9 NYCRR Part 4106 - Executive Department

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Source version current through Jul 15, 2022

All 10 displayed sections in this Part carry the same compiled date. Status and warnings stay on each section.

9 NYCRR 4106.1 - Records

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

No horse will be permitted to race unless an eligibility certificate or other certificate of registration, in current form, is on file with the United States Trotting Association or Standardbred Canada.

9 NYCRR 4106.2 - Misrepresentation

Later State Register activity may affect this section.

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Dates and status

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

Any misrepresentation of a material fact concerning the record of a horse entered at a licensed harness racing track shall be deemed a violation of this Subchapter and subject the person or persons responsible therefor to all the penalties of this act.

9 NYCRR 4106.3 - Examination of horse or records

Later State Register activity may affect this section.

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Dates and status

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

Any racing official, track official, owner or driver of a horse may call for information concerning the identity or eligibility of any horse competing at a licensed harness race track, and may demand an opportunity to examine such horse with a view to establish identity or eligibility. No owner or party controlling such horse may refuse to afford such information, or to allow such examination. No person shall demand identification of a horse without cause or to embarrass a race.

9 NYCRR 4106.4 - Reports on ownership and control of horses

Later State Register activity may affect this section.

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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)Within 72 hours, or shorter period if so directed, after arrival of any horse at a race track, the person in charge of such horse shall file a statement with the commission steward, in form satisfactory to the commission, listing the following information:

(1)The owner or owners of each such horse with address, telephone number and commission license number.

(2)The trainer and, if any, the assistant trainer, with address, telephone number and commission license number.

(3)Each groom or other employee employed for such horse with address and commission license number. If any such employee is thereafter discharged or leaves his or her employment, such fact shall be reported to the commission steward within 24 hours.

(4)The name and policy number of the workers' compensation carrier if any.

(5)The tattoo number of each such horse.

(6)Such other information as may be required.

(b)Upon any change in ownership, training or employment regarding such horse during the meeting, the person in charge of the horse shall promptly report that information to the commission steward.

(c)The trainer of a horse shall file a statement with the recording judge, designating an assistant to assume such trainer’s responsibility when such trainer will not be available for a period exceeding one day.

(d)Copies of all such statements required above shall be filed with the presiding judge and race secretary.

9 NYCRR 4106.5 - Identification of horses

Later State Register activity may affect this section.

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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 horse shall be permitted to race that has not been registered and tattooed and/or freeze branded in a manner approved by the commission. Before each start such horse's tattoo, or freeze brand number shall be read and verified and, if thereafter tested pursuant to section 4120.1 of this Subchapter, such number shall again be read and verified.

9 NYCRR 4106.6 - Importation prohibited without document

Later State Register activity may affect this section.

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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)No horse shall enter the State of New York unless accompanied by a certificate of equine examination signed by a veterinarian accredited and licensed by the state in which the examination required by the certificate was made and further provided that no horse shall enter the State of New York until the original of said certificate has been placed in the mail for delivery first class to the state veterinarian of the state in which the required examination was conducted.

(b)Form of certificate.

(1)The information on the certificate shall include the name of the owner or trainer with address, the consignee or destination in New York with address, the date of examination, the number of horses examined, the establishment or premises at which the horses were examined, the name, registration number if any, tattoo if any, sex, age, rectal temperature and color and markings of each horse listed on the certificate.

(2)The certificate shall include the following statement signed by the examining veterinarian:

I hereby certify that I am accredited and licensed in the State of (State) and that the (number) horse or horses described above was or were examined by me on the date indicated and found to be free from symptoms of any infectious or communicable disease. I further certify that the temperature of each horse was as recorded above. Signature: ______ Address: ______ (Accredited Veterinarian)

(3)The certificate shall make provision for the recording of test results by the state veterinarian of the state of origin and shall include the following statement for subsequent counter-signature by such state veterinarian:

This certifies that the issuing veterinarian is accredited and licensed to practice in the State of (State) _____ and that the test results recorded above are correct to the best of my knowledge and belief.

Signature:

(State Veterinarian)

Date Countersigned:

(c)Time limitation of certificates. A certificate of equine examination shall be valid for the purposes of this Part until the 10th day following the date of examination appearing on the certificate.

9 NYCRR 4106.7 - Importation prohibited

Later State Register activity may affect this section.

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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)All persons, associations or corporations, their agents, officers and employees and any person acting by or at their behest, are hereby forbidden to bring into this State, or cause to be brought into this State, any horse affected with or having been exposed to the disease known as equine infectious anemia (swamp fever). Every horse brought into this State or caused to be brought into this State shall be accompanied by a statement signed by a veterinarian of recognized standing in his state or country of residence certifying that such animal is not suffering from and has not been exposed to equine infectious anemia.

(b)Manure from any horse suffering from equine infectious anemia shall not be brought or caused to be brought into this State.

(c)Every person, association or corporation, and any agent, officer or employee thereof, failing to obey this order shall be subject to the fines and penalties provided by law.

9 NYCRR 4106.8 - Nerved horses-restrictions

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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)Any horse that has been nerved (neurectomy, cryosurgery, stunning) at or above the fetlock (i.e., Median nerve, Ulnar nerve, Volar nerve, or the Plantar nerve) shall not be permitted to race at tracks under the jurisdiction of the commission.

(b)Any horse that has been nerved below the fetlock (Volar [posterio] digital nerve only) may be permitted to start provided that such nerving has been reported to the racing secretary who shall cause such fact to be entered on the eligibility papers and prominently displayed in the entry room prior to any subsequent start.

9 NYCRR 4106.9 - Death of a horse

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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)Upon the death of a horse on any part of the grounds of a harness race track, the remains of the deceased horse shall not be removed without:

(1)the execution of a death certificate by a commission-licensed veterinarian, in a form as the commission may prescribe, and containing such information as the commission may require;

(2)the filing of said death certificate with the presiding judge or his or her designee; and

(3)the written consent of the presiding judge or his or her designee, authorizing the removal of the remains.

(b)Upon the death of a horse on the grounds of a harness track, the commission at the commission’s discretion through the commission’s agents, may take control of the bodily remains of the deceased horse; and/or order, direct and cause an appropriate necropsy to be conducted on the remains of said horse, in order to determine the cause of death. The necropsy shall be conducted by a qualified veterinarian at a facility designated by the commission.

(c)It shall be the responsibility of the race track at all times to prevent the unauthorized removal from the race track of the remains of a deceased horse.

9 NYCRR 4106.10 - Geldings

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

The gelding of a horse shall be reported to the racing secretary at any race meeting at which the racehorse might race and, as applicable, to either the United States Trotting Association or Standardbred Canada.

(a)If a racehorse is gelded on the premises of a licensed racetrack, then the trainer shall report the alteration within 72 hours of such procedure.

(b)If a racehorse is gelded off-track, then the owner or trainer shall report the alteration at or before the time the horse is entered to race.

(c)A trainer who enters a gelding, or who causes a gelding to be entered on his or her behalf, is responsible for ensuring that the horse’s status as a gelding is accurately listed on its eligibility certificate or other certificate of registration on file with such organizations.

(d)Such reports shall include the name of the veterinarian who performed the alteration and the date of the alteration. The alteration shall be recorded on the certificate of registration and horse identification record of the horse.

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