501 Harness Racing Rules and Regulations

22 DE Reg. 467 (12/01/18)

22 DE Reg. 47 (07/01/18)

23 DE Reg. 556 (01/01/20)

2.1.2 Through these Rules, the Commission intends to implement its statutory mandate to promulgate and prescribe such rules and regulations as are necessary and proper for the purpose of regulating and overseeing the sport of harness racing, as defined in the Act, within the State of Delaware in the public interest, including the regulation of the conduct of all grooms, drivers and owners and their employees, and the regulation of all harness racing horses entered or to be entered in any harness racing meet authorized by the Commission pursuant to the Act.

2.0 Commission

2.1 Purpose

2.1.1 The Delaware Harness Racing Commission, created by the Act, Title 4, Chapter 100, of the Delaware Code, is charged with implementing, administering and enforcing the Act. It is the intent of the Commission that the rules of the Commission be interpreted in the best interests of the public and the State of Delaware.

2.2 General Authority

2.2.1 The Commission shall regulate each race meeting and the persons who participate in each race meeting.

2.2.2 Pursuant to the authority granted in the Act the Commission may delegate to the Board of Judges all powers and duties necessary to fully implement the purposes of the Act.

2.3 Membership And Meetings

2.3.1 The Commission consists of 5 members appointed as prescribed by the Act. No member of the Commission shall be licensed or regulated, directly or indirectly, by the Commission, nor shall any member of the Commission have any legal or beneficial interest, direct or indirect, pecuniary or otherwise, in any firm, association or corporation so licensed or regulated or which participates in pari-mutuel meetings in any manner. No member of the Commission shall be a person not of good moral character, nor shall a member of the Commission be a person convicted of, or under indictment for, a felony under the laws of Delaware or any other state, or the United States.

2.3.2 The Chairman of the Commission shall be appointed by the Governor. If at any time the Governor has not appointed a Chairman of the Commission, the Chairman of the Commission shall be elected by majority vote of the members of the Commission, with such election to be effective until such time as the Governor has appointed a Chairman of the Commission. The Vice Chairman of the Commission shall be elected annually at the January meeting of the Commission by majority vote of the members of the Commission. The Vice Chairman shall serve as Chairman at any meeting from which the Chairman is absent.

2.3.3 The Commission shall meet at the call of the Chairman or of a majority of the members. The Commission shall establish and maintain offices on each Association grounds, and at such other places as the Commission deems appropriate, and shall meet at least monthly during the period when any Association is conducting a harness horse racing meet, and at such other times as deemed necessary. Notice of the meetings must be given and the meetings must be conducted in accordance with the Freedom of Information Act, 29 Del.C. Ch. 100.

2.3.4 A majority of the Commission constitutes a quorum. When a quorum is present, a motion before the Commission is carried by an affirmative vote of the majority of the Commissioners present at the meeting.

2.3.5 To the extent required by 29 Del.C. Ch. 101 or by the Act, the Commission rules and orders shall be subject to the Administrative Procedures Act.

2.3.6 A Commission member may not act in the name of the Commission on any matter without a majority vote of a quorum of the Commission.

2.4 Annual Report. The Commission shall submit an annual report as prescribed by the Act.

2.5 Employees/Officials

2.5.1 The Commission may appoint officers, clerks, stenographers, inspectors and officials or employees as it deems necessary to implement, administer and enforce the Act. No person shall be appointed to or hold any such office or position who holds any official relation to any Association conducting harness horse racing within the State of Delaware, or whose parent, child or sibling is so engaged during the meeting at which such person is so appointed. Regardless of who pays the salary of such officials or employees, the Commission shall determine and insure that such officials or employees perform their duties in the public interest.

2.5.2 The Administrator of Harness Racing (Administrator) within the Department of Agriculture shall maintain the records of the Commission and shall perform other duties as required by the Commission. Except as otherwise provided by a rule of the Commission, if a rule of the Commission places a duty on the Administrator, the Administrator may delegate that duty to another employee of the Department of Agriculture or of the Commission.

2.5.3 No Commissioner, racing official, judge or employee of the Commission whose duty it is to insure that the rules and regulations of the Commission are complied with shall wager in any pari-mutuel pool at any facility or through any pari-mutuel system subject to the jurisdiction of this Commission, or otherwise bet on the outcome of any race regulated by the Commission or have any financial or pecuniary interest in the outcome of any race regulated by the Commission.

2.6 Power of Entry

2.6.1 A member or employee of the Commission, a judge, a peace officer or a designee of such a person may enter any area on Association grounds regulated by the Commission, or any other place of business of an Association regulated by the Commission, at any time to enforce or administer the Act or Commission rules, including the requirements set forth in Rule 4 of these Rules pertaining to Associations.

2.6.2 An Association or an officer, employee or agent of an Association may not hinder a person who is conducting an investigation under or attempting to enforce or administer the Act or Commission rules.

2.7 Subpoenas

2.7.1 A member of the Commission, the Administrator, the judges, the Commission Investigator, the presiding officer of a Commission proceeding or other person authorized to perform duties under the Act may require by subpoena the attendance of witnesses and the reproduction of books, papers and documents. Subpoenas as authorized by such persons shall be issued in blank under the hand of any Commissioner and over the seal of the Commission to any party.

2.7.2 A member of the Commission, the Administrator, a presiding officer of a Commission proceeding or other person authorized by the Commission may administer an oath or affirmation to a witness appearing before the Commission or a person authorized by the Commission.

2.7.3 If any person refuses to obey any subpoena requiring the person to appear, to testify, or to produce any books, papers and documents, the Commission may apply to the Superior Court of the county in which the Commission is sitting, and, thereupon, the Court shall issue its subpoena requiring the person to appear and to testify, or to produce the books, papers and documents.

2.8 Records

2.8.1 Except as otherwise provided by the Act, Commission records are subject to the Freedom of Information Act, 29 Del.C. Ch. 100.

2.8.2 Except as otherwise authorized by statute, all original records of the Commission shall be maintained in the main offices of the Commission at the Department of Agriculture in Dover, Delaware. No person may remove an original record from the offices of the Commission without the approval of the Administrator.

2.8.3 To inspect Commission records, a person must make a written request to the Commission in conformity with 29 Del.C. Ch. 100, and must pay all costs including preparing or copying the record and postage, if applicable. The Commission shall determine the costs involved in preparing or copying the record as provided by the Freedom of Information Act.

2.9 Allocation of Race Dates and Permits. The Commission shall allocate race dates and permits to each Association in accordance with the Act. An Association shall apply to the Commission for race dates to be conducted in the next calendar year. The application must contain the information required by the Act and Commission licensing procedure. After the request is filed, the Commission may require the Association to submit additional information.

2.10 Commission’s Powers. The Commission shall promulgate administrative regulations for effectively preventing the use of improper devices, the administration of drugs or stimulants or other improper acts for the purpose of affecting the speed or health of horses in races in which they are to participate. The Commission is also authorized to promulgate administrative regulations for the legal drug testing of licensees. The Commission is authorized to contract for the maintenance and operation of a testing laboratory and related facilities, for the purpose of saliva, urine, or other tests for enforcement of the Commission’s drug testing rules and regulations. The licensed persons or Associations conducting harness racing shall reimburse the Commission for all costs of the drug testing programs established pursuant to this section. Increases in costs of the aforementioned testing program shall be reasonable and related to expansion in the number of days of racing and the number of races held, the need to maintain competitive salaries, and inflation. The Commission may not unreasonably expand the drug testing program beyond the scope of the program in effect as of June 30, 1998. Any decision by the Commission to expand the scope of the drug testing program that occurs after an administrative hearing, at which the persons or Associations licensed under 3 Del.C. §10022 consent to such expansion, shall not be deemed an unreasonable expansion for purposes of this section. The Commission, in addition to the penalties contained in 3 Del.C. §10026, may impose penalties on licensees who violate the drug testing regulations including imposition of fines or assessments for drug testing costs.

