PUBLIC PROTECTION CABINET

Kentucky Horse Racing Commission

(Amendment)

 

††††† 810 KAR 1:017. Objections and complaints.

 

††††† RELATES TO: KRS 230.210-230.360

††††† STATUTORY AUTHORITY: KRS 230.260

††††† NECESSITY, FUNCTION, AND CONFORMITY: To regulate conditions under which thoroughbred racing shall be conducted in Kentucky. The function of this administrative regulation relates to the requirements and procedures in lodging of objections and complaints.

 

††††† Section 1. Persons Eligible to Lodge Objections or Complaints. Objections or complaints against a horse or jockey entered in a race shall be received only when duly lodged by the owner or authorized agent of the owner, the trainer, or the jockey, of another horse engaged in the same race and whose horse suffered or may suffer by the alleged violation of an administrative regulation. An inquiry may also be made by a racing official.

 

††††† Section 2. Form for Objections and Complaints. Objections as to interference or fouls occurring during the running of the race shall be lodged with the stewards orally or by telephone. All other objections or complaints shall be made in writing and bear the signature of the complainant. Objections or complaints lodged during a race meeting shall be addressed to the stewards. Objections or complaints lodged after the termination of a race meeting shall be addressed to the commission[authority secretary] at the commissionís[authority] general office. An objection or complaint once lodged shall not be withdrawn without permission of the stewards.

 

††††† Section 3. Time for Lodging Objections or Complaints. Objections or complaints based on the following violations of administrative regulations[regulation] shall be lodged by persons aggrieved thereby within the time prescribed; except the stewards may declare a horse ineligible or disqualified at any time:

††††† (1) At least one (1) hour before post time of the race, if objection is based on incorrect weight allowance claimed for a horse entered to race;[.]

††††† (2) Before the race has been posted as official on the infield results[result] board, if objection is based on interference by a horse, improper course run by a horse, foul riding by a jockey, or any other matter occurring during and incident to the running of the race;[.]

††††† (3) Not later than one (1) year from the date[after] the race was run, if the objection or complaint is based on fraudulent or willful misstatement in an entry under which a horse has run;[.]

††††† (4) Not later than forty-eight (48) hours[, exclusive of Sunday,] after post time of the race, for[the race was run, if] objections or complaints involving the claim of a horse or violation of 810 KAR 1:012, Section 4;[are based on any other violation of an administrative regulation.]

††††† (5) Within one (1) week after post time of the race, if objections or complaints are based on any other violation of an administrative regulation.

 

††††† Section 4. Final Determination of Objections to Acts in Race. The stewards shall make all findings of fact as to all matters occurring during and incident to the running of a race; shall determine all objections, and inquiries based on interference by a horse, improper course run by a horse, foul riding by a jockey, and all other matters occurring during and incident to the running of a race; and, shall determine the extent of disqualification, if any, of horses in a race for a foul committed during the race. Findings of fact and determination shall be final and no appeal may be taken thereon. In determining the extent of disqualification, the stewards in their discretion may:

††††† (1) Disqualify and place the offending horse, and any horses coupled with it as an entry, behind any horse that[as ]may have suffered by reason of the foul;

††††† (2) Disqualify and declare the offending horse, and any horses coupled with it as an entry, unplaced;

††††† (3) Disqualify the offending horse, and any horses coupled with it as an entry, from participation in all or any part of the purse;

††††† (4) Declare void[,] a track record set or equaled by a disqualified horse, or any horses coupled with it as an entry;

††††† (5) Affirm the placing[place] judges' order of finish and suspend the[a] jockey, if in the stewards' opinion the foul riding had no effect[affect] on the order of finish;

††††† (6) Disqualify the offending horse and not suspend the jockey, if in the stewards' opinion the interference to another horse in a race was not the result of an intentional foul or careless riding on the part of the jockey.

 

††††† Section 5. Dispute of a Race after Declared Official for Pari-mutuel Payoff. If the result of a race is placed in dispute by the lodging of an objection or complaint or by discovery of an alleged violation of an administrative regulation, after the race has been declared official for pari-mutuel payoff, then pending final determination of the disputed race:

††††† (1) The purse money and trophy to which the horse objected to may have been entitled shall be withheld and placed in escrow by the association until final adjudication of the dispute; except, any portion of the purse money whose distribution would not be affected by the determination of the dispute, at the discretion of the stewards, may be distributed.

