Sign inStart free

New York Codes, Rules and Regulations (NYCRR)

Title 9 Part 4002

Executive Department

Browse the NYCRR by title, part, and section.

32 sections

Title 9 is open to everyone.

Ask LawEngine about the NYCRR →Create a free account →All 23 titles. No credit card required.

Source versions current through Jul 15, 2022 - Oct 7, 2026 across sections

Sections in this Part carry different compiled dates; each section shows its own.

9 NYCRR 4002.1 - Occupational licenses

Source version current through Jul 15, 2022

A matched Register action is not later than the compiled-text reference date.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022
Related Register notice
SGC-40-20-00001-A · Adopted rule
Related notice published
Feb 10, 2021
Related notice effective date
Feb 10, 2021
(a)No person shall participate in the affairs of any association or corporation licensed or franchised by the commission or franchise oversight board to conduct thoroughbred race meetings at which pari-mutuel betting is permitted as director, agent, or employee of such track, unless such person shall have received an occupational license from the commission.
(b)No person shall participate in or at any thoroughbred race meet as a managing owner, racing owner, trainer, assistant trainer, jockey, apprentice jockey, jockey agent, veterinarian, veterinary technician, farrier, stable employee, track supplier, equipment supplier, salesman, or agent or be the holder or operator of any concession, or perform any service, including without limitation the conduct of negotiations on behalf of any person or persons who engage in any racing activities or perform any services in connection with the conduct of any thoroughbred race meet, or engage in any occupation or employment at any thoroughbred race meet unless such person shall have received an occupational license from the commission, with the following exceptions:
(1)public officers and public employees engaged in the performance of their official duties; and
(2)persons exempted by the commission from the occupational license requirement.
(c)Every such license shall provide that the license shall comply with this Subchapter and that violation thereof may be punished by suspension or revocation of such license. Such licenses shall be issued only to natural persons.
(d)It shall be the responsibility of each track to prevent any person not holding an occupational license from doing or performing any act or acts at its track.
(e)An application for an occupational license shall be made upon a form supplied by the commission and shall be executed in the manner prescribed by the commission. The commission may issue instructions as to the preparation and execution of applications for occupational licenses, which instructions may be a part of or separate from the application form. Failure to comply with any such instructions shall be grounds for denial, suspension or revocation of an occupational license. When so instructed by the commission, the applicant shall file with the application fingerprints and photographs in requisite number. The fingerprints so obtained shall be transmitted by the commission to the New York State Identification and Intelligence System, the Federal Bureau of Investigation Identification Division, and any other government agency of any state or country selected by the commission, for the purpose of establishing identity and previous criminal record, if any, of the applicant.
(f)Should a licensee lose a license or should a license in some manner be destroyed, such licensee may apply for a duplicate license by filing an affidavit on a form supplied by the commission and the payment of a fee of $5.
(g)Each applicant for an occupational license shall pay an annual license fee at the time of the filing of the application. In addition to the statutory license fees for owners, trainers, assistant trainers, jockeys, jockey agents, and stable employees set forth in Racing, Pari-Mutuel Wagering and Breeding Law section 220(1), license fees are:
(1)farrier, track management, veterinary technician—$20;
(2)mutuel—$10;
(3)cleaning and food service workers, exercise rider, authorized agent—$5; and
(4)all others—$10.

Such fees shall be multiplied by two for two-year terms and by three for three-year terms.

(h)It shall be the responsibility of the trainer to determine that every person employed by the trainer’s at a track and every assistant trainer, groom, clerk, assistant or other person working regularly in the trainer’s stable at a track is licensed by the commission. It shall be the responsibility of the trainer to refuse to represent any participant at a licensed track under circumstances in which the trainer, by the exercise or reasonable discretion, has reason to believe that said participant has not been licensed by the commission and to report said circumstances to the track steward.
(i)No unlicensed person shall enter or be present in the stable area, paddock, racing strip, infield, or mutuel area of a track without permission from the commission and each track shall use all practicable measures to enforce the above restrictions.
(j)Upon the commission's request, an applicant for an occupational license or a licensee shall furnish to the commission records or information pertaining to such person’s service in the Armed Forces, treatment for any physical or mental condition, including confinement in any institution, past or present financial condition, past or present employment and any other information or records that may be deemed necessary by the commission. Failure to furnish such records and information if available, and if not available to cooperate with and assist the commission in obtaining such records and information, shall be grounds for denial, suspension, or revocation or fine by the commission.
(k)Before the commission issues or reinstates an occupational license, it may require as a condition for issuing or reinstating such license, that the person involved produce proof:
(1)that if such person is to be employed, that such person’s proposed employer intends to so employ such person upon issuance or reinstatement of the license; or
(2)that if such person is to be otherwise engaged in thoroughbred racing that such person is able, financially or otherwise, to so participate upon licensing.

9 NYCRR 4002.2 - Unlicensed activity forbidden

Source version current through Jul 15, 2022

Later State Register activity may affect this section.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022

No person requiring a license from the commission shall carry on any activity whatsoever upon the premises of a licensed racing association unless and until the person has been so duly licensed, except that any such person with the consent of the steward of the commission may so act pending action on such person’s application duly filed.

9 NYCRR 4002.3 - Stable employee defined

Source version current through Jul 15, 2022

Later State Register activity may affect this section.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022

The term stable employee shall be deemed to include an authorized agent, subagent, stable manager and any other employee of a licensed owner associated with such owner's racing activities, except as otherwise in sections 4002.1 through 4002.3 of this Part.

9 NYCRR 4002.4 - Earlier source heading: [Repealed]

Source version current through Jul 15, 2022

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022

Current section text is not available here.

9 NYCRR 4002.5 - Application for license-form

Source version current through Jul 15, 2022

Later State Register activity may affect this section.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022

The application for the license shall be in writing in such form as the commission may prescribe and contain such information as the commission may require. Such application shall be duly sworn to before a notary public or commissioner of deeds who shall affix his or her seal. Such application shall be accompanied by the amount of the license fee therefor in such form as may be acceptable to the commission.

9 NYCRR 4002.6 - Application for license-procedure

Source version current through Jul 15, 2022

Later State Register activity may affect this section.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022
(a)Applications for such licenses shall be received by the commission on and after January 2nd in each year at the principal office of the commission in Schenectady, NY, or by personal delivery at the commission’s branch office at the race course at which a meeting is being conducted at the time.
(b)All applications shall be referred to the Bureau of Licensing of the commission, and no license shall be issued until after approval thereof by the commission.
(c)No license shall be delivered to the applicant unless substantial evidence is first presented to the commission that the applicant will participate in racing in New York during the season.

9 NYCRR 4002.7 - Term of license

Source version current through Jul 15, 2022

A matched Register action is not later than the compiled-text reference date.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022
Related Register notice
SGC-40-20-00001-A · Adopted rule
Related notice published
Feb 10, 2021
Related notice effective date
Feb 10, 2021

Each such license, unless revoked for cause, shall be for the period of no more than one, two or three years, expiring on the applicant's birth date, as prescribed by Racing, Pari-Mutuel Wagering and Breeding Law section 220(1). A renewal license for owner, trainer, assistant trainer, jockey, jockey agent, racing official, mutuel employee, maintenance employee of the New York Racing Association, Inc., veterinarian, veterinary technician, farrier, track management or track security employee shall be for three years unless an individual establishes good cause for a shorter term or the commission in the commission’s discretion determines a shorter term.

9 NYCRR 4002.8 - Qualifications for license

Source version current through Jul 15, 2022

A matched Register action is not later than the compiled-text reference date.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022
Related Register notice
SGC-40-20-00001-A · Adopted rule
Related notice published
Feb 10, 2021
Related notice effective date
Feb 10, 2021
(a)In considering qualifications for a license pursuant to Racing, Pari-Mutuel Wagering and Breeding Law section 220(2), the commission may establish criteria to be met concerning specific license occupations as a condition for licensing. If the commission finds that the applicant fails to meet any of said conditions, the commission shall not grant such license and the commission shall notify the applicant of the denial.
(b)In order to maintain a current license, trainers and assistant trainers must complete at least four hours per calendar year of continuing education courses approved by the commission. Trainers and assistant trainers who are not domiciled in New York and have 12 or fewer starts during the previous 12 months may request a waiver of this requirement from the State steward.

9 NYCRR 4002.9 - Grounds for refusal, suspension, revocation.

Source version current through Oct 7, 2026

A matched Register action is not later than the compiled-text reference date.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Oct 7, 2026
Related Register notice
SGC-13-22-00005-A · Adopted rule
Related notice published
Jul 20, 2022
Related notice effective date
Jul 20, 2022

Grounds for refusal, suspension, revocation.

(a)The commission may refuse to issue or renew a license, or may suspend or revoke a license if it shall find that the applicant or any person who is a partner, agent, employee or associate of the applicant has been convicted of a crime in any jurisdiction, or is or has been associating or consorting with any person who has or persons who have been convicted of a crime or crimes in any jurisdiction or jurisdictions, or is consorting or associating with or has consorted or associated with bookmakers, touts or persons of similar pursuits, or has himself engaged in similar pursuits, or is financially irresponsible, or has been guilty of or attempted any fraud or misrepresentation in connection with racing, breeding or otherwise, or has violated or attempted to violate any law with respect to racing in any jurisdiction or any rule, regulation or order of the commission, or shall have violated any rule of racing that shall have been approved or adopted by the commission, or has been guilty of or engaged in similar, related or like practices. Furthermore, the commission may refuse to issue or renew a license, or may suspend or revoke a license if, in the opinion of the commission, the refusal to issue or renew a license or the suspension or revocation of a license is necessary to protect the public health, safety or welfare.
(b)The stockholders, members or beneficiaries of any lessor corporation, syndicate, partnership, estate, trust or other legal entity that leases horses or designates a managing owner, for racing purposes in the State of New York, as well as such entity, shall make and file with the commission as and when requested by the commission, a report or reports under oath containing such information as the commission may specify. Upon refusal or failure to file any such report or reports, the commission may disqualify any horses in which such entity has a property interest from racing or may refuse a license to any lessee or designee of such corporation, syndicate, partnership or other entity or may revoke any such license that it may have granted.
(c)In addition to the commission’s powers to suspend or revoke a license or as an alternative to the exercise of any such powers, the commission may impose such civil penalty as may be prescribed by law.
(d)A denial of or refusal to issue a license shall be subject to adjudication in accordance with Racing, Pari-Mutuel Wagering and Breeding Law section 220 and the provisions of Part 4550 of this Chapter.

9 NYCRR 4002.10 - Procedure for revocation

Source version current through Jul 15, 2022

Later State Register activity may affect this section.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022

No license shall be revoked unless such revocation is at a meeting of the commission on notice to the licensee, who shall be entitled to a hearing in respect of such revocation. In the conduct of such hearing the commission shall not be bound by technical rules of evidence but all evidence offered before the commission shall be reduced to writing, and such evidence together with the exhibits, if any, and the findings of the commission shall be permanently preserved and shall constitute the record of the commission in such case. The action of the commission in refusing, suspending or in revoking a license shall be reviewable in the Supreme Court in the manner provided by and subject to the provisions of article 78 of the Civil Practice Law and Rules.

9 NYCRR 4002.11 - Refund of fees

Source version current through Jul 15, 2022

A matched Register action is not later than the compiled-text reference date.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022
Related Register notice
SGC-40-20-00001-A · Adopted rule
Related notice published
Feb 10, 2021
Related notice effective date
Feb 10, 2021

Refund of fees is governed by Racing, Pari-Mutuel Wagering and Breeding Law section 220(4).

9 NYCRR 4002.12 - Jockeys-minimum age

Source version current through Jul 15, 2022

Later State Register activity may affect this section.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022

No jockey license shall be granted to anyone less than 16 years of age.

9 NYCRR 4002.13 - Ownership affidavit required

Source version current through Jul 15, 2022

Later State Register activity may affect this section.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022

An owner to be eligible for a license may be required to submit an affidavit as to his or her ownership or lease of all horses in his or her possession in such form as the commission may require.

9 NYCRR 4002.14 - Certain disqualifications

Source version current through Jul 15, 2022

A matched Register action is not later than the compiled-text reference date.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022
Related Register notice
SGC-40-20-00001-A · Adopted rule
Related notice published
Feb 10, 2021
Related notice effective date
Feb 10, 2021
(a)No person shall be eligible for an owner's or trainer's license if, during the term of such license, he or she would practice as farrier, veterinarian, or veterinary technician with horses racing under the jurisdiction of the commission; provided, however, that a duly licensed owner may personally shoe a horse owned by him or her upon applying for and receiving a certificate of fitness therefor from the commission.
(b)Disqualification of a licensee from having a license applies equally to the licensee's spouse, unless the spouse of the disqualified person shows to the satisfaction of the commission that ownership and racing of his or her horses are independent of or not under the control or influence of the disqualified spouse.

9 NYCRR 4002.15 - Amateur jockey to be licensed

Source version current through Jul 15, 2022

Later State Register activity may affect this section.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022

An amateur wishing to ride in races on even terms with jockeys must obtain a jockey license from the commission.

9 NYCRR 4002.16 - Temporary licensing and emergency permits

Source version current through Jul 15, 2022

Later State Register activity may affect this section.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022

In an emergency, the steward of the commission may permit owners, trainers, assistant trainers and jockeys to start, train or ride pending action on their applications. To the extent necessary and for the sole purpose of permitting an applicant for a rider license to demonstrate proficiency, the steward of the commission may issue a temporary license.

9 NYCRR 4002.17 - Riding without license

Source version current through Jul 15, 2022

Later State Register activity may affect this section.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022

Persons never having ridden in a race may be allowed to ride twice before applying for a license, if approved by the steward of the commission; but licenses shall not be granted to persons who have never ridden in a race.

9 NYCRR 4002.18 - Ineligibles not to be employed

Source version current through Jul 15, 2022

Later State Register activity may affect this section.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022

All persons holding or applying for occupational licenses are forbidden to employ, in any capacity in or in connection with their licensed occupations, any person determined or adjudged by the commission to be ineligible for an occupational license.

9 NYCRR 4002.19 - Financial responsibility

Source version current through Jul 15, 2022

Later State Register activity may affect this section.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022

Any participant who shall accumulate unpaid obligations, default in obligations, issue drafts or checks that are dishonored or payment refused, or otherwise display financial irresponsibility reflecting on his or her experience, character or general fitness, shall be subject to refusal, suspension or revocation of license.

9 NYCRR 4002.20 - Badge identification system

Source version current through Jul 15, 2022

A matched Register action is not later than the compiled-text reference date.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022
Related Register notice
SGC-40-20-00001-A · Adopted rule
Related notice published
Feb 10, 2021
Related notice effective date
Feb 10, 2021

All licenses and participants shall comply with the requirements of section 4003.50(b) of this Title and shall be subject to the provisions of section 4003.50(h) of this Title for failure to so comply.

9 NYCRR 4002.21 - License requirements for assistant trainer

Source version current through Jul 15, 2022

Later State Register activity may affect this section.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022
(a)In addition to the qualifications set forth in section 4002.8 of this Part, an initial license as an assistant trainer may only be issued to an applicant who:
(1)is at least 18 years of age;
(2)has a minimum of three years experience in the care of horses on the race track or horse farm, at least two full years of which is as a gainfully employed licensed groom or licensed exercise person;
(3)is vouched for, in writing, by the licensed trainer by whom such assistant trainer will be employed;
(4)passes a written or oral test conducted by the commission which may include questions on horse anatomy, disease, medication, applicable rules, regulations and training conditions of racing, stable business management, training procedures and equipment; and
(5)passes a practical examination administered by the commission which may include questions on anatomy, lameness/disease and care of a horse and demonstrations of bandaging, saddling and other standard practices.
(b)The commission may waive such testing requirements if the applicant has been licensed as an assistant trainer in another jurisdiction for at least one year and otherwise satisfies the commission as to experience and competence.

9 NYCRR 4002.22 - License qualifications for trainer

Source version current through Jul 15, 2022

Later State Register activity may affect this section.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022

In addition to the qualifications set forth in section 4002.8 of this Part, an initial trainer's license may only be issued to an applicant who:

(a)has been employed at least 12 months as a licensed assistant trainer in this State; or
(b)has been licensed as a trainer in another jurisdiction for one year, and presents a certificate from the stewards at a track in such other jurisdiction that they believe such applicant to be a competent and qualified trainer.

9 NYCRR 4002.23 - License qualifications for private trainer

Source version current through Jul 15, 2022

Later State Register activity may affect this section.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022

In addition to the qualifications set forth in section 4002.8 of this Part, an initial private trainer's license may be issued to an applicant that will allow the applicant to act as trainer only for horses in which the applicant holds an ownership or lease interest exceeding 50 percent if the applicant:

(a)has been licensed as an owner in this or another jurisdiction for at least one year;
(b)can show three years of concentrated experience in the care and training of thoroughbred race horses; and
(c)passes the written and practical tests given for assistant trainer.

9 NYCRR 4002.24 - License requirements for jockey's agent.

Source version current through Oct 7, 2026

A matched Register action is not later than the compiled-text reference date.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Oct 7, 2026
Related Register notice
SGC-30-22-00011-A · Adopted rule
Related notice published
Oct 19, 2022
Related notice effective date
Oct 19, 2022

License requirements for jockey's agent.

In addition to the qualifications set forth in section 4002.8 of this Part:

(a)a license as a jockey's agent may be initially issued only to an applicant who:
(1)is at least 18 years of age;
(2)passes a written or oral test conducted by the commission, which may include questions on entry and eligibility requirements for horses to race and the rules and regulations relating to jockeys, jockey's agents and racing in general;
(3)has submitted to the commission a written contract or other evidence of appointment by a jockey for whom such applicant is to act as agent; and
(4)is qualified, as determined by the stewards or other commission designee, by reason of experience, background and knowledge.
(b)An applicant may also be initially licensed as a jockey's agent if the applicant has been licensed as a jockey's agent in another jurisdiction for at least one year and otherwise satisfies the commission as to experience and competence.

9 NYCRR 4002.25 - License requirements for farrier

Source version current through Jul 15, 2022

Later State Register activity may affect this section.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022

In addition to meeting the qualifications as set forth in section 4002.8 of this Part:

(a)an initial farrier's license may be issued to an applicant who:
(1)is at least 18 years of age;
(2)has served at least three years verified apprenticeship with a licensed farrier or, if possessing a valid certificate from a recognized farrier's school, two years of such apprenticeship (or equivalent experience acceptable to the commission);
(3)passes a written or oral examination, administered by the commission, consisting of questions on horse anatomy, particularly hoof and leg structure, lameness/disease of the hoof and leg, the types and uses of different shoes, and the procedures of shoeing; and
(4)passes a practical test to the commission's satisfaction consisting of shoeing a horse, including a fire test while observed by a designee of the commission, the State veterinarian and other persons duly designated by the commission.
(b)an initial farrier's license may also be issued to a farrier, licensed as such by another state, who has practiced at a race track in such other state for at least two years as certified by the stewards at such track, and who presents a statement by two licensed public trainers in this State that they will employ his or her services at the track;
(c)notwithstanding subdivision (a) of this section, a licensed owner or licensed trainer may be certified by the commission to shoe only his or her own horses or only those horses trained by him or her if:
(1)he or she has been licensed as owner or trainer for at least four years; and
(2)he or she passes the written or oral examination for farriers prescribed in subdivision (a) of this section.