1 DE Reg. 504 (11/01/97)

2 DE Reg. 1240 (01/01/99)

10 DE Reg. 980 (12/01/06)

14 DE Reg. 894 (03/01/11)

3.0 Officials

3.1 General Provisions

3.1.1 Racing Officials. Officials at a race meeting may include the following, as determined by the Commission:

3.1.1.1 Board of Judges;

3.1.1.2 Racing Secretary;

3.1.1.3 Paddock Judge;

3.1.1.4 Horse Identifier / Equipment Checker;

3.1.1.5 Starter;

3.1.1.6 Charter / Program Director;

3.1.1.7 Timer / Photo Finish Technician;

3.1.1.8 Patrol Judge;

3.1.1.9 DHRC Veterinarian and Veterinary Technician;

3.1.1.10 Bleeder Medication Veterinarian and Veterinary Technician;

3.1.1.11 Chief DHRC Investigator;

3.1.1.12 Administrator of Racing; and

3.1.1.13 Any other person designated by the Commission.

3.1.2 Eligibility. To qualify as a racing official the appointee must be licensed by the Commission after a determination that he:

3.1.2.1 Is of good moral character and reputation;

3.1.2.2 Is experienced in or knowledgeable of harness racing;

3.1.2.3 Is familiar with the duties to which he is appointed and with the Commission's rules and regulations;

3.1.2.4 Possesses the mental and physical capacity to perform his duties; and

3.1.2.5 Is not under suspension or ejection by the U.S.T.A., Standardbred Canada or any racing jurisdiction.

3.1.3 Approval and Licensing. The Commission, in its sole discretion, may determine the eligibility of a racing official and, in its sole discretion, may approve or disapprove any such official for licensing.

3.1.4 Prohibited Practices. Racing officials and their assistants shall not engage in any of the following activities while serving in an official capacity at a race meeting:

3.1.4.1 Participate in the sale or purchase, or own any horse racing at the meeting;

3.1.4.2 Sell or solicit horse insurance on any horse racing at the meeting;

3.1.4.3 Be licensed in any other capacity without permission of the Commission;

3.1.4.4 Wager on the outcome of any live or simulcast race;

3.1.4.5 Refuse to take a breath analyzer test or submit to a blood or urine sample when directed by the Commission or its designee; or

3.1.4.6 Perform their official duties on any day in which any horse is entered or races in any live race at the Association grounds that is owned, trained, driven, or groomed, by the official’s spouse, parent, child, or sibling without the permission of the Commission. If repeated such conflicts interfere with the official's performance of his normal duties, or with any other official's performance of his official duties, then the Commission shall approve another person to replace the official with the familial conflict.

3.1.5 Report of Violations. Racing officials and their assistants shall report immediately to the Presiding Judge or judges every observed violation of these rules and of the laws of this jurisdiction governing racing.

3.1.6 Complaints Against Officials. Any formal complaint against a racing official other than a judge shall be made to the Presiding Judge in writing and signed by the complainant. All such complaints shall be reported to the Commission by the Presiding Judge, as appropriate, together with a report of the action taken or the recommendation of the Presiding Judge. Formal complaints against the Presiding Judge or any judge shall be made in writing to the Commission and signed by the complainant.

3.1.7 Appointment

3.1.7.1 No person shall be appointed to hold any official position who has any official relation to any person employed by a corporation or Association conducting harness racing within this State. No Commissioner, racing official, or judge whose duty is to insure that the rules and regulations of the Commission are complied with shall bet on any race during any live racing program nor have any financial or pecuniary interest in the outcome of any race regulated by the Commission. All employees appointed under 3 Del.C. §10007(a-c) shall serve at the pleasure of the Commission and are to be paid a reasonable compensation.

3.1.7.2 The Commission shall appoint or approve the Board of Judges at each harness race meeting. The Commission may appoint such officials on an annual basis. In addition to any minimum qualifications promulgated by the Commission, all applicants for the positions on the Board of Judges must possess a USTA license and be fully accredited by a recognized university approved by the Commission. An applicant for the position of race judge must also have been previously employed as a steward, patrol judge, or other racing official at a harness racing meeting for a period of not less than forty-five days during three of the last five years, or have at least five years of experience as a licensed driver who has also served not less than one year as a licensed racing official at a harness racing meeting or have ten years of experience as a licensed harness racing trainer who has served not less than one year as a licensed racing official at a harness racing meeting.

3.1.7.3 The Commission may appoint such officers, clerks, stenographers, inspectors, racing officials, veterinarians, and such other employees as it deems necessary, consistent with the purposes of 3 Del.C. Chapter 100.

3.1.8 Appointment of Presiding Judge. Should the Presiding Judge or any judge be absent at race time, the Presiding Judge, or, in the Presiding Judge's absence the remaining judges shall appoint a deputy for the Presiding Judge or judges. If a deputy judge is appointed, the Commission shall be notified immediately by the Presiding Judge or remaining judges.

3.2 Board of Judges

3.2.1 General Authority

3.2.1.1 The Board of Judges for each meeting shall be responsible to the Commission for the conduct of the race meeting in accordance with the laws of this jurisdiction and these rules.

3.2.1.2 The Board of Judges shall enforce these rules and the racing laws of the State of Delaware.

3.2.1.3 The Presiding Judge's authority includes supervision of all racing officials, licensed personnel, other persons responsible for the conduct of racing and patrons, as necessary to ensure compliance with these rules.

3.2.1.4 The Board of Judges shall have authority to resolve conflicts or disputes related to racing and to discipline violators in accordance with the provisions of these rules.

3.2.1.5 The Board of Judges have the authority to interpret the rules and to decide all questions of racing not specifically covered by the rules.

3.2.1.6 The Presiding Judge shall be a representative of the Commission at all race meetings which the Commission may direct such Presiding Judge to attend. The Presiding Judge shall be the senior officer at such meetings and, subject to the control and direction of the Commission, shall have general supervision over the racing officials, medication program and drug-testing officials, and all other employees and appointees of the Commission employed at such race meet or meetings. The Presiding Judge shall, subject to the general control of the Commission, monitor the conduct of the racing and the pari-mutuel department, and supervise the testing of horses and drivers. The Presiding Judge at all times shall have access to all parts of the Association grounds, including the racecourse, physical plant and grounds. Upon instruction from the Commission, the Presiding Judge shall conduct hearings and investigations, and report his findings to the Commission. The Presiding Judge shall act for the Commission in all matters requiring its attention, to receive from all persons having knowledge thereof information required by the Commission and to perform all other duties for the compliance of the rules and regulations of the Commission and the laws of the State of Delaware.

3.2.2 Period of Authority. The Board of Judge’s period of authority shall commence five (5) business days prior to the beginning of each race meeting and shall terminate with completion of their official business pertaining to the meeting.

3.2.3 Disciplinary Action

3.2.3.1 The Board of Judges shall take notice of alleged misconduct or rule violations and initiate investigations into the matters.

3.2.3.2 The Board of Judges shall have authority to charge any licensee for a violation of these rules, to conduct hearings and to impose disciplinary action in accordance with these rules.

3.2.3.3 The Board of Judges may compel the attendance of witnesses and the submission of documents or potential evidence related to any investigation or hearing.

3.2.3.4 The Board of Judges may at any time inspect license documents, registration papers and other documents related to racing.

3.2.3.5 The Board of Judges have the power to administer oaths and examine witnesses.

3.2.3.6 The Board of Judges shall consult with the Chief DHRC Veterinarian and/or the Commission chemist to determine the nature and seriousness of a laboratory finding or an alleged medication violation.

3.2.3.7 The Board of Judges may impose, but are not limited to, any of the following penalties on a licensee for a violation of these rules:

3.2.3.7.1 The Board of Judges may take any appropriate actions against any horse for a violation or attempted violation of these rules.