††††† (2) If purse money or trophy has been awarded to an owner prior to the lodging of an objection or discovery of an alleged violation of an administrative regulation which places the outcome of a race in dispute, the money or trophy shall be returned immediately to the association on order of the stewards. Upon final adjudication of the dispute, the person deemed to be entitled to the purse money or trophy shall be entitled to an order of recovery from any person or association holding same.

††††† (3) The horse that[which] crossed the finish line first and any other horse that may become the winner of a disputed race shall be considered winners[for which the race is claimed, shall be liable for all penalties attaching to the winner] of that race until the matter is[if] finally adjudicated.

 

††††† Section 6. Determination of a Disputed Race. The stewards shall determine all objections, complaints, or alleged violations of administrative regulation lodged or discovered after a race has been declared official for pari-mutuel payoff and shall issue a ruling thereon. If the stewards find that an administrative regulation was violated, the stewards may penalize the persons responsible, disqualify any horses in the disputed race, and award the purse money and trophy in accordance with any resulting revised order of finish in the disputed race.

 

††††† Section 7. Revised Order of Finish after Race Declared Official for Pari-mutuel Payoff. If a horse is disqualified after a race has been declared official for pari-mutuel payoff and thereby causes revision of the order of finish in the race:

††††† (1) The pari-mutuel payoff shall in no way be affected.

††††† (2) The stewards shall be responsible for causing appropriate corrections to be made in official records for the race and in racing statistics as may pertain to the respective horses, jockeys, trainers, owners, breeders, sires, dams, and broodmare sires, by reporting such corrections to the racing secretary and to the Daily Racing Form.

 

††††† Section 8. Complaints Against Officials. All complaints or protests by any licensee based on any decision or act of a racing official other than the stewards, or concerning any matter as may occur on association grounds not provided for by Sections 4 and 5 of this administrative regulation shall be made in writing, signed by the complainant, and submitted to the stewards. All complaints or protests by any persons based on any decision, act, or conduct of the stewards shall be submitted to the commission[authority], as provided by 810 KAR 1:029[1:020].

 

ROBERT M. BECK, JR., Chairman

LARRY R. BOND, Acting Secretary

††††† APPROVED BY AGENCY: August 8, 2014

††††† FILED WITH LRC: August 12, 2014 at 2 p.m.

††††† PUBLIC HEARING AND PUBLIC COMMENT PERIOD: A public hearing on this administrative regulation shall be held on September 25, 2014 at 10:00 a.m., at the offices of the Kentucky Horse Racing Commission, 4063 Iron Works Parkway, Building B, Lexington, Kentucky 40511. Individuals interested in being heard at this hearing shall notify the Kentucky Horse Racing Commission in writing by September 18, 2014, five (5) working days prior to the hearing, of their intent to attend. If no notification of intent to attend the hearing is received by that date, the hearing may be cancelled. This hearing is open to the public. Any person who wishes to be heard will be given an opportunity to comment on the proposed administrative regulation. A transcript of the public hearing will not be made unless a written request for a transcript is made. If you do not wish to be heard at the public hearing, you may submit written comments on the proposed administrative regulation. Written comments shall be accepted until September 30, 2014. Please send written notification of intent to be heard at the public hearing or written comments on the proposed administrative regulation to the contact person below.

††††† CONTACT PERSON: Katherine M. Paisley, Deputy General Counsel, Kentucky Horse Racing Commission, 4063 Iron Works Parkway, Building B, Lexington, Kentucky 40511, phone (859) 246-2040, fax (859) 246-2039.

 

REGULATORY IMPACT ANALYSIS AND TIERING STATEMENT

 

Contact Person:††† Katherine M. Paisley

††††† (1) Provide a brief summary of:

††††† (a) What this administrative regulation does: The regulation provides requirements and procedures for filing complaints or objections of violations of 810 KAR Chapter 1.

††††† (b) The necessity of this administrative regulation: The regulation is necessary to provide the requirements, procedures, and deadlines for filing objections or complaints of alleged violations of 810 KAR Chapter 1.

††††† (c) How this administrative regulation conforms to the content of the authorizing statutes: KRS 230.260 grants the commission the authority to regulation conditions under which thoroughbred racing shall be conducted in Kentucky.

††††† (d) How this administrative regulation currently assists or will assist in the effective administration of the statutes: This administrative regulation provides owners, trainers, jockeys, and registered agents the means by which to assist in the enforcement of the administrative regulations by providing procedures by which they may provide the commission with notification of alleged violations.

††††† (2) If this is an amendment to an existing administrative regulation, provide a brief summary of:

††††† (a) How the amendment will change this existing administrative regulation: The amendment changes the time in which an objection involving the claim of a horse must filed. The regulation currently provides that such an objection shall be filed "not later than forty-eight (48) hours, exclusive of Sunday, after the race was run." The amendment changes the deadline to within forty-eight (48) hours of post time. The amendment also provides a catch-all deadline for any violations of 810 KAR Chapter 1 not specifically enumerated.

††††† (b) The necessity of the amendment to this administrative regulation: This amendment is necessary as the original deadline is outdated. Kentucky conducts horse racing on Sundays and so there is no reason to exclude that day from the filing time. Additionally, the current provision is unclear as to when the forty-eight (48) hours actually ends as there is no specific time assigned to "after the race was run."

††††† (c) How the amendment conforms to the content of the authorizing statutes: KRS 230.260 grants the commission jurisdiction and supervision over all horse race meetings in Kentucky.

††††† (d) How the amendment will assist in the effective administration of the statutes: The amendment provides clarity and specificity for the filing of complaints so that the commission can effectively supervise and regulate horse race meetings.

††††† (3) List the type and number of individuals, businesses, organizations, or state and local governments affected by this administrative regulation: Racing associations, jockeys, owners, and trainers are affected by this administrative regulation.

††††† (4) Provide an analysis of how the entities identified in question (3) will be impacted by either the implementation of this administrative regulation, if new, or by the change, if it is an amendment, including:

††††† (a) List the actions that each of the regulated entities identified in question (3) will have to take to comply with this administrative regulation or amendment: None.

††††† (b) In complying with this administrative regulation or amendment, how much will it cost each of the entities identified in question (3): The amendment will not result in additional costs.

††††† (c) As a result of compliance, what benefits will accrue to the entities identified in question (3): The entities will benefit through clarity and specificity regarding the filing deadlines for various objections and complaints.

††††† (5) Provide an estimate of how much it will cost the administrative body to implement this administrative regulation:

††††† (a) Initially: There is no anticipated increase in cost to the Commission.

††††† (b) On a continuing basis: There is no anticipated increase in cost to the Commission.

††††† (6) What is the source of the funding to be used for the implementation and enforcement of this administrative regulation: No additional funding required.

††††† (7) Provide an assessment of whether an increase in fees or funding will be necessary to implement this administrative regulation, if new, or by the change if it is an amendment: No increase in funding is necessary.

††††† (8) State whether or not this administrative regulation established any fees or directly or indirectly increased any fees: This administrative regulation does not establish or directly or indirectly increase any fees.

††††† (9) TIERING: Is tiering applied? Tiering is not applied. All aspects of this administrative regulation will be applied equally to the affected parties.

 

FISCAL NOTE ON STATE OR LOCAL GOVERNMENT

 

††††† †(1) What units, parts, or divisions of state or local government (including cities, counties, fire departments, or school districts) will be impacted by this administrative regulation? The Kentucky Horse Racing Commission.

††††† (2) Identify each state or federal statute or federal regulation that requires or authorizes the action taken by the administrative regulation. KRS 230.260.

††††† (3) Estimate the effect of this administrative regulation on the expenditures and revenues of a state or local government agency (including cities, counties, fire departments, or school districts) for the first full year the administrative regulation is to be in effect. No estimated change in expenditures or revenues.

††††† (a) How much revenue will this administrative regulation generate for the state or local government (including cities, counties, fire departments, or school districts) for the first year? None.

††††† (b) How much revenue will this administrative regulation generate for the state or local government (including cities, counties, fire departments, or school districts) for subsequent years? None.

††††† (c) How much will it cost to administer this program for the first year? None.

††††† (d) How much will it cost to administer this program for subsequent years? None.

††††† Note: If specific dollar estimates cannot be determined, provide a brief narrative to explain the fiscal impact of the administrative regulation.

††††† Revenues (+/-):

††††† Expenditures (+/-):

††††† Other Explanation: