RELATES TO: KRS 230.215(2), 230.240(1), 230.260(1), 230.290,
230.310
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.240(1) authorizes
the corporation to prescribe by administrative regulation the required
officials for horse racing and their official duties. KRS 230.215(2) and
230.260(8) authorize the corporation to promulgate administrative regulations
prescribing conditions under which all horse racing is conducted. This
administrative regulation sets forth the required officials and describes their
functions and duties.
Section 1.
Racing Officials.
(1) Officials at a race
meeting shall include the following:
(a)
Presiding judge;
(b) Two (2)
associate judges;
(c) Racing
secretary;
(d) Paddock
judge;
(e) Horse
identifier;
(f) Clerk of the
course;
(g) Official
starter;
(h) Official
charter;
(i) Official
timer;
(j) Photo finish
technician;
(k) Patrol
judge;
(l) Program
director;
(m) Official corporation
veterinarian; and
(n) Any other
person designated by the corporation who is necessary to effectively conduct
the race meeting.
(2) At
a matinee or county fair, there shall be at least one (1) judge approved by the
corporation in the judges' stand. At a meeting at which races are charted, the
association shall provide both a licensed charter and a licensed clerk of the
course.
Section 2.
Employment of Judges.
(1) The corporation
shall employ and compensate two (2) of the three (3) judges for each race
meeting, including the presiding judge.
(2) A racing association shall nominate one
(1) of the three (3) judges for each race meeting for approval by the
corporation and shall be responsible for that person's compensation as a judge.
(a) The name of the association nominee shall
be submitted when an association applies for a license if possible, but in no
event later than thirty (30) days before commencement of a race meeting, and
shall be accompanied by biographical data describing the experience and
qualifications of the nominee.
(b)
The association shall submit successive nominees until one (1) person is
approved by the corporation as qualified to serve as a judge.
Section 3. Judge
Qualifications. To qualify for employment or approval by the corporation as a
judge, a person shall have:
(1) Attended an
accreditation school or program approved by the corporation;
(2) Satisfactorily passed a written and oral
examination given by the corporation or program; and
(3) Possess the requisite knowledge of the
duties expected of the position and the rules of harness racing.
Section 4. Judge Prohibitions. No
person shall serve as a judge:
(1) Until
approved by the corporation; or
(2)
While under suspension or ejection by the United States Trotting Association,
Standardbred Canada, or any racing jurisdiction.
Section 5. An association shall submit to the
corporation, at least thirty (30) days prior to the opening of a race meeting,
a written list of racing officials and applicable employees.
Section 6. Officials at Extended Meetings.
(1) The officials listed in Section 1(1) of
this administrative regulation shall not serve at an extended pari-mutuel
meeting without a valid corporation license.
(2) A person shall not be employed for more
than one (1) official race position at a meeting unless specifically approved
by the corporation.
(3) The
corporation shall employ or approve officials listed in Section 1(1) of this
administrative regulation prior to each harness racing meeting, based on
standard qualifications for racing officials.
(4) A refusal to grant a license to a person
may be reviewed by the corporation in accordance with
810 KAR 3:050.
Section 7. Prohibited Practices. A
racing official, his or her assistants, or other employee in the racing
secretary's office shall not engage in the following activities while serving
in an official capacity at a race meeting:
(1)
Have an ownership interest in a horse that is racing at the meeting;
(2) Participate in the sale or purchase of a
horse that is racing at the meeting;
(3) Sell or solicit horse insurance on a
horse racing at the meeting;
(4) Be
licensed in any other capacity without permission of the corporation;
(5) Directly or indirectly wager on the
outcome of a live race which the person is officiating; or
(6) Refuse to submit to a breath, blood, or
urine test if directed to do so by the corporation or its designee.
Section 8. Location of Judge's
Stand.
(1) The judge's stand shall be located
and constructed so as to afford an unobstructed view of the entire
track.
(2) Anything that might
obscure or otherwise impede an official's vision of any portion of a track
during a race shall not be permitted on the track.
Section 9. Judge's Stand Occupants. From
fifteen (15) minutes before the first race until ten (10) minutes after the
last race, the occupants of the judge's stand shall be limited to:
(1) Judges;
(2) Clerk of the course;
(3) Secretary;
(4) Starter;
(5) Timers;
(6) Official announcer;
(7) Runner who posts the photo
finish;
(8) Officials of the
corporation; and
(9) Other persons
specifically authorized by the presiding judge.
Section 10. Appointment of Substitute
Officials. If a vacancy exists among the association racing officials, the
association shall fill the vacancy immediately with a temporary appointment.
The appointment shall be effective until the vacancy is filled in accordance
with this administrative regulation. A temporary or emergency appointment shall
be approved by the executive director of the corporation or the presiding
judge.
Section 11. Appointment of
Substitute Judge. If a judge is absent at race time, the presiding judge shall
appoint a substitute. If a substitute is appointed, the corporation shall be
notified immediately by the presiding judge.
Section 12. Presiding Judge. The presiding
judge shall:
(1) Supervise the following
persons:
(a) Associate judges;
(b) Patrol judges;
(c) Starters;
(d) Paddock judges;
(e) Photo finish judge;
(f) Clerk of the course;
(g) Timers;
(h) Charters;
(i) Racing secretary;
(j) Official announcer; and
(k) Other licensed personnel directly
responsible for conducting the racing program;
(2) Promptly notify owners, trainers,
drivers, and grooms of penalties imposed;
(3) Promptly submit a detailed written report
to the corporation of violations of the rules by an association, its officers,
or race officials;
(4) Make other
reports required by the corporation;
(5) Sign each sheet of the judge's book,
verifying the correctness of all information, and forward the sheets to the
United States Trotting Association no later than the day following the
contesting of the race; and
(6) Be
responsible for the maintenance of the records of the meeting and for
forwarding them to the corporation.
Section 13. Authority and Procedure of
Judges. A presiding judge shall:
(1) Levy
fines and penalties, as provided by KRS Chapter 230 and 810 KAR Chapter 5 and
810 KAR Chapter 8;
(2) Determine
questions of fact relating to the race;
(3) Decide any differences between parties to
the race, or any contingent matter which arises, that are not otherwise
provided for in this administrative regulation;
(4) Declare pools and bets "off" in cases of
fraud;
(a) A decision regarding pools and bets
shall be made by the presiding judge at the conclusion of the race, and prior
to the result of the race being announced as official, based upon the:
1. Observation of the presiding judge;
and
2. Facts determined upon
immediate investigation.
(b) After the official placing at the
conclusion of the heat or dash, a reversal or change of decision shall not
affect the distribution of betting pools made on the official
placing.
(c) If pools and bets are
declared "off" for fraud, the party who commits the fraud shall be charged
pursuant to Section 27(2) of this administrative regulation;
(5) Control the horses, drivers,
and assistants by citing drivers or assistants who fail to obey their orders,
810 KAR Chapter 5, or 810 KAR Chapter 8;
(6) Examine under oath a party connected with
a race regarding a wrong or complaint;
(7) Compel by written notice the appearance
of a person whose testimony is necessary to the proper conduct of a
hearing;
(8) Consider complaints of
foul only from the patrol judges, owners, trainers, or drivers in the
race;
(9) Make decisions in the
public interest and in the best interest of racing that are required by
extraordinary circumstances not covered by Title 810 KAR; and
(10) Declare a dash or heat "no contest" if
the track is thrown into darkness during the progress of a race because of a
failure of electricity or other unforeseen incident.
Section 14. Judges' Duties.
(1)
(a) A
presiding judge shall exclude from the race a horse that in the judge's opinion
is improperly equipped, dangerous, or unfit to race, including a horse that is
sick, weak, or extremely lame.
(b)
A horse shall not race:
1. With a tube in its
throat, or with the assistance of any other medical device, unless the approval
of the presiding judge and the corporation veterinarian are obtained prior to
the race;
2. If it does not have
unimpaired vision in at least (1) eye; or
3. If it is infected with Equine Infectious
Anemia or is a carrier of that disease.
(2) A presiding judge shall investigate any:
(a) Apparent or possible interference, or
other violation of
810 KAR 5:070, Section 1, whether or not a complaint has
been made by a driver; or
(b) Act
of cruelty to a race horse that is seen by, or reported to, him by any person
during a meeting at which he officiates. If a judge finds that an act of
cruelty has been committed, he shall charge the offender pursuant to Section
25(1) of this administrative regulation;
(3) The executive director of the
corporation, or the designated representative of the corporation:
(a) Shall have the same authority as that
conferred upon judges by the provisions of this section;
(b) May impose a penalty for an act of
cruelty or neglect of a horse committed by any person, whether the act was
performed on or off the premises of a race track; and
(c) Shall report any suspected criminal act
to the appropriate law enforcement authorities.
(4)
(a) A
presiding judge shall conduct an investigation of an accident to determine its
cause on the day of a race or immediately thereafter; and
(b) At the time of an accident the:
1. Inquiry sign shall be posted;
and
2. The race shall not be
declared official until the presiding judge has conferred with the patrol
judge, if one (1) is present, and the starter.
(5) A presiding judge shall exhaust all means
to safeguard the contestants and the public.
Section 15. An association shall not:
(1) Rescind or modify a fine imposed by a
presiding judge;
(2) Review an
order of suspension or expulsion; or
(3) Interfere with any official in the
performance of his or her duties.
Section 16. Judges' Procedure.
(1) The judges shall:
(a) Be in the stand:
1. Fifteen (15) minutes before the first
race;
2. For ten (10) minutes after
the last race; and
3. Whenever the
horses are upon the track;
(b) Observe the preliminary warming up of
horses and scoring, noting:
1. Behavior of
horses;
2. Lameness;
3. Equipment;
4. Conduct of the drivers;
5. Changes in odds at pari-mutuel
meetings;
6. Unusual incidents
pertaining to horses or drivers participating in races; and
7. Apparent or possible interference or other
violation of 810 KAR
1:070, Section 1; and
(c) Designate one (1) of the judges to lock
the pari-mutuel machines immediately upon the horse reaching the official
starting point.
(2) The
presiding judge shall:
(a) Approve the post
time for each race;
(b) Call the
horses at a time sufficient to preclude excessive delay after the completion of
two (2) scores; and
(c) Be in
communication with the starter from the time the starter picks up the horses
until the finish of the race.
(3) A patrol judge or starter who witnesses a
violation of KRS Chapter 230, 810 KAR Chapter 5, or 810 KAR Chapter 8 shall
immediately report the violation to the presiding judge.
(4) At least one (1) judge shall observe the
drivers throughout the stretch, and specifically note:
(a) Changing course;
(b) Driving offenses or instances of
interference with a race;
(c)
Improper use of whips;
(d) Breaks;
and
(e) Failure to contest the race
to the finish.
(5) Photo
sign.
(a) The photo sign shall be displayed
if:
1. The order of finish among the
contending horses is less than a half-length; or
2. A contending horse is on a break at the
finish.
(b) After the
finish:
1. The photo shall be
examined;
2. A decision shall be
made;
3. The photo shall be checked
by the presiding judge for accuracy; and
4. The photo shall be posted for public
inspection after the race has been declared official.
(6) The judges shall decide the
order of finish if:
(a) The photo finish
camera suffers electrical or mechanical failure; or
(b) A distorted, deceptive, or otherwise
inadequate picture is developed.
(7)
(a) The
judges shall cause a horse to be examined by the corporation veterinarian if it
falls or runs loose and uncontrolled:
1.
During warm up;
2. Prior to the
race; or
3. Going to the
post.
(b) If the
corporation veterinarian determines that the horse is unfit, the presiding
judge shall order the horse scratched.
(c) If the trainer believes his or her horse
is unfit to race, the trainer shall so advise the judge. The judge shall then
determine if the horse is unfit to race.
Section 17. Patrol Judges.
(1) At the discretion of the judges, patrol
judges may be appointed by the association.
(2) Appointment of patrol judges shall
require the approval of the presiding judge.
(3) Patrol judges shall be supervised by the
presiding judge.
(4) Patrol judges
shall observe activity on the race track in their area during the race
program.
(5) Patrol judges shall
immediately report to the presiding judge any fouls or improper conduct,
including:
(a) Action on the track which could
improperly affect the result of a race;
(b) A violation of KRS Chapter 230, 810 KAR
Chapter 5, or 810 KAR Chapter 8;
(c) A violation of the rules of
decorum;
(d) The lameness or
unfitness of a horse; or
(e) A lack
of proper racing equipment.
(6) Patrol judges shall be in constant
communication with the judges during the course of a race.
(7) Patrol judges shall attend hearings or
inquiries on violations, if requested by the presiding judge, and testify under
oath.
(8) If patrol judges have
been appointed, results of a heat or dash shall not be announced until the
reports of the patrol judges have been received.
Section 18. Starter.
(1) Subject to the approval of the
corporation, the starter shall be:
(a)
Designated by the association; and
(b) Licensed as a starter by the
corporation.
(2) The
starter shall be in the starting gate fifteen (15) minutes before the first
race.
(3) The starter shall have
control over the horses from the formation of the post parade until the word
"go" is given.
(4) A starter may
recommend disciplinary action to a presiding or associate judge.
(5) If requested by the judges, the starter
may assist in placing the horses.
(6) A starter shall be licensed by the United
States Trotting Association as a prerequisite to approval by the corporation to
serve as a starter.
Section
19. Clerk Duties; Clerk of the Course. The clerk of the course
shall:
(1) Assist in drawing positions if
requested by the judges;
(2) Keep
the judge's book and record, containing:
(a)
Horses entered without electronic eligibility certificates;
(b) Names of owners, drivers, and license
numbers of drivers;
(c) The charter
lines at pari-mutuel meetings;
(d)
Money won by a horse at that track during that race meeting;
(e) Drawn or ruled out horses;
(f) The performance time of horses in
minutes, seconds, and fifths of seconds; and
(g) Information related to the finish of the
race, including the position of a horse in the race if it was
charted;
(3) Verify the
correctness of the judge's book, including race time, placing and money
winnings, and reasons for disqualification, if any;
(4) Verify that the book is properly signed;
and
(5) Upon request, assist judges
in placing horses.
Section
20. Timers.
(1) If an electronic
or electric timing device is used, the device shall be approved by the
corporation.
(2) Time shall be
announced and recorded in fifths of seconds.
(3)
(a) If
an electronic or electric timing device is used, there shall be one (1) timer
in the judge's or timer's stand.
(b) If an electronic or electric timing
device is not used, there shall be three (3) timers in the judge's or timer's
stand.
(4)
(a) The timers shall be in the stand fifteen
(15) minutes before the first heat or dash is to be contested.
(b) Timers shall start their watches when the
first horse leaves the point from which the distance of the race is
measured.
(c) The time of the
leading horse at the one-quarter (1/4), one-half (1/2), and three-quarters
(3/4) mile, and the finish shall be taken.
(d) If odd distances are raced, the fractions
shall be noted accordingly.
Section 21. Paddock Judge.
(1) Under the direction and supervision of
the presiding judge, the paddock judge shall be in complete charge of paddock
activities as specified in
810 KAR 2:080, Section 8.
(2) The paddock judge shall be approved by
the corporation, pursuant to Section 6(3) of this administrative
regulation.
(3) The paddock judge
shall:
(a) Ensure that the fields are on the
track for the post parade in accordance with the schedule provided by the
presiding judge;
(b) Check for
changes in equipment, broken or faulty equipment, head numbers, or saddle
pads;
(c) Supervise paddock gate
personnel; and
(d) Check in and
check out horses and drivers. Check in and check out shall include the
identification of all horses coming into the paddock, by the freeze brand,
tattoo number, or other uniform or standardized means of identification
approved by the corporation.
(4) The paddock judge shall:
(a) Direct the activities of the paddock
farrier;
(b) Immediately notify the
presiding judge of circumstances that could change, delay, or otherwise affect
the racing program;
(c) Report to
the presiding judge any incident of cruelty to a horse that he or she observes
or is aware of;
(d) Ensure that
only properly authorized persons are permitted in the paddock;
(e) Notify the presiding judge of a change of
racing equipment or shoes before the race;
(f) Inspect and supervise the maintenance of
emergency equipment kept in the paddock; and
(g) Notify judges of trainers, drivers, or
grooms who leave the paddock in an emergency.
Section 22. Identifier.
(1) An association shall employ an
identifier, licensed by the corporation and the United States Trotting
Association, at an extended pari-mutuel meeting.
(2) The identifier shall:
(a) Check the identification of horses coming
into the paddock, including the tattoo number, freeze brand or other
corporation-approved means of identification, color, and markings;
and
(b) Be under the immediate
supervision of the paddock judge, and the general supervision of the presiding
judge.
(3)
(a) The identifier shall immediately report
to the paddock judge a discrepancy that is detected in the tattoo number or
freeze brand, or other corporation-approved means of identification, or the
color or markings of a horse; and
(b) The paddock judge shall immediately
notify the presiding judge of the discrepancy.
Section 23. Program Director.
(1) Subject to the approval of the
corporation an association conducting an extended pari-mutuel meeting shall
designate a program director, pursuant to Section 6(3) of this administrative
regulation.
(2) The program
director shall be responsible for furnishing the public with complete and
accurate past performance information as required by
810 KAR 5:010, Section
3.
(3) A person shall not act as a
program director at an extended pari-mutuel meeting unless that person has
secured a license from the United States Trotting Association.
Section 24. Licensed Charter.
(1) At an extended pari-mutuel meeting and a
grand circuit meeting, a race shall be charted by a licensed charter hired by
the track.
(2) The charter shall be
subject to the approval of the corporation, pursuant to Section 6(3) of this
administrative regulation, and shall be licensed by the United States Trotting
Association.
(3) The charter shall
be responsible for providing a complete and accurate chart which shall include
the following:
(a) The name of the
horse;
(b) The name of the
driver;
(c) Date and place of
race;
(d) Size of track;
(e) Track condition and
temperature;
(f) Type of race (trot
or pace);
(g) Classification of
race;
(h) Distance;
(i) The fractional times of the leading
horse, including the race time;
(j)
Post position, position at the one-quarter (1/4), one-half (1/2), and
three-quarters (3/4) mile, head of the stretch with lengths behind the leader,
and finish with lengths behind the leader;
(k) Official order of finish;
(l) Individual time of each horse;
(m) Closing dollar odds if applicable (with
favorite designated by an asterisk);
(n) The standard symbols for breaks, park
outs, and free legged pacers if applicable;
(o) The price for which the horse is entered
to be claimed less allowances for age and sex if the race is a claiming race;
and
(p) Notations of placings,
disqualifications, and claimed horses.
(4) Horses who are more than twenty-five (25)
lengths off the leader may be noted in charts as distanced ("dis").
Section 25. Variance from
commonly-accepted equipment shall be approved by the presiding judge.
Section 26. Duties of the Race Secretary. The
race secretary of an association shall be licensed and approved by the
corporation, pursuant to Section 6(3) of this administrative regulation. The
race secretary shall:
(1) Ensure that horses
racing during the meet have electronic eligibility certificates;
(2) Be familiar with the age, class, and
competitive ability of horses racing at the track;
(3) Classify and reclassify horses at the
meet in accordance with the required conditions of the race;
(4) List horses in the categories for which
they qualify, and ensure that the lists are current and properly displayed in
the room in which the declaration box is located for examination by horsemen
and others;
(5) Provide for the
listing of horses in the daily program;
(6) Verify the information contained in entry
blanks and declarations;
(7) Select
the horses to start and also the eligible horses from the declarations in
accordance with the conditions of the race; and
(8) Examine nominations and declarations in
early closing events, late closing events, and stake events, to verify the
eligibility of all declarations and nominations, and to compile lists for
publication.