3.2.3.7.2 The Board of Judges may suspend a license; or they may impose a fine in accordance with these Rules for each violation; or they may suspend and fine; or they may order that a person be ineligible for licensing. If a driver is given a driving suspension of five (5) days or less by the Board of Judges in Delaware, then such penalty shall commence on the first day after the driver has fulfilled all of the driving obligations programmed in the State of Delaware at the time the penalty is assessed.

3.2.3.8 The Board of Judge’s ruling shall not prevent the Commission from imposing a more or less severe penalty.

3.2.3.9 The Board of Judges may refer any matter to the Commission and may include recommendations for disposition. The absence of a Board of Judge’s referral shall not preclude Commission action in any matter.

3.2.3.10 Purses, prizes, awards, and trophies shall be redistributed if the Board of Judges or Commission order a change in the official order of finish.

3.2.3.11 All fines imposed by the Board of Judges shall be paid to the Commission within ten (10) days after the ruling is issued, unless otherwise ordered.

3.2.4 Protests, Objections and Complaints. The Board of Judges shall investigate promptly and render a decision in every protest made to them. They shall maintain a record of all protests. The Board of Judges shall file daily with the Commission a copy of each protest, objection or complaint and any related ruling. All protests must be in writing and lodged with the Board of Judges not later than forty-eight (48) hours after the race in question.

3.2.5 Judges’ Presence. One judge shall be present in the stand thirty (30) minutes prior to the race to observe and the others shall be present no less than fifteen (15) minutes prior to the race, during the contesting of the race and fifteen (15) minutes after the finish.

3.2.6 Order of Finish for Pari‑Mutuel Wagering

3.2.6.1 The judges shall determine the official order of finish for each race in accordance with the rules of the race (see Section 7.0).

3.2.6.2 The decision of the judges as to the official order of finish, including the disqualification of a horse or horses as a result of any event occurring during the contesting of the race, shall be final for purposes of distribution of the pari-mutuel wagering pool.

3.2.7 Cancel Wagering. The Board of Judges has the authority to cancel wagering and order refunds where applicable on an individual betting interest or on an entire race and also have the authority to cancel a pari-mutuel pool for a race or races, if such action is necessary to protect the integrity of pari-mutuel wagering.

3.2.8 Steward's List

3.2.8.1 The judges shall maintain a Steward's List of the horses which are ineligible to be entered in a race.

3.2.8.2 A horse that is unfit to race because it is dangerous, unmanageable or unable to show a performance to qualify for races at the meeting, scratched as a result of a high blood gas test, or otherwise unfit to race at the meeting may be placed on the Steward's List by the Presiding Judge and declarations or entries on the horse shall be refused. The owner or trainer shall be notified of such action and the reason shall be clearly stated. When any horse is placed on the Steward's List, the Program Director shall make a note on the electronic eligibility certificate of such horse, showing the date the horse was put on the Steward's List the reason and the date of removal if the horse has been removed.

3.2.8.3 Following an examination all horses scratched by a veterinarian for either lameness or sickness will be put on the Steward's List and cannot race for at least seven (7) days from the date of the scratched race. Entries will be accepted during this seven (7) day period for a race to be contested after the seventh day.

3.2.8.3.1 Following an examination Veterinarians may put a horse on the Steward’s List for sickness or lameness for more than seven (7) days if necessary. In that instance, the horse may not race until proscribed number of days has expired. Entries will be accepted during this period for a race to be contested after the proscribed number of days has expired.

3.2.8.4 No Presiding Judge or other official at a race meeting shall have the power to remove from the Steward's List and accept as an entry any horse which has been placed on a Steward's List and not subsequently removed for the reason that he it is dangerous or unmanageable. Such meetings may refuse declarations or entries on any horse that has been placed on the Steward's List and has not been removed.

3.2.8.5 No entry or declaration to start shall be accepted by any Association in this jurisdiction without having had a negative official test for equine infectious anemia within twelve (12) months.

3.2.8.6 The judges may put any horse on the Steward's List for performance when such horse shows a reversal of form or does not race near its own capabilities. Such horse shall qualify in a time comparable to its known capabilities from one to three times, at the discretion of the judges, before being allowed to start.

3.2.8.7 Any horse put on the Steward's List as unmanageable or dangerous must qualify in a satisfactory manner for the judges at least two times.

3.2.8.8 The judges may put any horse on the Steward's List for being noncompetitive or unfit to race at the meeting.

3.2.8.9 The judges may place a horse on the Steward's List when there exists a question as to the exact identification, ownership or management of said horse.

3.2.8.10 A horse which has been placed on the Steward's List because of questions as to the exact identification or ownership of said horse, may be removed from the Steward's List when, in the opinion of the judges, proof of exact identification or ownership has been established.

3.2.8.11 A horse may not be released from the Steward's List without the permission of the judges.

3.2.9 List of Nerved Horses. The judges shall maintain a list of nerved horses participating at the race meet and shall post this list in the Race Office.

3.3 Racing Secretary

3.3.1 General Authority. The Racing Secretary is responsible for setting the conditions for each race of the race meeting, regulating the nomination of entries and determining the amounts of purses and to whom they are due. The Racing Secretary shall check and verify the eligibility of all horses entered.

3.3.2 Race Information. The Racing Secretary shall be familiar with the age, class and competitive ability of all horses racing at the meeting.

3.3.3 Classifications. The Racing Secretary shall classify horses in accordance with these rules.

3.3.4 Listing of Horses. The Racing Office shall:

3.3.4.1 Examine all entry forms and declarations to verify information as set forth therein; and

3.3.4.2 Select the horses to start and the also eligible horses from the declarations in accordance with these rules.

3.3.4.3 Provide the listing of horses in the daily program.

3.3.5 Nominations and Declarations. The Racing Secretary shall examine nominations and declarations and early closing events, late closing events and stakes events to verify the eligibility of all declarations and nominations and compile lists thereof for publication.

3.3.6 Conditions. The Racing Secretary shall establish the conditions and eligibility for entering races and cause them to be published to owners, trainers and the Commission and be posted in the Racing Secretary's office.

3.3.7 Posting of Entries. Upon completion of the draw each day, the Racing Secretary shall post a list of entries in a conspicuous location in his office and make the list available to the media.

3.3.8 Winnings

3.3.8.1 For the purpose of establishing conditions, winnings shall be considered to include all monies and prizes won up to the time of the start of a race.

3.3.8.2 Winnings during the year shall be calculated by the Racing Secretary from the preceding January 1.

3.3.9 Cancellation of a Race. In case of unfavorable weather or other unavoidable cause, Associations, upon notifying of the Presiding Judge may postpone or cancel races.

3.4 Paddock Judge

3.4.1 General Authority. Under the direction and supervision of the Presiding Judge, the Paddock Judge shall:

3.4.1.1 Ensure that all horses entered in a heat or dash are on the racetrack at the time designated by the Presiding Judge to be formed in a parade line; that such horses are attended by their drivers unless specifically excused by the Paddock Judge; that all horses in heat or race parade from the paddock upon the track and before the grandstand not later than five (5) minutes before Post Time; and that drivers not engage in conversation during the post parade. A horse failing to parade without being excused by the Paddock Judge may be scratched from the race or its driver or trainer may be penalized;

3.4.1.2 Supervise the Horse Identifier/Equipment Checker;

3.4.1.3 Supervise the paddock gate operators;

3.4.1.4 Ensure that all horses are in the paddock at the time prescribed by the Presiding Judge, but in any event not less than one hour but not more than two hours prior to post time of the race in which the horse is to compete. Except for warm-up trips, no horse shall leave the paddock until called to the post;

3.4.1.5 Ensure that no driver or groom once admitted to the paddock or receiving barn shall leave the same other than to warm up said horse or other race related activity until such race, or races, for which he was admitted is contested; provided, however, that in the event of an emergency, a license may leave the paddock but only with the permission of the Paddock Judge, in which case the Paddock Judge shall maintain a written record thereof, which shall be delivered to the Presiding Judge. Only a licensed owner or trainer who has another horse racing in a later race, shall return to the paddock until all races of that program have been completed;

3.4.1.6 Direct the activities of the paddock blacksmith;

3.4.1.7 Ensure that only persons properly authorized by the Licensing Office are admitted in the paddock, including:

3.4.1.7.1 Owners of horses competing on the date of the race and whose horses are in the paddock with the exception of all owners of registered stables;

3.4.1.7.2 Trainers of horses competing on the date of the race and whose horses are in the paddock;

3.4.1.7.3 Drivers of horses competing on the date of the race and whose horses are in the paddock;

3.4.1.7.4 No more than two grooms of horses competing on the date of the race and whose horses are in the paddock;

3.4.1.7.5 Officials whose duties require their presence in the paddock or receiving barn; and

3.4.1.7.6 Ensure that no more than two owners of a registered stable, other than the driver, shall be entitled to admission to the paddock on any racing day, except by permission of the Presiding Judge;

3.4.1.8 Notify the Presiding Judge of any change in racing equipment or shoes before the race;

3.4.1.9 Inspect and supervise the maintenance of all emergency equipment kept in the paddock;

3.4.1.10 Notify the 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;

3.4.1.11 Supervise and maintain the cleanliness of the paddock; and

3.4.1.12 Supervise the conduct of all persons in the paddock.

3.4.2 Report to the Presiding Judge. The Paddock Judge shall:

3.4.2.1 Immediately notify the Presiding Judge of anything that could in any way change, delay or otherwise affect the racing program;

3.4.2.2 Report to the Presiding Judge any observed cruelty to a horse; and

3.4.2.3 Any other violations of these rules.

3.5 Horse Identifier / Equipment Checker

3.5.1 General Authority. The Horse Identifier / Equipment Checker shall be present for each race. The duties of the Horse Identifier / Equipment Checker are:

3.5.1.1 Maintain a listing of all equipment worn, including shoes, and the tattoo or freeze brand, or Micro Chip number for each horse racing at the meeting;

3.5.1.2 Each time a horse races, identify the horse by checking the lip tattoo or freeze brand, or Micro Chip;

3.5.1.3 Compare the type and condition of equipment actually being used by each horse for each race with the approved equipment listed; and

3.5.1.4 Maintain and ensure the proper working condition of Micro Chip readers.

3.5.2 Report Violations. The Horse Identifier / Equipment Checker shall report to the Paddock Judge immediately any discrepancies or faulty equipment discovered by the investigations specified in this Rule, which findings are to be reported immediately to the Presiding Judge. Such discrepancies shall be forwarded to the USTA. The Presiding Judge's ruling in these matters is final.

3.6 Starter

3.6.1 General Authority

3.6.1.1 The Starter is responsible to provide a fair start for each race.

3.6.1.2 The Starter shall be an employee or contractor of the association.

3.6.1.3 The Starter shall ensure that the driver is cognizant of and capable of performing all required procedures.

3.6.2 Report Violations. The Starter shall report violations of these rules occurring at the start of a race to the judges.

3.6.3 Disciplinary Action. The Starter shall have authority to assess fines and to suspend the license of drivers for any violation of these rules from the formation of the parade until the word "Go" is given.

3.6.4 Schooling and Qualifying. The Starter shall school horses as may be necessary and shall prepare a list of horses not qualified to start, which shall be delivered to the judges and entered on the Steward's List. The Steward's List shall be posted in the Racing Secretary's office with the list of horses not qualified to start.

3.7 Charter / Program Director

3.7.1 General Authority. The Charter is responsible for providing a complete and accurate chart of each race. An accurate Judge’s Book shall incorporate a chart of each race which shall include the following:

3.7.1.1 Horse's name and electronic eligibility certificate number;

3.7.1.2 Driver's name and USTA membership number, and trainer’s name and USTA membership number;

3.7.1.3 Date and place of the race;

3.7.1.4 Track code;

3.7.1.5 Track condition and temperature;

3.7.1.6 Type of race (trot or pace);

3.7.1.7 Classification of race;

3.7.1.8 Distance other than a mile;

3.7.1.9 Fractional times of the leading horse, including the race time;

3.7.1.10 Post position, position at the 1/4‑mile, the 1/2‑mile and the 3/4‑mile poles and at the head of the stretch with lengths behind the leader and finish position with lengths behind the winner;

3.7.1.11 Official order of finish;

3.7.1.12 Individual time of each horse;

3.7.1.13 Closing dollar odds (with favorite designated by an asterisk);

3.7.1.14 The standard symbols for breaks, park outs free legged pacers, and hobbled trotters where applicable;

3.7.1.15 The standard symbols for medications, where applicable;

3.7.1.16 In claiming races, the price for which the horse is entered to be claimed;

3.7.1.17 Mutuel data to include the payoff prices for win, place, show, daily double, exacta, trifecta, superfecta, and any other exotic wager;

3.7.1.18 Notations of placings, disqualifications and claimed horses;

3.7.1.19 The names and addresses of owners; and

3.7.1.20 Notations of scratched or ruled out horses.

3.7.2 Other Duties. The Charter / Program Director shall also be responsible for keeping and verifying the Judge’s Book and eligibility certificates provided by the U.S.T.A. / Standardbred Canada and recording therein all required information.

3.7.3 The Charter / Program Director is also responsible for furnishing the public complete and accurate past performance information.

3.8 Official Timer / Photo Finish Technician

3.8.1 General Authority. The Timer shall accurately record the time elapsed between the start and finish of each race.

3.8.2 Timing Procedure. The time shall be recorded from the instant that the first horse leaves the point from which the distance is measured until the first horse reaches the finish line.

3.8.3 Timing Races

3.8.3.1 In every race, the time of each heat shall be accurately recorded by two timers or an approved electrical timing device, in which case, there shall be one timer.

3.8.3.2 Times of heats shall be recorded in minutes, seconds and fifths of a second.

3.8.3.3 Immediately following each heat, the elapsed time of the heat shall be publicly announced or posted on the tote board.

3.8.3.4 No unofficial timing shall be announced, posted or entered into the official record.

3.8.4 Error in Reported Time

3.8.4.1 In circumstances involving an error in timing, no time shall be announced, posted or recorded for that heat.

3.8.4.2 In any case of alleged error regarding a horse's official time, the time in question shall not be changed to favor the horse or its owner, except upon the sworn statement of the judges and official timers who officiated in the race.

3.9 Patrol Judge

3.9.1 General Authority. The Patrol Judge, when utilized, is responsible for observing the race and reporting information concerning the race to the judges. If the track's video replay system is deemed adequate by the Commission, use of patrol judges is optional.

3.10 Commission Veterinarian

3.10.1 General Authority. The Commission Veterinarian shall:

3.10.1.1 Be appointed by the Commission;

3.10.1.2 Possess a Delaware Veterinarian License;

3.10.1.3 Recommend to the judges any horse deemed unfit to race following an examination;

3.10.1.4 Place horses on the Veterinarian's List, when necessary, and remove horses from the Veterinarian's List;

3.10.1.5 Place horses on the Bleeder List and remove horses from the Bleeder List;

3.10.1.6 Maintain a continuing health and racing soundness record of each horse given a racing soundness inspection;

3.10.1.7 Supervise the taking of all specimens for testing according to procedures approved by the Commission;

3.10.1.8 Provide proper safeguards in the handling of all laboratory specimens to prevent tampering, confusion or contamination;

3.10.1.9 Report to the Commission the names of all horses humanely destroyed or which otherwise expire at the meeting and the reasons therefore;

3.10.1.10 Maintain all required records of postmortem examinations performed on horses which have died on Association grounds;

3.10.1.11 Review and make recommendations regarding Commission license applications of practicing veterinarians;

3.10.1.12 Cooperate with practicing veterinarians and other regulatory agencies to take measures to control communicable or reportable equine diseases;

3.10.1.13 Supervise the periodic review of all horse papers under the jurisdiction of the Commission to ensure that all required tests and health certificates are current and properly filed in accordance with these rules;

3.10.1.14 Be authorized to humanely euthanize any horse deemed to be so seriously injured that it is in the best interests of the horse to so act; and

3.10.1.15 Supervise the activities of Veterinary Technicians.

3.10.2 Racing Responsibilities. With respect to the conduct of each race, and each race meeting authorized by the Commission, the Commission Veterinarian shall:

3.10.2.1 Be available to inspect any horses and report on their condition as may be requested by the judges;

3.10.2.2 Inspect any horse when there is a question as to the physical condition of such horse;

3.10.2.3 Recommend scratching a horse to the judges if, in the Commission Veterinarian's opinion, the horse is physically incapable of exerting its best effort to win following an examination and communication of same to the trainer or his designee;

3.10.2.4 Inspect any horse which appears in physical distress during the race or at the finish of the race; and shall report such horse together with the Commission Veterinarian's opinion as to the cause of the distress to the judges;

3.10.2.5 Refrain from directly treating or prescribing for any horse scheduled to participate during his term of appointment at any recognized meeting except in cases of emergency, accident or injury;

3.10.2.6 Refuse employment or payment, directly or indirectly, from any owner or trainer of a horse racing or intending to race in the State of Delaware while employed as a Commission Veterinarian;

3.10.2.7 Conduct soundness inspections on horses participating in races at the meeting;

3.10.2.8 Place horses on or remove them from the Veterinarian's List.

3.10.3 Veterinarian’s List. The Commission Veterinarian shall maintain a list of all horses which the Commission Veterinarian has determined to be unfit to compete in a race due to physical distress, unsoundness, infirmity or medical condition.

3.10.3.1 A horse may be placed on the Veterinarian’s List by a Commission Veterinarian for a prescribed number of days and then be allowed to race after those days have elapsed.

3.11 Bleeder Medication Veterinarian

3.11.1 General Authority. The Bleeder Medication veterinarian shall:

3.11.1.1 Fully cooperate and coordinate Bleeder Medication veterinarian duties, responsibilities, schedules and related functions with the Commission Veterinarian;

3.11.1.2 Possess a Delaware Veterinarian License;

3.11.1.3 Report to the State Furosemide (Salix) stall treatment area at least 30 minutes prior to the first scheduled Salix treatment;

3.11.1.4 Record the name of the horse and the time that the Salix is administered, and denote "IV" or "IM", as appropriate;

3.11.1.5 Report to the Paddock Judge any horse that fails to show, or is late to the State Salix stall;

3.11.1.6 Administer Furosemide (Salix) to each horse on the Bleeder list, and administer Aminocaproic Acid in accordance with Rule 8.3.5. of these Rules;

3.11.1.7 Collect fees for each injection at the time of administration; credit shall not be given at any time;

3.11.1.8 Turn in the list of horses and times of administration to the Paddock Judge prior to leaving each race day;

3.11.1.9 Report any unusual findings to the Paddock Judge without delay; and

3.11.1.10 Supervise the activities of Veterinary Technicians.

3.11.2 Bleeder List. With the approval of the Commission Veterinarian, the Bleeder Medication Veterinarian may recommend horses to be placed on and off the Bleeder List.

3.12 Chief DHRC Investigator

3.12.1 The Commission may appoint a Chief DHRC Investigator for each harness racing meet. The Chief DHRC Investigator shall perform all duties prescribed by the Commission consistent with the purposes of Section 3.0 of this regulation. Such racing investigator shall have full and free access to the books, records, and papers pertaining to the pari-mutuel system of wagering and to the enclosure or space where the pari-mutuel system is conducted at any harness racing meeting to which the racing investigator shall be assigned for the purpose of ascertaining whether the holder of such permit is operating in compliance with the Commission’s rules and regulations. The Chief DHRC Investigator shall investigate whether such rules and regulations promulgated by the Commission are being violated at such harness race track or enclosure by any licensee, patron, or other person. Upon discovering any such violation, the Chief DHRC Investigator shall immediately report the findings in writing and under oath to the Commission or its designee as it may deem fitting and proper. The Chief DHRC Investigator shall devote the Chief DHRC Investigator's full time to the duties of the office and shall not hold any other position or employment.

3.12.2 Subject to the approval of the Commission, and under the direction of the Administrator of Racing, the Chief DHRC Investigator may be delegated one or more of the following responsibilities:

3.12.2.1 Supervising the licensing function of the Commission, including performing background checks and fingerprinting applicants for licensure, and facilitating the Commission’s participation in a uniform, multi-jurisdictional, reciprocal licensing scheme;

3.12.2.2 Consulting with track security and with law enforcement agencies both within and outside of Delaware;

3.12.2.3 Supervising the human and equine drug-testing programs provided for in these Rules;

3.12.2.4 Conducting vehicle and stall searches;

3.12.2.5 Intelligence gathering and dissemination;

3.12.2.6 Responding to patron complaints regarding the integrity of racing; and

3.12.2.7 Where appropriate, presenting complaints to the Commission for disposition, including complaints seeking disciplinary action against licensees of the Commission.

3.13 Administrator of Racing. The Commission may employ an Administrator of Racing who shall perform all duties prescribed by the Commission consistent with the purposes of this rule. The Administrator of Racing shall devote the Administrator of Racing’s full time to the duties of the office and shall not hold any other office. The Administrator of Racing shall be the representative for the Commission at all meetings of the Commission and shall keep a complete record of its proceedings and preserve, at its general office, all books, maps, documents, and papers entrusted to its care. The Administrator of Racing shall be the executive officer of the Commission and shall be responsible for keeping all Commission records and carrying out the rules and orders of the Commission. The Commission may appoint the Administrator of Racing to act as a hearing officer to hear appeals from administrative decisions of the Board of Judges.

3.14 Any Other Person Designated by the Commission. The Commission may create additional racing official positions, as needed. Persons selected for these positions shall be considered racing officials and shall be subject to the general eligibility requirements outlined in subsection 3.1.1 of this regulation.

1 DE Reg. 504 (11/01/97))

2 DE Reg. 1240 (01/01/99)

2 DE Reg. 1764 (04/01/99)

4 DE Reg. 336 (08/01/00)

7 DE Reg. 1512 (05/01/04)

10 DE Reg. 1421 (03/01/07)

11 DE Reg. 308 (09/01/07)

14 DE Reg. 1338 (06/01/11)

17 DE Reg. 1059 (05/01/14)

22 DE Reg. 467 (12/01/18)

4.1.1 An Association, its officers, directors, officials and employees shall comply with the rules and orders of the Commission and judges.

4.0 Associations

4.1 General Duty

4.1.2 An Association may request an exemption from a requirement in this chapter to utilize new technology or innovative construction or design of the racetrack facilities. The Commission may grant an exemption if it determines that:

4.1.2.1 The Association's proposal substantially satisfies the purpose of the requirement; and

4.1.2.2 The exemption is in the best interests of the race horses, the racing industry and the citizens of Delaware.

4.2 Financial Requirements

4.2.1 Insurer of the Race Meeting

4.2.1.1 Approval of a race meeting by the Commission does not establish the Commission as the insurer or guarantor of the safety or physical condition of the Association's facilities or purse of any race.

4.2.1.2 In accordance with §10043 of the Act, an Association shall timely provide the Commission with a certificate of liability insurance, in an amount approved by the Commission, with premium prepaid. The insurance shall provide a minimum of medical expense coverage equal to the average daily purse account raced for at the previous meeting conducted by the Association.

4.2.1.3 An Association shall maintain in an approved depository, those amounts deducted from the pari-mutuel handle for distribution for the purposes specified in the Act and Commission rules.

4.2.1.4 An Association is responsible to ensure that the amounts retained from the pari-mutuel handle are distributed according to the Act and Commission rules and not otherwise.

4.2.1.5 An Association shall ensure that all purse monies, disbursements and appropriate nomination race monies are available to make timely distribution in accordance with the Act, Commission rules, Association rules and race conditions, and with any contractual arrangements with the horsemen's association recognized for purposes related to the allocation of purses, if applicable.

4.2.2 Financial Reports

4.2.2.1 The Commission may require periodic audits to determine that the Association has funds available to meet those distributions for the purposes required by the Act, Commission rules, the conditions and nomination race program of the race meeting and the obligations incurred in the daily operation of the race meeting.

4.2.2.2 Pursuant to §10029(e) or §10055(a) of the Act, the Commission may require that the books, records and financial or other statements of any Association licensed under the provisions of the Act, or licensed to make, conduct and sell pools in accordance with Subchapter IV of the Act, shall be kept in such form or in such manner as the Commission prescribes.

4.2.2.3 In accordance with §10030 of the Act, every licensed Association shall file with the Department of Finance, not later than four (4) months after the close of the Association's fiscal year, a statement, duly certified by an independent public accountant, of its receipts from all sources whatsoever during the fiscal year and of all expenses and disbursements, itemized in the manner and form directed by the Department of Finance, showing the net revenue from all sources derived by the licensee during the fiscal year covered by such statement.

4.2.2.4 Pursuant to §10029(e) or §10055(a) of the Act, the Commission may visit, investigate and place expert accountants and such other persons as it deems necessary, in the offices, tracks or places of business of any licensed Association, or in the office or place of business of any person or entity licensed to operate a pool, for the purpose of satisfying itself that the Commission's rules and regulations are strictly complied with. The salaries and expenses of such expert accountants or other persons shall be paid by the Association to whom they are assigned.

4.2.2.5 Any financial reports, or any other financial information, obtained pursuant to the Act or these rules shall not be disclosed as public information except as required by 29 Del.C. Ch. 100.

4.3 Facilities and Equipment

4.3.1 Facilities for Patrons and Licensees

4.3.1.1 An Association shall ensure that the public areas of the Association grounds are designed and maintained for the comfort and safety of the patrons and licensees and are accessible to all persons with disabilities as required by federal law.

4.3.1.2 An Association shall provide and maintain adequate restroom facilities for the patrons and licensees.

4.3.1.3 An Association shall provide an adequate supply of free drinking water.

4.3.1.4 An Association shall maintain all facilities on Association grounds to ensure the safety and cleanliness of the facilities at all times.

4.3.1.5 During a race performance, the Association shall provide:

4.3.1.5.1 a first aid room equipped with at least two beds and other appropriate equipment; and

4.3.1.5.2 the services of at least one certified emergency medical technician (EMT).

4.3.1.6 An Association shall provide a properly equipped ambulance, staffed with certified paramedics or EMTs, at any time the racetrack is open for racing. If the ambulance is being used to transport an individual, the Association may not conduct a race until the ambulance is replaced.

4.3.1.7 An Association shall provide adequate office space for the use of the judges and other Commission personnel as required by the Commission. The location and size of the office space, furnishings and equipment required under this section must be approved by the Commission, after appropriate consideration has been given to the limitations of available space and/or other resources or infrastructure on the grounds of the Association.

4.3.1.8 An Association shall promptly post Commission notices in places that can be easily viewed by patrons and licensees.

4.3.2 Officials' Stands. An Association shall provide adequate stands for officials to have a clear view of the racetrack. The location and design of the stands must be approved by the Commission.

4.3.3 Audio and Visual Equipment

4.3.3.1 An Association shall provide and maintain in good working order a communication system between the:

4.3.3.1.1 Judges' stand;

4.3.3.1.2 Racing office;

4.3.3.1.3 Tote room;

4.3.3.1.4 Paddock;

4.3.3.1.5 Test barn;

4.3.3.1.6 Starting gate;

4.3.3.1.7 Recording system locations;

4.3.3.1.8 Veterinarian and Veterinary Technician;

4.3.3.1.9 Track announcer;

4.3.3.1.10 Location of the ambulances (equine and human); and

4.3.3.1.11 Other locations and persons designated by the Commission.

4.3.3.2 An Association shall provide and maintain a public address system capable of clearly transmitting announcements to the patrons and to the stable area.

4.3.3.3 An Association shall provide an electronic photo finish device to photograph, videotape or otherwise record visually the finish of each race and record the time of each horse in at least hundredths of a second. The location and operation of the photo finish devices must be approved by the Commission before its first use in a race. The Association shall promptly post a photograph of each photo finish for win, place or show in an area accessible to the public. The Association shall ensure that the photo finish devices are calibrated before the first day of each race meeting and at other times as required by the Commission. On request by the Commission, the Association shall provide, without cost, a print of a photo finish to the Commission. Photo finish prints of each race shall be maintained by the Association for not less than six months after the end of the race meeting, or such other period as may be requested by the judges or the Commission.

4.3.3.3.1 It is the duty of the Presiding Judge to ensure that the photo finish camera is in proper working order before the start of the race. Whenever the judges use a photo to determine the order of finish it shall be displayed for public inspection.

4.3.3.4 An Association shall provide for the use of the photo finish head numbers, saddle pads, and a starting gate, with approved backups.

4.3.3.5 An Association shall provide a recording system approved by the Commission. Cameras must be located to provide clear panoramic and head-on views of each race. Separate monitors, which simultaneously display the images received from each camera and are capable of simultaneously displaying a synchronized view of the recordings of each race for review shall be provided in the judges' stand. The location and construction of recording system equipment supports must be approved by the Commission.

4.3.3.6 The judges may, at their discretion, direct the recording system operators to record the activities of any horses or persons handling horses prior to, during or following a race.

4.3.3.7 Races must be recorded by an adequate number of recording cameras, as approved by the Commission.

4.3.3.8 An Association shall, upon request, provide to the Commission, without cost, a copy of a recording of a race.

4.3.3.9 Recordings made prior to, during and following each race shall be maintained by the Association for not less than six months after the end of the race meeting, or such other period as may be requested by the judges or the Commission.

4.3.3.10 An Association shall provide a viewing area in which, on approval by the judges, an owner, trainer, driver or other interested individual may view a recording of a race.

4.3.3.11 Following any race in which there is an inquiry or objection, the Association shall display to the public on designated monitors the videotaped recorded replays of the incident in question which were utilized by the judges in making their decision.

4.3.4 Racetrack

4.3.4.1 The surface of a racetrack must be designed, constructed and maintained to provide for the safety of the drivers and horses.

4.3.4.2 Upon the request of the Commission, a licensed surveyor shall provide to the Commission a certified track measurement.

4.3.4.3 Distances to be run shall be measured from the starting line at a distance three feet out from the inside rail or other fixed marker.

4.3.4.4 The surveyor's report must be approved by the Commission prior to the first race day of the meeting.

4.3.4.5 An Association shall provide an adequate drainage system for the racetrack.

4.3.4.6 An Association shall provide adequate equipment and personnel to maintain the track surface and appurtenances in a safe training and racing condition. The Association shall provide back-up equipment for maintaining the track surface.

4.3.5 Rails. The design and construction of rails, where used, must be approved by the Commission prior to the first race meeting at the track.

4.3.6 Starting Gates. During racing hours, an Association shall provide at least two operable starting gates, which have been approved by the Commission.

4.3.7 Distance Markers. An Association shall provide starting point markers and distance poles in a size and position that is clearly seen from the judges' stand.

4.3.8 Saddle Pad Colors

4.3.8.1 All extended pari-mutuel racetracks shall adopt the following color format for saddle pad colors for post positions in each race:

4.3.8.1.1 Post Position One ‑ Red

4.3.8.1.2 Post Position Two ‑ Blue

4.3.8.1.3 Post Position Three ‑ White

4.3.8.1.4 Post Position Four ‑ Green

4.3.8.1.5 Post Position Five ‑ Black

4.3.8.1.6 Post Position Six ‑ Yellow

4.3.8.1.7 Post Position Seven ‑ Pink

4.3.8.1.8 Post Position Eight ‑ Gray

4.3.8.1.9 Post Position Nine ‑ Purple

4.3.8.1.10 Post Position Ten ‑ Blue/Red

4.3.8.1.11 Post Position Eleven ‑ Light Blue

4.3.8.1.12 Post Position Twelve ‑ Red/White

4.3.8.2 All saddle pad numbers, with the exception of post positions three and five, shall be white with a black border. The saddle pad numbers for post positions three and five shall be solid black and solid white, respectively.

4.3.9 Lighting

4.3.9.1 An Association shall provide lighting for the racetrack and the patron facilities that is adequate to ensure the safety and security of the patrons, licensees and horses. Lighting to ensure the proper operation of the videotape and photo finish equipment must be approved by the Commission.

4.3.9.2 An Association shall provide adequate additional lighting in the stable area as required by the Commission.

4.3.9.3 If an Association conducts racing at night, the Association shall maintain a back-up lighting system that is sufficient to ensure the safety of race participants and patrons.

4.3.10 Equine Ambulance

4.3.10.1 An Association shall provide an equine ambulance on Association grounds on each day that the racetrack is open for pari-mutuel and qualifying racing or training.

4.3.10.2 The ambulance must be properly ventilated and kept at an entrance to the racing strip when not in use.

4.3.10.3 The ambulance must be a covered vehicle that is low to the ground and large enough to accommodate a horse in distress. The ambulance must be able to:

4.3.10.3.1 Navigate on the racetrack during all weather conditions; and

4.3.10.3.2 Transport a horse off the Association grounds.

4.3.10.4 The ambulance must be equipped with:

4.3.10.4.1 Ramps to facilitate loading a horse;

4.3.10.4.2 Adequate means of loading a horse that is down;

4.3.10.4.3 A rear door;

4.3.10.4.4 A movable partition to initially provide more room to load a horse and to later restrict a horse's movement; and

4.3.10.4.5 A shielded area for the person who is attending to the horse.

4.3.10.5 An Association may not conduct a race unless an equine ambulance or an official veterinarian‑approved substitute is readily available.

4.3.10.6 The equine ambulance, its supplies and attendants and the operating procedures for the equine ambulance must be approved by the official veterinarian.

4.3.11 Receiving Area

4.3.11.1 An Association shall provide a receiving area and paddock containing a sufficient number of stalls to accommodate all horses in to race for that day.

4.3.11.2 An Association shall ensure that the paddock and receiving barns are kept clean and in good repair. Each paddock, including the receiving barn, shall include hot and cold water, be well‑ventilated, have proper drainage and be constructed to be comfortable in all seasons.

4.3.11.3 An Association shall provide an adequate area for the placement of manure removed from the stalls. All manure must be removed from the stable area on a prompt and regular schedule.

4.3.12 Isolation Area

4.3.12.1 An Association shall provide an isolation area for the care and treatment of a horse that is ordered isolated by the State veterinarian.

4.3.12.2 The isolation area must be approved by the Presiding Judge.

4.3.13 Weather Equipment. An Association shall provide a consistent method whether by instrumentation or otherwise to obtain an appropriate means for measuring temperature. The Presiding Judge shall consult at least one member of the driver’s committee by the third race to determine an allowance. The following guidelines shall be used in making this determination:

Temperature or Wind chill:

32 degrees - 25 degrees (F) = 1 second allowance

24 degrees - 15 degrees (F) = 2 second allowance

14 degrees - 0 degrees (F) = 3 second allowance

Other relevant factors such as precipitation shall also be considered.

4.4 Operations

4.4.1 Security

4.4.1.1 An Association conducting a race meeting shall maintain security controls over its premises. Security controls are subject to the approval of the Commission.

4.4.1.2 An Association may establish a system or method of restricting access to its restricted areas or to ensure that all participants at its race meeting are licensed as required by these rules.

4.4.1.3 An Association shall prevent access to and shall remove or cause to be removed from its restricted areas any person who is unlicensed, or who has not been issued a visitor's pass or other identifying credential, or whose presence in such restricted area is unauthorized.

4.4.1.4 Unless otherwise authorized by the Commission, an Association shall provide continuous security in the receiving and paddock areas during all times that horses are on the grounds to race. An Association shall provide security fencing around the paddock and receiving areas in a manner that is approved by the Commission.

4.4.1.5 On request by the Commission, an Association shall provide a list of the security personnel, including the name, qualifications, training, duties duty station and area supervised by each employee.

4.4.1.6 Each day, the chief of security for an Association shall deliver a written report to the Presiding Judge regarding occurrences on Association grounds relating to harness horse racing on the previous day. Not later than 24 hours after an incident occurs requiring the attention of security personnel, the chief of security shall deliver to the Presiding Judge a written report describing the incident. The report must include the name of each individual involved in the incident, the circumstances of the incident and any recommended charges against each individual involved.

4.4.2 Fire Prevention.

4.4.2.1 An Association shall develop and implement a program for fire prevention on Association grounds. An Association shall instruct employees working on Association grounds of the procedures for fire prevention.

4.4.2.2 No person shall:

4.4.2.2.1 Smoke in the receiving areas, paddock, or within any building on Association grounds;

4.4.2.2.2 Burn open fires or oil and gas lamps in the Association grounds;

4.4.2.2.3 Leave unattended any electrical appliance that is plugged‑in to an electrical outlet;

4.4.2.2.4 Permit horses to come within reach of electrical outlets or cords;

4.4.2.2.5 Store flammable materials such as cleaning fluids or solvents in the receiving and paddock areas; or

4.4.2.2.6 Lock a stall which is occupied by a horse.

4.4.2.3 An Association shall post a notice in the receiving areas and paddock which lists the prohibitions outlined in subsections 4.4.2.2.1 - 4.4.2.2.6 above.

4.4.3 Insect and Rodent Control. An Association and the licensees occupying the Association's receiving areas and paddock shall cooperate in procedures to control insects, rodents or other hazards to horses or licensees.

4.4.4 Complaints

4.4.4.1 An Association shall designate a location and provide personnel who shall be readily available to the public to provide or receive information.

4.4.4.2 An Association shall promptly notify the Commission of a complaint regarding:

4.4.4.2.1 An alleged violation of the Act or a rule of the Commission;

4.4.4.2.2 An alleged violation of ordinances or statutes;

4.4.4.2.3 Accidents or injuries; or

4.4.4.2.4 Unsafe or unsanitary conditions for patrons, licensees or horses.

4.4.5 Ejection and Exclusion. An Association may eject or exclude a person for any lawful reason.

1 DE Reg. 502 (11/01/97)

2 DE Reg. 1240 (01/01/99)

2 DE Reg. 1765 (04/01/99)

11 DE Reg. 308 (09/01/07)

5.1.1.1 A person shall not participate in pari-mutuel racing under the jurisdiction of the Commission without a valid license issued by the Commission. License categories shall include the following and others as may be established by the Commission:

5.0 Licensees

5.1 General Provisions

5.1.1 Licenses Required

5.1.1.1.1 Racing participants and personnel (including owner, authorized agent, trainer, assistant trainer, driver, veterinarian, veterinary assistant, horseshoer and stable employees);

5.1.1.1.2 Racing officials (including the judges, racing secretary, paddock judge, horse identifier and equipment checker, official starter, official charter, official timer, photo finish technician, patrol judge, program director, Veterinarians and Veterinary Technicians);

5.1.1.1.3 Persons employed by the association, or employed by a person or concern contracting with or approved by the association or Commission to provide a service or commodity, which requires their presence in a restricted area; and

5.1.1.1.4 All Commission employees.

5.1.1.2 Persons required to be licensed shall submit a completed application on forms furnished by the Commission and accompanied by the required fee, which shall be determined by the Commission.

5.1.1.3 License applicants may be required to furnish to the Commission a set of fingerprints and a recent photograph and may be required to be re‑fingerprinted or re-photographed periodically as determined by the Commission.

