9 NYCRR Part 4105 - Executive Department

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Source version current through Jul 15, 2022

All 17 displayed sections in this Part carry the same compiled date. Status and warnings stay on each section.

9 NYCRR 4105.1 - Appointment of officials

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Dates and status

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

(a)The executive director of the commission shall appoint the following State officials to act at race meetings: the presiding judge, associate judges, inspectors, recording judges, starters, patrol judges, paddock judges, stress coordinators who counsel licensees on behalf of the commission regarding alcohol and drug abuse, State veterinarians, and such other State officials as may be needed to act as the commission's representatives at the race meeting.

(b)The racing associations and corporations shall employ and appoint the following association racing officials and their assistants: race secretaries, program directors, announcers, marshals, timers, photo finish operators, track superintendents, and photo patrol operators.

9 NYCRR 4105.2 - Administrative steward

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Dates and status

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

The administrative steward shall be the principal advisor to the commission on harness racing activities throughout the State. The administrative steward shall exercise administrative supervision over all track stewards, State racing officials and association racing officials listed in paragraph (1) of subdivision (a), and subdivision (b), of section 4105.1 of this Part. The administrative steward shall be responsible for keeping the track stewards, State racing officials and association racing officials informed of commission policies and procedures. Under direction of the commission, the administrative steward shall have the authority to conduct inquiries and in connection therewith to issue subpoenas to compel the attendance of witnesses, and the production of all relevant and material reports, books, papers, documents correspondence and other evidence; and in connection therewith the administrative steward shall have the power to administer oaths and examine witnesses and shall submit a report of all proceedings thereon. The commission may assign the administrative steward to act in the place of a track steward or State racing official at any meeting for a specified period. In an emergency, created by the absence or disability of a track steward or State racing official, the administrative steward shall act in his or her place or appoint a substitute for the duration of the emergency. The administrative steward shall carry out any special duty assigned by the commission.

9 NYCRR 4105.3 - Track stewards and inspectors

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Dates and status

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

The commission shall assign a track steward and as many inspectors as it deems necessary to each race meeting. The track steward shall be the principal representative of the commission at such meeting. The track steward shall have general supervision over all State and association racing officials, inspectors, licensees and appointees of the commission assigned or engaged at such meeting. The track steward shall supervise the licensing procedure at such race track. The track steward shall supervise the conduct of the racing and of the pari-mutuel department. If necessary, the track steward may act in place of an official, or as an additional official or may appoint a substitute official at such race meeting. The track steward shall have the authority to conduct inquiries and in connection therewith to issue subpoenas to compel the attendance of witnesses, and the production of all relevant and material reports, books, papers, documents, correspondence and other evidence. The track steward shall have the power to administer oaths and examine witnesses and shall submit a report of all proceedings thereon. The inspectors assigned to each meeting shall carry out such duties as are assigned by the track steward.

9 NYCRR 4105.4 - Earlier source heading: [Repealed]

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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 4105.5 - Authority of the presiding judge

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Dates and status

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

The presiding judge at each meeting shall exercise authority and supervision over the State racing officials and over the association racing officials assigned to or employed at such meeting. In the presiding judge’s absence, or incapacity, the powers and duties of the presiding judge shall be exercised by the associate judge designated by the presiding judge for such purpose.

9 NYCRR 4105.6 - Power of judges

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Dates and status

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

Presiding judges and associate judges shall have authority to:

(a)Determine all questions of fact relating to the race.

(b)Impose fines and penalties as prescribed by the commission rules and regulations.

(c)Decide any difference between parties to the race or any contingent matter that may arise that is not otherwise provided for in this Subchapter.

(d)Declare pools and bets “Off” in case of fraud, or to declare any horse a non-starter and to direct the refund of all wagers made thereon, from which no appeal will be allowed. All pools and bets shall follow the decision of the judges. Such decisions in respect to pools and bets shall be made at the conclusion of the race upon the observations of the judges and upon such other facts as an immediate investigation will develop. A reversal or change of decision after the official placing at the conclusion of a heat or dash shall not effect the distribution of the betting pools made upon such official placing.

(e)Control the horses, drivers, grooms and every person or machine engaged in any portion of the racing program.

(f)Investigate every apparent or possible interference or rule violation and examine all parties connected with a race under oath as to any such violation of rules or complaint.

(g)Make such decision in the public interest required by extraordinary circumstances not covered by this Subchapter.

9 NYCRR 4105.7 - Special duties of presiding judge

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Dates and status

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

The presiding judge shall be responsible for the performance of the judges' duties by himself or herself and other officials under his supervision. In addition the presiding judge shall supervise:

(a)The maintenance of the judges' book, the stewards list and the accident reports.

(b)The preparation, delivery and posting of all notices of penalty, rulings and decisions relative to racing.

(c)The procedures prescribed by this Subchapter with respect to investigations.

(d)The drivers' meetings prescribed by this Subchapter.

(e)The handling of entries and declarations to start and the application of preferences to race.

(f)All announcements over the public address pertaining to the race program.

(g)The admittance of persons to judges' stand subject to the direction of the commission.

(h)The coupling of horses accepted for entry where it is necessary to protect the public interest.

9 NYCRR 4105.8 - Duties of judges

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Dates and status

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

It shall be the duty of the judges to:

(a)Closely observe the performance of all horses and drivers competing at the race meeting.

(b)Determine the result of every race contested before them and to place the horses competing therein in the order of their finish.

(c)Investigate any act of cruelty to a horse racing at a meeting whether seen by them or reported to them and punish any person guilty of such cruelty.

(d)Investigate any accidents on the track to determine the cause thereof and promptly make a full report to the commission.

(e)Exclude from any race, a horse that is improperly equipped, dangerous, unmanageable, unfit to race, or liable to cause accident or injury to another horse or driver in the race or that has fallen upon the track during the program.

(f)Where a violation of any rule is suspected to conduct an inquiry promptly and to take such action as may be appropriate and render their report to the commission. Any action, as a result of such inquiry, must be concurred in by at least two of the three judges.

(g)Be represented by at least two judges in the judges' stand before wagering opens. All judges shall be in position at least 15 minutes before the first race, at all times when horses are on the track thereafter, and for 10 minutes after the last race.

(h)Observe the preliminary warming up of horses and the scoring, noting the behavior of the horses and the drivers, the equipment of the horses and any lameness which might appear as well as the changes of the betting odds shown on the totalisator commissions and any other incidents relating to the racing.

(i)Advise the paddock judge of the schedule of post times for the program as set by the presiding judge.

(j)Be responsible for locking the pari-mutuel machines immediately upon the horses reaching the official starting point of the race.

(k)Maintain communication with the patrol judges, by telephone from the time the starter picks up the field of horses until all horses pass the finish line. A written record is to be made of every “break,” violation of rules or incident reported by the patrol judges. A mechanical recording shall be made and preserved of all communications between the patrol judges and the main judging stand at all, other than limited, pari-mutuel meetings.

(l)Cause the appropriate signs to be posted on the result commission to indicate objection or inquiry in event of rule violation or complaint and notify the public address announcer of the horses involved and the nature of the objection. When a decision is made, the judges shall cause the objection or inquiry sign to be removed, the correct placing of the horses to be shown, and the “Official” sign to be shown.

(m)Display the “Photo” sign if there is less than one-half length between contending horses or if a contending horse is on a break at the finish. They shall examine the photo of the finish before rendering decision on the placing thereof and to cause copies of such photos to be posted and displayed to the public.

(n)Sign the judges' book after each race.

(o)Suspend payment of purse moneys on the positions affected by a protest or appeal until final decision is rendered.

9 NYCRR 4105.9 - Duties of paddock judge

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Dates and status

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

It shall be the duty of the paddock judge to:

(a)Supervise the assembling of the fields of horses in the race on the track for post parades in accordance with the schedule given to the paddock judge by the presiding judge.

(b)Supervise the identification of horses in the race.

(c)Supervise the inspection of equipment and shoes; and the head and saddle numbers of each horse during warm ups and before the parade.

(d)Supervise the paddock gate men.

(e)Supervise the checking in and out of horses, grooms, owners and drivers.

(f)Supervise the activities of the paddock blacksmith.

(g)Notify the presiding judge of any change of racing equipment or shoes before the race.

(h)Notify the presiding judge of any incident that could in any way change, delay or effect the routine progress of the racing program.

(i)Keep out unauthorized people.

(j)Inspect and supervise the maintenance of all emergency equipment kept in the paddock.

(k)Notify 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.

(l)Notify judges of all trainers and grooms who leave the paddock in an emergency.

9 NYCRR 4105.10 - Photo finish

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Dates and status

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

(a)The judges shall determine the order of finish of every race contested at licensed harness race tracks.

(b)Every licensed harness race track shall provide photo finish service of a type and quality approved by the commission as an aid to the judges in determining the order of finish.

(c)Whenever the judges call for a photo finish picture to determine the order of finish they shall cause the word “Photo” to be flashed on the infield commission and to remain there until the order of finish is determined.

(d)Whenever a photo finish picture is used to determine the order of finish such picture, or true copies thereof, or projections thereof, shall be posted or projected for public inspection.

(e)In the event of an electrical or mechanical failure of the photo finish camera, or if a distorted, deceptive or otherwise inadequate picture is developed, the judges shall decide the order of finish and such decision shall be final.

9 NYCRR 4105.11 - Duties of patrol judges

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Dates and status

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

It shall be the duty of the patrol judges to:

(a)Observe all activity on the race track at all times during the racing program.

(b)Be in constant telephonic communication with the judges, during the course of every race.

(c)Immediately report to the judges:

(1)any action on the track which could improperly affect the result of a race;

(2)every violation of the racing rules;

(3)every violation of the rules and decorum;

(4)the lameness or unfitness of any horse;

(5)any lack of proper racing equipment.

(d)Individually report in writing daily their observations of each race to the presiding judge.

(e)Attend investigations on violations and testify thereat under oath when so directed.

9 NYCRR 4105.12 - Duties of the recording judge

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Dates and status

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

It shall be the duty of the recording judge to:

(a)Maintain all official race summaries, records, suspensions and fines; prepare and serve all notices relating thereto and provide daily copies thereof to the commission, the licensed harness race track and to all stewards at licensed harness race tracks in New York State.

(b)Check the eligibility of all horses entered in races as well as the ownership and management of such horses.

(c)Check all drivers' licenses and advise the program director and judges of fines and suspensions listed thereon and whether such license is a limited one.

(d)Assist the judges in drawing positions, at the request of the presiding judge.

(e)Maintain a list of all owners, trainers and drivers at each race meeting together with their commission license numbers, and keep such list current.

(f)Keep the judges' book and record legibly therein:

(1)all horses entered and their eligibility certificate numbers;

(2)names of owners and drivers and their license numbers;

(3)a record of each heat, giving the position of horse at the finish and money won;

(4)note of drawn or ruled out horses, placing horses;

(5)record time in minutes, seconds and fifths of seconds.

(g)Check eligibility certificate before the race, and after the race enter all information provided for thereon, including the horse's position in the race as it was chartered. In the event a horse has been placed on the steward's list, such fact and the reason therefor shall be recorded thereon.

(h)See that the judges' book is properly signed.

(i)Forward daily a copy of the judges' book to the commission.

(j)Notify owners and drivers of any penalty assessed by the judges or starter and post a copy of such notice in the racing secretary's office.

9 NYCRR 4105.13 - Duties of the racing secretary

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

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 15, 2022
Related Register notice: SGC-44-15-00019-A · Adopted rule
Related notice published: Jan 6, 2016
Related notice effective date: Jan 6, 2016

It shall be the duty of the racing secretary to:

(a)Provide electronic access to the eligibility certificates and other horse ownership and registration records of the United States Trotting Association and Standardbred Canada.

