PUBLIC PROTECTION CABINET

Kentucky Horse Racing Commission

(Amendment)

 

      810 KAR 1:027. Entries, subscriptions, and declarations.

 

      RELATES TO: KRS 230.215, 230.240, 230.290, 230.310, 230.320

      STATUTORY AUTHORITY: KRS 230.215, 230.260

      NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215 authorizes the commission to promulgate administrative regulations prescribing the conditions under which all horse racing is conducted in Kentucky. KRS 230.260 grants the commission the authority to regulate conditions under which thoroughbred racing shall be conducted in Kentucky. This administrative regulation establishes requirements for entry, subscription, and declaration of thoroughbred horses in order to race.

 

      Section 1. Definition. "Subscriber" means an owner who enters a horse into a stakes race and pays the requisite entry fee.

 

      Section 2. Entering Required. A horse shall not be qualified to start in any race unless it has been, and continues to be, entered in the race. Entries or subscriptions for any horse, or the transfer of entries or subscriptions for any horse, may be refused or cancelled by the association without notice or reason given.

 

      Section 3. Procedure for Making Entries. (1) An entry, subscription, declaration, or scratch shall be filed with the racing secretary and shall not be effective until received by the racing secretary. The racing secretary shall maintain a record of the time of receipt of an entry, subscription, declaration, or scratch for a period of one (1) year.

      (2) An entry shall be made by the owner, the trainer, or an authorized agent of the owner or trainer. An entry shall be in the name of a horse's licensed owner, as completely disclosed and registered with the racing secretary pursuant to 810 KAR 1:007[Chapter 1].

      (3) An entry shall be submitted in writing or by telephone to the racing secretary. A telephone entry shall be confirmed promptly in writing if requested by the stewards, the racing secretary, or an assistant to the racing secretary.

      (4) An entry shall clearly designate the horse entered. When entered for the first time during a meeting, a horse shall be designated by name, age, color, sex, sire, and dam as reflected by its registration certificate, racing permit, or entry in a software application available online and approved by the commission that allows an association's racing secretary, or his designee, or horse identifier, or his designee, full access to horse and trainer records from all tracks in North America, including current owner information.

      (a) A horse shall not race unless registered pursuant to 810 KAR 1:012 or otherwise correctly identified to the satisfaction of the stewards.

      (b) Establishing the identity of a horse shall be the responsibility of its owner and of any other person required to certify the identity of the horse. A person shall be subject to appropriate disciplinary action under 810 KAR 1:028 for incorrect identification.

      (5)[A horse that bleeds shall be registered with the commission veterinarian prior to entry pursuant to 810 KAR Chapter 1.

      (6)] The racing program shall indicate usage of furosemide pursuant to 810 KAR 1:018[or an adjunct bleeder medication].

      (6)[(7)] An entry shall not be altered after the closing of entries, except to correct an error with permission of the stewards.

      (7)[(8)] A horse shall not be entered in two (2) races to be run on the same day.

      (8)(a)[(9)(a)] A horse that has not started in the past forty-five (45) days shall not be permitted to start unless it has at least one (1) published workout within twenty (20) days of entry at a distance satisfactory to the stewards. If a horse has performed the requisite workout, but the workout does not appear in the past performances, the horse shall be permitted to start if the stewards determine that the workout failed to be published through no fault of the trainer.

      (b) A horse starting for the first time shall not be permitted to start unless it has three (3)[published] workouts, one (1) of which is from the starting gate,[and] one (1) of which is within twenty (20) days of entry, and at least one (1) of which is published.

      (c) A workout not appearing in the racing publication[If a horse has performed the requisite workout, but the workout does not appear in the past performances through no fault of the trainer, the horse shall be permitted to start. The correct workout] shall be publicly displayed on television monitors, the tote board, and, if available, the bulletin boards where photo finishes are shown at the time when mutuel[mutual] windows are opened and shall be displayed until the conclusion of the race in which the horse is entered.

      (d) A horse that has never started shall not be entered until the trainer has produced a document or card issued by the starter indicating that the horse has been adequately trained to race from the starting gate.