9 NYCRR 4002.26 - License requirements for exercise rider

Source version current through Jul 15, 2022

A matched Register action is not later than the compiled-text reference date.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022
Related Register notice
SGC-35-20-00008-A · Adopted rule
Related notice published
Dec 16, 2020
Related notice effective date
Dec 16, 2020

In addition to the requirements of sections 4002.8 and 4002.29 of this Part:

(a)An exercise rider license may be issued only to an applicant who has received and submitted an endorsement of the head outrider and a steward in a form and manner approved by the commission. The head outrider, by making an endorsement, certifies that the applicant has been observed riding one or more horses on the racetrack and has an ability to navigate safely and respond safely to track conditions.
(b)An applicant for an initial exercise rider license shall provide evidence of employment by a licensed trainer, except as otherwise provided under this Part.
(c)An exercise rider shall not be authorized to ride from a starting gate unless the exercise rider has received the endorsement of the starter certifying that the exercise rider has demonstrated knowledge of starting gate procedures and is satisfied that the exercise rider can break safely from a starting gate.
(d)An outrider may require an exercise rider during the first six months of initial licensure as an exercise rider to wear a helmet cover and vest and/or an armband of a distinctive color while training.

9 NYCRR 4002.27 - License requirements for apprentice jockey

Source version current through Jul 15, 2022

A matched Register action is not later than the compiled-text reference date.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022
Related Register notice
SGC-35-20-00008-A · Adopted rule
Related notice published
Dec 16, 2020
Related notice effective date
Dec 16, 2020

In addition to the requirements of sections 4002.8 and 4002.29 of this Part, an apprentice jockey license may be issued only to an applicant who:

(a)is at least 16 years of age;
(b)if, under 18 years of age, has the written consent of a parent or guardian;
(c)is vouched for, in writing, by a licensed trainer who has engaged the applicant as an exercise rider;
(d)has at least two years of experience on the backstretch or farm in horse handling, the past one year of which has been as an exercise person;
(e)has obtained a gate card from the starter at the meeting;
(f)passes a written or oral examination conducted by the stewards, which may include questions on the anatomy, characteristics and locomotion of the horse, lameness, bleeding and other equine problems, riding and track equipment, and rules and regulations relating to jockeys and racing in general; and
(g)thereafter demonstrates riding ability satisfactory to the commission while temporarily licensed. Should such applicant foul, be careless or unsafe, or be found guilty of any other riding infraction while temporarily licensed, the apprentice jockey may be penalized for such conduct, including the temporary license may be cancelled and not reissued for six months.

9 NYCRR 4002.28 - License requirements for jockey

Source version current through Jul 15, 2022

A matched Register action is not later than the compiled-text reference date.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022
Related Register notice
SGC-35-20-00008-A · Adopted rule
Related notice published
Dec 16, 2020
Related notice effective date
Dec 16, 2020

In addition to the requirements of sections 4002.8 and 4002.29 of this Part, a full jockey's license (initial and renewal) may be issued only to an applicant who:

(a)meets the requirements of an apprentice jockey in section 4002.27 of this Part;
(b)can demonstrate good physical condition for a jockey; and
(c)has demonstrated to the stewards a competence of riding ability, which may include consideration of the recommendations from the starter, head outrider and the designated representatives of the jockeys and the horsemen of the racetrack. The demonstration of ability shall include the ability to break with a horse in company from the starting gate, working a horse in company around a turn and down a stretch, switching a crop from one hand to the other while maintaining control of the horse in a stretch drive, and causing a horse to switch lead coming out of a turn.

9 NYCRR 4002.29 - Rider medical fitness for licensing

Source version current through Jul 15, 2022

A matched Register action is not later than the compiled-text reference date.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022
Related Register notice
SGC-35-20-00008-A · Adopted rule
Related notice published
Dec 16, 2020
Related notice effective date
Dec 16, 2020
(a)Rider means a jockey, apprentice jockey, exercise rider, outrider, pony rider or other individual whose job requires the person to mount or ride a horse on the racetrack grounds.
(b)Each rider must comply with the requirements of this section before a license may be issued or renewed.
(c)Each rider shall meet the following fitness standards:
(1)has a minimum 20/20 vision acuity, corrected, in one eye as certified by a licensed physician or optometrist in a form and manner approved by the commission.
(2)has hearing capability with a minimum range of 500-2000 c/sec and no hearing loss greater than 35 A-weighted decibels (dBA) in either ear, and that is adequate to hear instructions and not risk the safety of other jockeys, as certified by a licensed physician or licensed audiologist in a form and manner approved by the commission; and
(3)has an appropriate range of pain-free movement and, if necessary, possesses radiological evidence of a sound bony union of a fractured or cracked bone, has clearance from an orthopedic surgeon and can show that his or her ability to ride safely is unaffected.
(d)Each rider shall be medically certified:
(1)before his or her license is issued or renewed by the commission, by a licensed physician where the licensee is domiciled, in a form and manner approved by the commission, that such rider:
(i)is not currently taking, or has not recently taken or is not prescribed or recommended to take medication that:
(a)may put such rider at greater risk in the event of a fall;
(b)has side effects, actual or potential, that could interfere with such rider’s physical capability, judgment, coordination or alertness; or
(c)may interfere with such rider’s physical capability, judgment, coordination or alertness;
(ii)has not been prescribed or taken any anticonvulsant medication for at least 10 years and does not have a current susceptibility to convulsions; and
(iii)has no established cardiovascular disease, endocrine disorder, chronic gastro-intestinal disease, renal failure or transplant, neoplasia, psychiatric disorder, debilitation respiratory disorder, neurological disorder, past history of head injury, intracranial bleed, skull fracture, intracranial arteriovenous malformation or aneurysm, cerebrovascular disease, unexplained loss of consciousness or cranial surgery; or
(2)in writing by a treating or attending physician for each condition set forth in subparagraphs (1)(i) through (iii) of this subdivision, who describes and explains to the satisfaction of the commission in a form and manner approved by the commission and certifies that the current condition of the licensee shall not affect the performance of any work activities of such person or pose a risk to the health and safety of any other individuals at work or to the horses.
(e)In cases in which a rider has a medical condition set forth in subdivisions (c) or (d) of this section, such rider may be required to submit additional medical information and be subjected to testing. The commission may find that there are situations and cases where restrictions on riding may be advisable on a temporary or permanent basis, and the commission may impose such restrictions.
(f)A rider applicant or licensee may be found to have another medical condition that is not compatible with safe riding if the condition requires medication or treatment that may impact such rider’s ability to ride safely, the medical condition could cause a sudden incapacity of such rider during riding, or the medical condition cannot be safely accommodated during riding and places the health and safety of fellow riders, facility staff or other persons or horses at risk.
(g)Every rider must have an account established with the jockey health information system or to such comparable system as the commission may designate (HIS).
(h)Every rider must undergo and pass a baseline concussion assessment using the most current sport concussion assessment tool testing protocol and upload the results of such concussion assessment into the HIS.
(i)The stewards may require any rider to be re-examined at any time. The stewards may refuse to allow a rider to mount or ride a horse until such rider has successfully passed such examination.
(j)All medical and related information provided to the HIS, stewards or commission pursuant to this section shall constitute protected personal privacy information within the meaning of Public Officers Law sections 87(2)(b) and 89(2)(b), and such information shall not be disclosed or disseminated except in compliance with all applicable law and rules.
(k)Notwithstanding anything to the contrary in this section:
(1)the baseline concussion assessment requirement may be waived for seven calendar days for a rider who submits the request in writing to the State steward and is granted permission prior to the running of a race. No waiver shall be granted more than once in a calendar year;
(2)a jockey who is not domiciled in New York may request from the State steward a waiver of this section or any part of this section until the jockey has been named to ride a fourth program at a race meeting or in a calendar year; and
(3)a rider who has not met the requirements of this section may be issued a license by the interstate compact on licensure of participants in live horse racing with pari-mutuel wagering, but shall not be permitted to participate in racing in New York.

9 NYCRR 4002.30 - Reportable injury or change in medical condition or medications

Source version current through Jul 15, 2022

A matched Register action is not later than the compiled-text reference date.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022
Related Register notice
SGC-35-20-00008-A · Adopted rule
Related notice published
Dec 16, 2020
Related notice effective date
Dec 16, 2020
(a)A reportable injury means any loss of consciousness, a head injury or concussion, a severe back injury, a fracture or dislocation involving a limb bone or joints, a fracture of the pelvis or spine, or any injury or illness that results in being hospitalized for one or more nights or away from work or an inability to perform one or more routine functions at work for one week or more (including the day the injury or illness began).
(b)Any jockey, apprentice jockey or exercise rider who suffers a reportable injury at a racetrack shall record the incident in the HIS.
(c)Where a jockey, apprentice jockey or exercise rider sustains a reportable injury since last riding, he or she shall inform the stewards at the earliest opportunity and shall not ride, attempt to ride, weigh out or attempt to weigh out until passed fit to ride by the stewards.
(d)Where a jockey, apprentice jockey or exercise rider has been diagnosed with a musculoskeletal injury, disorder or other condition below the standards set forth in section 4002.28(c) of this Part, he or she he must inform the stewards at the earliest opportunity, and must not weigh out or attempt to weigh out until passed fit to ride by the stewards.
(e)Where a jockey, apprentice jockey or exercise rider has commenced or will commence taking medication that:
(1)may put such rider at greater risk in the event of a fall;
(2)has side effects that could interfere with such rider’s physical capability, judgment, coordination or alertness; or
(3)could interfere with such rider’s physical capability, judgment, coordination or alertness;

he or she shall inform the stewards at the earliest opportunity and shall not ride, attempt to ride, weigh out or attempt to weigh out until passed fit to ride by the stewards.

9 NYCRR 4002.31 - Fitness to return to ride

Source version current through Jul 15, 2022

A matched Register action is not later than the compiled-text reference date.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022
Related Register notice
SGC-35-20-00008-A · Adopted rule
Related notice published
Dec 16, 2020
Related notice effective date
Dec 16, 2020

No rider may mount or ride a horse on the grounds of a racetrack operator who has not complied with the following additional requirements after a license has been issued:

(a)each rider who is thrown or falls from a horse or experiences any other potential concussive event must undergo and pass another baseline concussion assessment and upload such new concussion assessment into the HIS; and
(b)each rider who experiences any other reportable injury, as such term is defined in section 4002.30(a) of this Part, shall report the event to the stewards and is not permitted to return to racing until such rider has been medically evaluated and certified by the State steward as fit to return to racing, meeting the standards set forth in section 4002.29(c) and (d) of this Part.

9 NYCRR 4002.32 - Mandatory information card

Source version current through Jul 15, 2022

A matched Register action is not later than the compiled-text reference date.

Top
Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022
Related Register notice
SGC-35-20-00008-A · Adopted rule
Related notice published
Dec 16, 2020
Related notice effective date
Dec 16, 2020

Each jockey, apprentice jockey and exercise rider shall carry on his or her person a card or other device containing his or her name; emergency contact information; HIS account name and password and website address; and medical insurance provider. Such card or other device shall be carried in a manner making the information readily accessible by emergency and medical professionals.

Back to top

LawEngine makes the New York Codes, Rules and Regulations easier to find, read, and research.