9 NYCRR Part 4113 - Executive Department

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Source version current through Jul 15, 2022

All 8 displayed sections in this Part carry the same compiled date. Status and warnings stay on each section.

9 NYCRR 4113.1 - Exclusion of horses

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-17-17-00004-A · Adopted rule
Related notice published: Jul 12, 2017
Related notice effective date: Jul 12, 2017

Horses on the steward's list shall be excluded from all pari-mutuel races and, except where permitted by the presiding judge, from all non-betting races. Unqualified horses shall be excluded from all pari-mutuel races except stakes and early closing events. Blind horses shall be excluded from all races.

9 NYCRR 4113.2 - Steward's list

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)The presiding judge shall have supervision of the steward's list at each track.

(b)The placing of a horse on the steward's list shall be recorded on the eligibility papers of the horse by the recording judge who shall record the date of such action and the reasons therefor.

(c)The steward's list shall be kept current and posted in the declaration room.

(d)Notification of the placing of a horse on the steward's list shall be given in writing to the owner, trainer, or his representative at the race track. Such notice shall contain a full statement of the reasons for such action.

(e)The owner, trainer or representative of a horse placed on the steward's list may review the circumstances thereof with the presiding judge within 24 hours of the receipt of such notice.

(f)A horse that has been placed on the steward's list three times during a season may be barred from further declaration for the balance of the season.

(g)When a horse is released from the steward's list, the date of such action and the signature of the presiding judge or the presiding judge’s agent shall be recorded on the eligibility papers of the horse.

(h)A horse on the steward's list at one track shall be placed on the steward's list at any other track to which such horse may move. But the fact that a horse has not been placed on the steward's list at one track shall not prevent such horse being placed on the steward's list at any other track to which it may move based on such horse’s past performance, in the judgment of the presiding judge.

9 NYCRR 4113.3 - Reasons for placing a horse on the steward's list

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 horse shall be placed on the steward's list at each track for the following reasons:

(a)such horse has a tube in its throat;

(b)such horse is dangerous or unmanageable. Such horse must work out before the judges on the main track, secure permission of the judges to qualify and then qualify in two consecutive qualifying races before release from the steward's list;

(c)such horse is sick, lame or unfit to race. Such horse must perform before the State veterinarian and be certified fit to race by the State veterinarian before release from the steward's list;

(d)such horse is unable to start satisfactorily behind the starting gate. Such horse must work out behind the starting gate, be approved by the starter and then qualify once before release from the steward's list;

(e)such horse has been high nerved;

(f)such horse has performed poorly. Such horse shall qualify once before release from the steward's list;

(g)such horse has tested positively for a drug, any substance prohibited by section 4120.17 of this Subchapter, or excess TCO2. Such horse shall qualify in a workout and thereafter test negative for drugs (and in compliance with the TCO2 thresholds, if applicable) before release from the steward's list; or

(h)such horse has been the subject of a finding by the laboratory that the antibody of erythropoietin or darbepoetin was present in the sample taken from the horse. Such horse shall test negative for the antibodies of erythropoietin or darbepoetin in a test conducted by the laboratory before release from the steward's list.

9 NYCRR 4113.4 - Return of declaration fee

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

If a horse has been declared to any stake or early closing events in which it is unable to compete because of being placed on the steward's list, the declaration fees paid thereon shall be refunded by the sponsor programming the event.

9 NYCRR 4113.5 - Unqualified horses

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-22-20-00008-A · Adopted rule
Related notice published: Oct 7, 2020
Related notice effective date: Oct 7, 2020

(a)A horse shall be deemed unqualified and must qualify once before being allowed to start in any overnight pari-mutuel event for the following reasons:

(1)The horse does not show a charted line of a current performance meeting the qualifying standards at the track for the class of race. Current performance shall be defined as a start within 30 days of the date of the race to which declared. Official workouts shall be acceptable as qualifying performances for this paragraph for horses with previous satisfactory races. The commission may extend the qualifying standards from 30 to as many days as appropriate to account for track closings, equine sickness, inclement weather or other unexpected events that interfere with the opportunities for otherwise eligible horses to race.

(i)Notwithstanding the requirements stated in paragraph (1) of this subdivision, during the period of April 4, 2012 through May 4, 2012 inclusive, current performance shall be defined as a start within 60 days of the date of the race to which declared.

(2)The horse is changing gait.

(3)The horse does not meet additional standards prescribed by the racing secretary and posted in the declaration room.

(4)The judges, in their discretion, determine a horse to be unqualified because, without interference to it, it has made breaks in two consecutive purse races or in the purse race immediately following its qualifying to race.

9 NYCRR 4113.6 - Qualification

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Dates and status

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

In order for a horse to qualify under this rule it shall perform satisfactorily and meet the qualifying standards of the class to which it is eligible. Such performance shall be in a qualifying race except that where the judges determine that a qualifying race is impractical or undesirable an official workout shall be acceptable. The qualifying standard of time for each particular class shall be posted by the judges in the declaration room throughout the season and amended as they deem necessary.

9 NYCRR 4113.7 - Approval of starter

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 horse which has never started behind a starting gate in a race shall not be permitted to start in any race with or without purse (including qualifying races) unless such horse has been schooled and has been approved for racing by a recognized starter, and such approval has been recorded on the eligibility papers of such horse.

9 NYCRR 4113.8 - First start

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 start in any stake or early closing event on which pari-mutuel wagering is conducted unless it shall have at least one performance line satisfactory to the judges.

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