      (9)[(10)] If the published conditions of the race permit, an association may accept in a turf race an entry designated "main track only." Preference shall apply to all horses drawn into a race, except that horses entered as "main track only" shall be listed as also-eligible and be considered only if the race is taken off the turf.

 

      Section 4. Limitation as to Spouses. (1) An entry in a race shall not be accepted for a horse owned wholly or in part or trained by a person whose spouse is under license suspension, revocation, or is otherwise ineligible to be licensed, at the time of the entry except as provided in subsection (2) of this section.

      (2) If the license of a jockey has been suspended for a routine riding offense, depending on the severity of the offense, the stewards may waive the application of this section as to the licensed spouse of the suspended jockey.

 

      Section 5. Mutuel Entries. (1) More than two (2) horses having common ties through training shall not be[not] entered in a purse race.

      (2) Horses entered in the same race and owned wholly or in part by the same owner or spouse, shall be joined as a mutuel[mutual] entry and single betting interest, except as provided in subsection (5) of this section.

      (3) More than two (2) horses having common ties through ownership shall not be joined as a mutuel[mutual] entry in a purse race. If making a double entry of horses owned wholly or in part by the same owner or spouse a preference for one (1) of the horses shall be made.

      (4)(a) Two (2) horses having common ties through ownership shall not start in a purse race to the exclusion of a single entry, unless the horses have been uncoupled pursuant to subsection (5) of this section.

      (b) In a purse race, the racing secretary may uncouple entries having common ties through training to make two (2) separate betting interests.

      (5) In any thoroughbred stakes race with added money of $50,000 or more, the racing secretary may uncouple mutuel[mutual] entries of horses sharing common ties through training or ownership or both.

 

      Section 6. Subscriptions. (1) A subscriber to a stakes race may transfer or declare a subscription prior to the closing of entries for the race.

      (2) Joint subscriptions and entries may be made by any one (1) of the joint owners of a horse. Each owner shall be jointly and severally liable for all payments due.

      (3) Death of a horse or a mistake in its entry if the horse is eligible shall not release the subscriber or transferee from liability for all stakes fees due. Fees paid in connection with a subscription to a stakes race that is run shall not be refunded, except as otherwise stated in the conditions of the[a] stakes race.

      (4) Death of a nominator or original subscriber to a stakes race shall not render void any subscription, entry, or right of entry. All rights, privileges, and obligations shall attach to the successor owner, including the legal representatives of the decedent.

      (5) If a horse is sold privately, sold at public auction, or claimed, stakes engagements for it shall be transferred automatically with the horse to its new owner. If the horse is transferred to a person whose license is suspended, revoked, or is otherwise ineligible to be licensed[or otherwise unqualified to race or enter], the subscription shall be void as of the date of the transfer.

      (6) All stakes fees paid toward a stakes race shall be allocated to the winner unless otherwise provided by the condition for the stakes race. If a stakes race is cancelled for any reason, all subscription fees paid shall be refunded.

 

      Section 7. Closings. (1) Entries for purse races and subscriptions to stakes races shall close at the time designated by the association in previously published conditions for the races.

      (a) If a race is not split, an entry, subscription, or declaration shall not be accepted after closing time.

      (b) If a purse race fails to fill, or in case of an emergency, the racing secretary may extend the closing time, if the approval of a steward has been obtained.

      (2) Entries that have closed shall be compiled without delay by the racing secretary and shall be posted along with declarations.

 

      Section 8. Number of Starters in a Race. (1) The maximum number of starters in any race shall be limited to the number of starting positions afforded by the association starting gate and any extensions approved by the commission as can be positioned across the width of the track at the starting point for the race. The maximum number of starters further shall be limited by the number of horses that, in the opinion of the stewards after considering the safety of the horses and riders and the distance from the start to the first turn, may be afforded a fair and equal start.

