Security of the operation and the designated gaming area; and

3. Surveillance and monitoring requirements.

f) All in-person sports wagering conducted at an inter-track wagering location shall comply with local zoning restrictions and regulations.

11 Ill. Adm. Code 1900.1640 Surveillance Requirements

a) All equipment that is used to monitor or record must remain solely accessible to the surveillance personnel and be exclusively for sports wagering operation surveillance, except when that equipment is being repaired or replaced.

b) The interior of the surveillance room shall not be visible to the public.

c) Each surveillance room shall have a minimum of four monitors, with appropriate switching capability to ensure that all surveillance cameras are accessible.

d) The Board and its agents shall at all times be afforded immediate access to the surveillance room and all records relating to that surveillance.

e) The master sports wagering licensee shall provide to the Board real time remote access to the surveillance system.

f) A master sports wagering licensee shall maintain a surveillance log of all surveillance activities in the surveillance room. The log shall be maintained by surveillance room personnel and shall include the following:

1. All persons entering and exiting the surveillance room;

2. Summary, including date, time and duration, of the surveillance; and

3. Record of any equipment or camera malfunctions.

g) All recordings shall be retained as provided in the records retention schedule pursuant to Section 1900.330 and shall be listed on a log by surveillance personnel with the date, times, and identification of the person monitoring the recording. Original recordings will be released to the Board upon demand.

h) Any recording that records illegal or suspected illegal activity or suspicious wagering activity shall, upon completion of the recording, be transferred to a read-only, non-erasable format approved by the Administrator. The recording shall be placed in a separate, secure area and notification given to the Administrator or his or her designee.

i) Unless specifically approved by the Administrator or his or her designee or pursuant to a lawful subpoena, the viewing of any surveillance recording is prohibited other than by:

1. Illinois Gaming Board staff;

2. Designated surveillance employees of a master sports wagering licensee or management services provider licensee; or

3. The General Manager, Chief of Security, or Sports Wagering Manager of a sports wagering operation, or their equivalents.

j) At various times, all surveillance equipment shall be subject to Board testing of minimum standards of resolution and operation. Any malfunction of surveillance equipment shall necessitate the immediate replacement or repair.

k) Any master sports wagering licensee that also holds an organization gaming license or owners license may integrate its surveillance system with the surveillance system required by the Illinois Gambling Act and the associated rule provisions (see Subpart H of 86 Ill. Adm. Code 3000), provided the surveillance system meets the standards of this Subpart P.

l) Remote access to the surveillance system is permitted by individuals other than Illinois Gaming Board staff if all of the following criteria are satisfied:

1. Access is limited to individualized unique log in credentials;

2. All access is logged, including, at minimum, the date and time of each access identity of the user and information identifying the sources of the remote access; and

3. The master sports wagering licensee establishes approved internal controls designed to prevent unauthorized access to the surveillance system.

Chapter I Illinois Gaming Board

Part 1900 Sports Wagering

11 Ill. Adm. Code 1900.1650 Required Surveillance Equipment

A master sports wagering licensee shall install and maintain a closed circuit television system in accord with the specifications herein and shall provide access to the system or its signal by the Board upon request. The closed circuit television must meet or exceed the following specifications:

a) Solid state, color cameras, ⅔, ½, ⅓ or ¼ format, with minimum 400 plus line resolution, installed in fixed positions with matrix control and/or with pan, tilt and zoom capabilities, secreted from public and non-surveillance personnel view to effectively and clandestinely monitor in detail, from various vantage points, the following:

1. All sports wagering transactions occurring at counters, windows, or kiosks;

2. The count processes conducted in any count rooms;

3. All portions of the designated gaming areas and any portions of the facility immediately adjoining the designated gaming area;

4. The area immediately surrounding any kiosk or redemption machine;

5. The movement of cash or cash equivalents within the designated gaming area or between the designated gaming area and any kiosk or redemption machine;

6. The entrance and exits to any designated gaming area; and

7. Other areas as the Administrator designates.

b) All closed circuit cameras equipped with lenses of sufficient magnification to allow the operator to clearly distinguish the value of cash used in any transaction.

c) Video monitors that meet or exceed the resolution requirement for video cameras with solid state circuitry, and time and date insertion capabilities for recording what is being viewed by any camera in the system. Each video monitor screen must measure diagonally at least 12 inches.

d) Video printers capable of adjustment and possessing the capability to generate instantaneously, upon command, a clear, color copy of the image depicted on the recording.

e) Date and time generators based on a synchronized, central or master clock, and visible on any monitor and when recorded.

f) Wiring to prevent tampering. The system must be supplemented with a back-up gas/diesel generator power source that is automatically engaged in case of a power outage and capable of returning to full power within seven to ten seconds.

g) An additional uninterrupted power supply system so that time and date generators remain active and accurate, and switching gear memory and video surveillance is continuous.

h) Video switchers capable of both manual and automatic sequential switching for the appropriate cameras.

i) Licensees shall utilize digitally recorded channels and must provide the IGB with the necessary software to review digitally recorded information.

j) All digital channels record at a minimum of 10 per second, or 30 frames per second when recording transactions. The systems must allow the secure and audited export of video files at the resolution originally recorded, including the capability of providing watermarked recordings or non-editable formatting to insure the integrity of the recorded images.

k) All digital recording systems shall be on a secure network independent and separated from any sports wagering systems or related information technology.

l) Audio capability in areas where transactions involving cashiers occur.

m) Adequate lighting in all areas where camera coverage is required. The lighting shall be of sufficient intensity to produce clear recording and still picture production, and correct color correction. The video must demonstrate a clear picture in existing light under normal operating conditions.

11 Ill. Adm. Code 1900.1660 Signage

a) Problem Gambling

1. Each master sports wagering licensee shall post signs with a statement regarding obtaining assistance with problem gambling.

2. The text of the signs shall be submitted to the Administrator for approval.

3. The text must at minimum include text materially consistent with Department of Human Services rules (see 77 Ill. Adm. Code 2059.103).

4. The text must include instruction on accessing the Illinois Gaming Board self-exclusion program.

5. The signs must be conspicuously posted and visible from any kiosk or wagering location not located within the admissions turnstiles of a gambling facility or organization gaming facility.

b) Under 21

1. Each master sports wagering licensee shall post signs stating individuals must be aged 21 years or older to place sports wagers.

2. The text of the signs shall be submitted to the Administrator for approval.

3. The signs must be conspicuously posted and visible from any kiosk or wagering location not located within the admissions turnstiles of a gambling facility or organization gaming facility.

11 Ill. Adm. Code 1900.1670 Occupational License Badges

a) All master sports wagering licensees and management services provider licensees shall provide the Board with the necessary equipment to produce temporary and permanent identification badges for occupational licensees and applicants.

b) Master sports wagering licensees and management services provider licensees shall be responsible for the costs of producing badges, including a fee of $10 to be paid to the Board for any replacement of an identification badge.

c) Badges Are Not Transferable. Upon resignation or termination of employment, badges must be returned to the master sports wagering licensee or management services provider licensee or the Board. If returned to the master sports wagering licensee or management services provider licensee, the master sports wagering licensee or management services provider licensee shall return the badge to the Board.

d) Badges shall meet the following requirements:

1. Be of a color selected by the master sports wagering licensee for use on all identification badges used by its occupational licensees;

2. Be visually distinct, to the naked eye and surveillance, from any occupational license badges issued pursuant to Section 9 of the Illinois Gambling Act;

3. When an individual is issued occupation licenses pursuant to both the Illinois Gambling Act and Section 25-15(e) of the Sports Wagering Act, the licensee may be issued a single badge;

4. Bear the name and logo of the sports wagering operation;

5. Provide a space for a photograph with a minimum size of 1" by 1¼";

6. Provide a space for a 12-digit number;

7. Display the employee's first name and job title;

8. Provide a space for the Administrator's signature;

9. Provide a space for the dates of issuance and expiration of occupational license; and

10. Provide on the reverse side of the card a line for the employee's last name, signature and date of birth.

e) An occupational license badge issued pursuant to this Part may also act as a badge for an occupational license issued pursuant to the Illinois Gambling Act, so long as it meets the requirements of both this Part and 86 Ill. Adm. Code 3000.245.

11 Ill. Adm. Code 1900.1710 Self-Exclusion Program

a) For the purposes of this Part, "Self-Exclusion List" means the list established pursuant to 86 Ill. Adm. Code 3000.750 and governed by 86 Ill. Adm. Code 3000.Subpart G.

b) Any individual who acknowledges that he or she has a gambling problem may request of the Board that he or she be excluded from participation in sports wagering in Illinois by placing himself or herself on the Self-Exclusion List.

c) Any individual on the Self-Exclusion List shall be subject to this Subpart Q.

11 Ill. Adm. Code 1900.1720 Distribution and Availability of Confidential Self-Exclusion List

a) Upon placement on the Self-Exclusion List by the Administrator, the name and identifying information of the self-excluded person shall be distributed to each master sports wagering licensee and management services provider licensee.

b) No licensee may disclose the name of any person on the Self-Exclusion List to any third party unless specifically authorized by rule or required by a court order specifically requiring the release of mental health records and information.

c) No licensee, applicant, or key person who obtains identifying information about a person on the Self-Exclusion List from any source may disclose the name or identifying information of the self-excluded person, except as necessary to effectuate, or as specifically permitted by this Part.

d) Any licensee, applicant, or key person who knowingly discloses, authorizes disclosure, permits a disclosure, or otherwise assists in the disclosure of the identity of a person on the Self-Exclusion List shall be subject to discipline for each disclosure, including but not limited to any disclosure by any of its officers, directors, employees, attorneys, agents and contractors, unless the disclosure complies with the following provisions:

1. The disclosure is made on the same need to know basis restriction applicable to mental health information to staff for the sole purpose of effectuating the approved internal control responsibilities.

2. The disclosure is made for the sole purpose of effectuating the Self-Exclusion program and this Part as to any customer tracking system, customer identification system, sports wagering system, internet wagering system, or any other financial transactions system.

3. The disclosure is made in compliance with the approved internal controls.

e) Disclosure may be made to affiliate gaming entities with the prior written approval of the Administrator. A licensee seeking such approval must provide to the Administrator an explanation of the manner in which the identity of the self-excluded persons will be maintained confidentially by the affiliate gaming operations.

f) Nothing in this Section prohibits disclosure of the name of a person on the Self-Exclusion List to the Board or its staff or to a person authorized in writing by the self-excluded person on the Self-Exclusion List to receive that information.

11 Ill. Adm. Code 1900.1730 Duties of Licensees Regarding Self-Excluded Persons

a) A master sports wagering licensee shall cause the name, address, and birthdate of any person on the Self-Exclusion List to be flagged on all mailing, marketing or promotional lists or databases.

b) A master sports wagering licensee shall not send marketing or promotional materials to any person placed on the Self-Exclusion List.

c) A master sports wagering licensee shall maintain a system designed to detect persons on the Self-Exclusion List so as to enforce this Part.

d) A master sports wagering licensee shall not cash checks for, extend credit to, or otherwise assist a person on the Self-Exclusion List to obtain funds for gambling purposes.

e) A master sports wagering licensee shall not accept a wager of greater than $500 without first verifying the identity of the patron against the Self-Exclusion List, unless the wager is placed within the admissions turnstiles of a gaming operation or organization gaming facility.

f) A master sports wagering licensee shall not redeem a wager for currency in an amount of greater than $2,000 without first verifying the identity of the patron against the Self-Exclusion List, unless the wager is placed within the admissions turnstiles of a gaming operation or organization gaming facility.

g) A master sports wagering licensee that holds an owners license or organization gaming license shall provide a means by which an individual on the Self-Exclusion List may turn in unredeemed tickets prior to the commencement of a sports event to obtain refunds pursuant to Section 1900.1740.

h) For any master sports wagering licensee that conducts internet wagering:

1. The licensee shall not allow an individual on the Self-Exclusion List to open a new sports wagering account;

2. The licensee shall identify and suspend any sports wagering account of any individual on the Self-Exclusion List;

3. The licensee shall void all outstanding wagers in accordance with Section 1900.1740; and

4. The licensee shall refund any remaining balance to the patron in a manner consistent with the licensee's internal control system.

11 Ill. Adm. Code 1900.1740 Effect of Enrollment

a) An individual on the Self-Exclusion List shall be prohibited from placing or redeeming wagers.

b) Any wager placed by an individual on the Self-Exclusion List prior to enrollment in the self-exclusion program shall be deemed void.

c) An individual who enrolls in the self-exclusion program may, at the time of enrollment or any time thereafter, return any in-person wagering ticket to the master sports wagering licensee that issued it to obtain a refund of the original wager amount, provided the refund occurs prior to the commencement of any event or series of events on which the outcome of the wager is dependent.

d) If, after the commencement of any event or series of events on which the outcome of the wager is dependent, a wager is identified as having been placed by an individual on the Self-Exclusion list, that wager shall be deemed void. The original amount of the wager shall be deducted from the adjusted gross sports wagering receipts and forfeited by the individual, to be donated to the charitable or government agency identified by the individual at the time of his or her placement on the Self-Exclusion List.

e) An individual on the Self-Exclusion List may not open a new sports wagering account.