(b)Be familiar with the age, class, and competitive ability of all horses racing at the track.

(c)Where the rules require, to classify and reclassify horses in accordance therewith.

(d)List horses in the classes for which they qualify and to cause such lists to be kept current and to be properly displayed in the room in which the declaration box is located for examination by horsemen and others.

(e)Write conditions and schedule the daily racing programs to be presented at the track.

(f)Provide for the listing of horses in such daily program; to examine all entry blanks and declarations; to verify all information set forth therein; to select the horses to start and the also eligible horses from the declarations in accordance with the rules governing these functions.

(g)Examine nominations and declarations in early closing and stake events; to verify the eligibility of all declarations and nominations, and to compile lists thereof for publication.

9 NYCRR 4105.14 - State veterinarian

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Dates and status

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

(a)The State veterinarian, unless otherwise directed by the commission, shall devote his or her full time to the performance of the duties of the office of State veterinarian and shall not render professional services to any horseman on the grounds to which the State veterinarian is assigned during the course of the meeting.

(b)It shall be the duty of the State veterinarian to:

(1)Supervise the inspection and examination of every horse when first entered at the race meeting.

(2)Examine such horse as the judges may request and report thereon.

(3)Examine and approve for release from the steward's list all horses that have been placed thereon for being lame, sick or injured.

(4)Observe the training of all horses performing at the track and examine any horse which may appear ill or infirm and report thereon to the presiding judge.

(5)Observe the horses in the paddock and warming up for the racing program and investigate into and examine such horses which may appear ill or infirm and report thereon to the presiding judge.

(6)Verify the tattoo number and supervise the taking of saliva, urine, blood or such other samples from the horses as may be required by the rules or as directed by the presiding judge and be responsible for the proper storing and delivery thereof to the State laboratory and the maintenance of required records.

(7)Examine horses to be scratched from any race because lame, ill or infirm and report thereon to the presiding judge.

(8)Approve for subsequent declaration all horses that have been scratched from a race for unfitness when such horse has become fit to race.

9 NYCRR 4105.15 - Wagering or interest by officials

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Dates and status

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

No person employed or appointed by the commission or in any way representing the commission shall place wagers upon the outcome of any harness horse race conducted at a track at which pari-mutuel betting is conducted by any licensee of the commission, or have or maintain any interest, direct or indirect, in a horse participating at any licensed meeting in the State of New York.

9 NYCRR 4105.16 - Wagering or interest by certain track employees

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Dates and status

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

No employee of a licensed harness race track whose duties include the classification of horses shall place wagers upon the outcome of any harness horse race conducted at the track where he or she is employed, nor shall any such employee directly or indirectly be the owner of any horse racing at such meeting or participate financially, directly or indirectly, in the purchase or sale of any horse racing at such meeting.

9 NYCRR 4105.17 - Restriction on activities of officials

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

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 15, 2022
Related Register notice: SGC-47-16-00017-A · Adopted rule
Related notice published: Feb 8, 2017
Related notice effective date: Feb 8, 2017

(a)No officer, director or executive of a track, or a spouse of an officer, director, or executive of a track, shall drive a horse at such track except at limited pari-mutuel meetings or in nonbetting races, nor may a horse in which such person has any beneficial interest be entered in any overnight event at said track.

(b)No licensed racing secretary, assistant racing secretary or any person performing the duties of racing secretary or assistant racing secretary:

(1)shall be licensed as an owner, trainer or driver;

(2)own, train or drive a horse anywhere in any race in which pari-mutuel wagering occurs or in any race for which a purse is offered or awarded; or

(3)engage in any other horse racing activity that, in the judgment of the commission, would create an actual or perceived conflict of interest with his or her duties in New York or otherwise would not be in the best interests of horse racing.

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