      (2)(a) A maiden, starter, or claiming race shall be run if:

      1. Eight (8) or more horses are entered;

      2. The horses entered represent different betting interests; and

      3. The race is listed in the printed condition book.

      (b) Except as provided in paragraph (c) of this subsection, any other purse race shall be run if:

      1. Six (6) or more horses are entered;

      2. The horses entered represent different betting interests; and

      3. The race is listed in the printed condition book.

      (c) If a purse race under paragraph (b) of this subsection includes two (2) horses having common ties through training, the race shall be run if eight (8) or more horses are entered.

      (3) If a purse race in the printed condition book fails to fill with the minimum number of entries required by subsection (2) of this section, the association may cancel or declare the race off. The names of all horses entered in the race shall be publicly posted in the office of the racing secretary on the date of entry.

 

      Section 9. Split or Divided Races. (1) If a race is cancelled or declared off, the association may split any race programmed for the same day that may previously have been closed. Races printed in the condition book shall have preference over substitute and extra races.

      (2) If a purse race is split, forming two (2) or more separate races, the racing secretary shall give notice of the split not less than fifteen (15) minutes before the races are closed in order to grant time for the making of additional entries to the split races.

      (3) Division of entries upon the splitting of any race shall be made in accordance with the conditions under which entries and subscriptions were made and the following conditions:

      (a) Horses originally joined as a mutuel[mutual] entry may be placed in different divisions of a split race unless the person making the multiple entry, at the time of the entry, indicates the coupling of horses is not to be uncoupled if the race is split;

      (b) Division of entries in any split stakes race may be made according to age, sex, or both; and

      (c) Entries for any split race not divided by any method provided for in this administrative regulation shall be divided by lot so as to provide a number of betting interests as nearly equal as possible for each division of the split race.

 

      Section 10. Post Positions. (1) Post positions for all races shall be determined by lot, except as described in Section 11(5) of this administrative regulation. Owners, trainers, and their representatives shall have the opportunity to be present at the drawing.

      (2)[Post positions in split races shall be redetermined by lot. Owners, trainers, and their representatives shall have the opportunity to be present at the redetermination.

      (3)] The racing secretary shall assign program[pari-mutuel] numbers for each starter to conform with the post position drawn, except if a race includes two (2) or more horses joined as a single betting interest.

 

      Section 11. Also-Eligible List. (1) If the number of entries for a race exceeds the number of horses permitted to start, as provided by Section 8 of this administrative regulation, the names of no more than eight (8) horses entered but not drawn into the race as starters shall be posted on the entry sheet as "also-eligible" to start.

      (2) After a horse has been excused from a race at scratch time, also-eligible horses shall be drawn into the body of the race based on preference. If preference is equal, horses shall be drawn by lot, unless otherwise stipulated in the conditions of the race.

      (3)(a) An owner or trainer of a horse on the also-eligible list not wishing to start the horse in a race shall notify the racing secretary prior to scratch time for the race. The horse shall forfeit any preference to which it may have been entitled.

      (b) If there are no scratches in the body of a race, a horse on the also-eligible list not drawn into the race shall retain its previously established preference.

      (4) A horse on the also-eligible list for a race on the present day that has been drawn into the body of a race[as a starter] on the[a] succeeding race day, shall not be permitted to run in the race on the present day for which it had been listed as also-eligible. This shall not include stakes and handicaps.

      (5) A horse on the also-eligible list shall be assigned a post position by preference. If preference is equal, post positions shall be drawn by lot, unless otherwise stipulated in the published conditions of the race.

 

      Section 12. Preferred List. (1) The racing secretary shall maintain a list of horses that were entered but denied an opportunity to race because they were eliminated from a race included in the printed condition book either by overfilling or failure to fill.

      (2) The racing secretary shall submit, for approval of the commission at least thirty (30) days prior to the opening date of a race meeting a detailed description of the manner in which preference will be allocated.

      (3) Preferences shall not be given to a horse otherwise eligible for a race if it is also entered for a race on the succeeding race day. This shall not include stakes and handicaps.

 

      Section 13. Arrears. Unless approved by the racing secretary, a horse shall not be entered or raced unless its owner has paid all stakes fees owed.

 

      Section 14. Declarations. (1) Declarations shall be made in the same form, time, and procedure as required for the making of entries.

      (2) Declarations shall be irrevocable.

      (3) A declaration fee shall not be required by any licensed association.

 

      Section 15. Scratches. (1) Scratches shall be irrevocable and shall be permitted under the following conditions:

      [(1)]      (a) Except as provided in paragraph (b) of this subsection, a horse may be scratched from a stakes race for any reason at any time until four hours prior to post time for the race by obtaining[written] approval from the stewards. Upon receiving a scratch from a stakes race, the racing secretary shall promptly notify the stewards and pari-mutuel manager, and shall cause public announcement of the scratch to be made.

      (b) If a list of also-eligible horses has been drawn, scratches shall be filed at the regular scratch time as posted by the racing secretary. Thereafter, a horse shall not be scratched unless:

      1. A valid physical reason exists; or

      2. The scratch is related to adverse track conditions or change of racing surface.

      (c)[(2)] A horse shall not be scratched from a purse race unless:

      1.[(a)] The approval of the stewards has been obtained; and

      2.[(b)] Intention to scratch has been filed in writing with the racing secretary or his assistant at or before scratch time.

      (2)[the time conspicuously posted as "scratch time."

      (3)] A scratch of one (1) horse coupled in a mutuel[mutual] entry in a purse race shall be made at or before[the posted] scratch time, unless permission is granted by the stewards to allow both horses to remain in the race until a later appointed scratch time.

      (3)[(4)] In a purse race, a horse that is physically disabled or sick shall be permitted to be scratched first. If horses representing more than eight (8)[ten (10)] betting interests remain in after horses with physical excuses have been scratched, an owner or trainer may be permitted to scratch horses without physical excuses at scratch time, down to a minimum of eight (8)[ten (10)] betting interests. This privilege shall be determined by lot if an excessive number of owners or trainers wish[wishes] to scratch their horses.

      (4)[(5)] A horse that has been scratched or excused from starting by the stewards because of a physical disability or sickness shall be placed on the commission's veterinarian list for six (6) calendar days beginning the day after the horse was scratched or excused.

      (5)[(6)] Each[licensed racing] association[offering thoroughbred racing] shall keep records and statistics documenting the effect upon field sizes of the six (6) day veterinarian list requirement in subsection (4)[(5)] of this section. Records and statistics kept pursuant to this section shall be retained by the licensed racing association for one (1) year.

 

      Section 16. Official Publication Statistics. In determining eligibility, allowances and penalties, the reports, records, and statistics as published in the Daily Racing Form[, Racing Times] or similar publication as the commission considers appropriate to advise the public and the monthly chart books, or corresponding official publications of any foreign country[county], shall be considered official, but may be corrected until forty-five (45) minutes prior to post time of the race.

 

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: This administrative regulation establishes the requirements for entry, subscription and declaration of thoroughbred horses in order to race.

      (b) The necessity of this administrative regulation: The regulation is necessary to provide the requirements for entering a horse in a race in Kentucky, including outlining the procedures for scratches and drawing of post positions.

      (c) How this administrative regulation conforms to the content of the authorizing statutes: KRS 230.215 authorizes the commission to promulgate administrative regulations prescribing the conditions under which all horse racing is conducted in Kentucky. KRS 230.260 grants the commission the authority to regulate 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 regulation prescribes procedures for entering a thoroughbred horse to race in Kentucky, including procedures for scratches and drawing of post positions.

      (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 amendments make minor revisions to reflect actual race track practice, clarify regulatory requirements, and modify some procedures concerning entries of horses.

      (b) The necessity of the amendment to this administrative regulation: The amendments are consistent with actual practice.

      (c) How the amendment conforms to the content of the authorizing statutes: KRS 230.215 authorizes the commission to prescribe conditions under which all legitimate horse racing is conducted in Kentucky. 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 amendments are consistent with actual practice on the race track and with the statutes.

      (3) List the type and number of individuals, businesses, organizations, or state and local governments affected by this administrative regulation: Racing associations, owners and trainers are affected by this administrative regulation. The amendments, however, reflect actual practice on the race track.

      (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): Makes the regulation consistent with actual practice and provides more entry options for horses in stakes and handicaps.

      (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 230.215 and 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: