9 NYCRR Part 4208 - Executive Department

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Source version current through Sep 15, 2021

All 13 displayed sections in this Part carry the same compiled date. Status and warnings stay on each section.

9 NYCRR 4208.1 - Appointment of officials

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

(a)The commission shall appoint the following State officials to act at race meetings. The following are State racing officials designated by the commission: presiding judge, judges, recording judges, starters, patrol judges, paddock judges and State Veterinarians.

(b)The racing associations and corporations shall employ, and pay 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 4208.2 - 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: Sep 15, 2021

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. He shall have general supervision over all State and association racing officials, inspectors, licensees and appointees of the commission assigned or engaged at such meeting. He shall supervise the licensing procedure at such race track. He shall supervise the conduct of the racing and of the pari-mutuel department. If necessary, he may act in place of an official, or as an additional official or may appoint a substitute official at such race meeting. He 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. He 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. The steward shall have the power to impose penalties for violations of this Subchapter.

9 NYCRR 4208.3 - Power of judges

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

The presiding judge and judges shall have authority to:

(a)determine all questions of fact relating to the race;

(b)impose fines and penalties for violations of this Subchapter;

(c)decide any difference between parties to the race or any contingent matter which shall arise which is not otherwise provided for in this Subchapter;

(d)declare pools and bets “off” in case of fraud, or declare any horse a nonstarter and 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 race shall not affect the distribution of the betting pools made upon such official placing;

(e)control the horses, 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 in this Subchapter.

9 NYCRR 4208.4 - 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: Sep 15, 2021

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

(a)the maintenance of the judges' book, the steward's 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 Part with respect to investigations;

(d)the handling of entries and declarations to start and the application of preferences to race;

(e)all announcements over the public address pertaining to the race program;

(f)the admittance of persons to the judges' stand subject to the direction of the commission; and

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

9 NYCRR 4208.5 - Duties of judges

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

It shall be the duty of the judges to:

(a)closely observe the performance of all horses and jockeys 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 which is improperly equipped, dangerous, unmanageable, unfit to race, or liable to cause accident or injury to another horse or jockey in the race, or which 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 jockeys, 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 violation of rules or incident reported by the patrol judges. A mechanical recording shall be made and preserved of all communication between the patrol judges and the main judging stand at all 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. They shall examine the photo of the finish before rendering a 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 4208.6 - 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: Sep 15, 2021

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 him by the presiding judge.

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

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

(d)Supervise the paddock gate men.

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

(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 4208.7 - Photo finish

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

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

(b)Every licensed quarter horse 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 4208.8 - 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: Sep 15, 2021

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 4208.9 - 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: Sep 15, 2021

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 quarter horse race track and to all stewards at licensed quarter horse race tracks in New York State.

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

(c)Check all jockeys' 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 jockeys at each race meeting together with their New York State Quarter Horse Racing 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 jockeys and their license numbers;

(3)a record of each race, giving the position of horses 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 judges' book to the commission.

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

9 NYCRR 4208.10 - State veterinarian

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

(a)The State veterinarian, unless otherwise directed by the commission, shall devote his full time to the performance of the duties of his office and shall not render his professional services to any horseman on the grounds to which he 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 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; and

(8)approve for subsequent nomination all horses which have been scratched from a race for unfitness when such horse has become fit to race.

9 NYCRR 4208.11 - 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: Sep 15, 2021

No person employed or appointed by the commission or in any way representing the commission shall place wagers upon the outcome of any quarter 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 quarter horse meeting in the State of New York.

9 NYCRR 4208.12 - 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: Sep 15, 2021

No employee of a licensed quarter horse race track shall place wagers upon the outcome of any horse race conducted at the track where he is employed nor shall he participate financially directly or indirectly, in the purchase or sale of any horse racing at such meeting.

9 NYCRR 4208.13 - When hearing held

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

Whenever a matter has been referred to the commission by a steward or judges which involves an alleged violation by any person of any law or of any section of the rules and regulations or an order or directive of the commission, or whenever the commission, on its own initiative, shall determine to take cognizance of any such alleged violation or any other matter within its jurisdiction.

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