5.1.2 Licensing Reciprocity. The Commission may license persons holding valid permanent (not temporary) licenses issued by Association of Racing Commissioners International (RCI) member racing jurisdictions in North America. The licensee must be in good standing; have cleared a Federal Bureau of Investigation (FBI) or Royal Canadian Mounted Police (RCMP) fingerprint check within the previous 36 months, or such other period as is required by the Commission; file an application and/or affidavit as may be required by the Commission; and pay the required fees prior to participating in racing.

5.1.2.1 The Commission may recognize the issuance of racing licenses from RCI member jurisdictions in North America for purposes of issuance of licenses in this jurisdiction.

5.1.2.2 Only permanent licenses in good standing shall be considered. Temporary or probationary licenses shall not be considered.

5.1.2.3 An applicant must be in good standing in each jurisdiction where they hold or have held a racing license.

5.1.2.4 The applicant must have submitted fingerprints within the past 36 months, or such other period as is required by this jurisdiction, for the purpose of a criminal records check by the FBI or RCMP. The applicant shall provide this jurisdiction with proof of licensure from another RCI member jurisdiction to which fingerprints were submitted.

5.1.2.5 The applicant shall submit the license application form and license fee required by this jurisdiction.

5.1.2.6 Provided the above requirements have been met, this jurisdiction may issue either a license and/or a validation sticker. The validation sticker shall be affixed to either a license issued by this jurisdiction or a valid license issued by another RCI member jurisdiction. This Commission shall determine the period of time that such license shall be valid in Delaware.

5.1.2.7 In the event the licensee is absent from this jurisdiction, and upon payment of the applicable fees, a receipt shall be mailed to the licensee's permanent address. The receipt may then be presented at the Commission office by the licensee so that a Commission representative may affix the proper validation sticker to the racing license badge.

5.1.3 Multi‑State Licensing Information. In lieu of a license application from this jurisdiction, the Commission shall accept an RCI Multi‑State License and Information form.

5.1.4 Age Requirement. Applicants for licensing shall be a minimum of 14 years of age unless otherwise specified in these rules. An applicant may be required to submit a certified copy of his birth certificate. Persons under the age of 18 may be required to show evidence of active participation in a certified educational program or have a high school diploma or equivalent.

5.1.5 Consent to Investigation. The filing of an application for license shall authorize the Commission to investigate criminal and employment records, to engage in interviews to determine applicant's character and qualifications and to verify information provided by the applicant.

5.1.6 Consent to Search and Seizure. By acceptance of a license, a licensee consents to search and inspection by the Commission or its agents and to the seizure of any prohibited medication, drugs, paraphernalia or devices in accordance with state/provincial and federal law. Any drugs, medication or other materials seized may be forwarded by the Commission to the official chemist for analysis.

5.1.7 Licensees' Obligation to Protect Horses. Each person licensed by the Commission shall do all that is reasonable and within his power and scope of duty to guard against and prevent the administration of any drug, medication or other substance, including permissible medication in excess of the maximum allowable level, to any horse entered or to be entered in an official workout or race, as prohibited by these rules.

5.1.8 Substance Abuse/Controlled Substances

5.1.8.1 It is the right and obligation of the Commission to test and establish rules governing substance abuse and controlled substances to preserve the safety and integrity of harness racing.

5.1.8.1.1 All licensees shall be deemed to be exercising the privileges of their license, and to be subject to the requirements of these rules, when engaged in activities that could affect the outcome of a race or diminish the conditions of safety or decorum required in restricted areas.

5.1.8.1.2 As used in this regulation, the terms “controlled substance” and “drug paraphernalia” have the meanings provided in the Uniform Controlled Substance Act, 16 Del.C. Ch. 47.

5.1.8.2 It shall be a violation to exercise the privileges granted by a license from this Commission if the licensee:

5.1.8.2.1 Is engaged in the illegal sale or distribution of alcohol or any controlled substance;

5.1.8.2.2 Possesses, without a valid prescription, any controlled substance;

5.1.8.2.3 Is intoxicated or under the influence of alcohol or any controlled substance;

5.1.8.2.4 Has possession of any drug paraphernalia;

5.1.8.2.5 Refuses to submit to breathalyzer, urine or other alcohol or drug testing when requested by the Presiding Judge or Chief Investigator;

5.1.8.2.6 Presently has alcohol in the licensee's body. The results of a breathalyzer test showing a reading of more than 0.02 percent of alcohol in the blood shall be the criterion for a finding of alcohol present in the body; provided, however, that with respect to licensees under the age of 21, the presence of any measurable level of alcohol in the blood shall constitute a violation.

5.1.8.2.6.1 The breathalyzer shall be maintained and tested to insure accuracy according to the guidelines of the manufacturer.

5.1.8.2.7 Presently has any controlled substance in the licensee's body. The presence of the drug controlled substance in any quantity measured by the testing instrument establishes the presence of the drug controlled substance for purposes of this paragraph.

5.1.8.2.7.1 A licensee is responsible for giving notice (on a Commission approved form) to the Chief Investigator that the licensee is using a controlled substance or prescription drug under a valid prescription form a licensed physician. No licensee using a controlled substance or prescription drug will be allowed to participate in racing activities unless the physician has certified (on a Commission approved form) that the use of the controlled substance or prescription drug, when used as prescribed, will not adversely affect the licensee’s ability to properly and safely carry out the licensee’s responsibilities.

5.1.8.3 The Commission may conduct random or episodic alcohol or drug testing, as well as alcohol or drug testing based on reasonable suspicion.

5.1.8.3.1 No notice need be given as to onset or cessation of alcohol or drug testing.

5.1.8.3.2 The testing of a licensee may include a field test.

5.1.8.3.2.1 For licensees whose field test results are positive under this regulation, the field test results shall be confirmed by a laboratory acceptable to the Commission, provided that the licensee may be summarily suspended for up to ten days pending the results of the laboratory confirmation test.

5.1.8.3.2.2 If the laboratory procedures confirm the field screening test results, all costs for the transportation and testing of the sample, shall be the financial responsibility of the licensee. Payment shall be due from the licensee immediately upon receipt of notice of the costs.

5.1.8.3.3 The testing of a licensee may also include a laboratory test without a prior field test.

5.1.8.3.3.1 When the sample quantity permits, each test sample may be divided into portions so that one portion may be used for the initial test or confirmation procedure and another portion may be utilized to obtain an independent drug analysis of the test sample.

5.1.8.3.3.2 All costs for the transportation and testing of an independent analysis of the specimen sample shall be the financial responsibility of the licensee. Payment shall be due from the licensee immediately upon receipt of notice of the costs.

5.1.8.3.4 The Commission shall provide for a secure chain of custody for the sample.

5.1.8.3.5 The Commission shall have discretion to require alcohol or drug testing at any time for any licensee having a prior violation of subsection 5.1.8.2.

5.1.8.4 A licensee penalized or restricted pursuant to this chapter shall retain rights of due process with respect to any determination of alleged violations which may adversely affect the right to hold a license.

5.1.8.5 If there has been a violation, as specified in subsection 5.1.8.2, the licensee shall be subject to the following actions:

5.1.8.5.1 The Commission or Presiding Judge may order the licensee to obtain a professional assessment to determine whether there is a substantial probability that the licensee is dependent on, or abuses, alcohol or any controlled substance.

5.1.8.5.2 Actions in the case of a first violation may include imposition of a fine of up to $1,000 or written warning, suspension of the license for up to six months, and placing the violator on probation.

5.1.8.5.3 Actions in the case of a second violation, within two years of the first violation may include imposition of a fine of up to $2,000 or written warning, suspension of the license for up to one year, placing the violator on probation and ordering the licensee to enroll in and complete, at the licensees expense, a recognized, appropriately licensed treatment program.

5.1.8.5.4 Actions in the case of a third or subsequent violation, within two years of the second or most recent violation, may include imposition of a fine of up to $5,000 or written warning, revocation of the license, suspension of the license for up to five years, placing the violator on probation and ordering the licensee to enroll in and complete, at the licensees expense, a recognized, appropriately licensed treatment program.

5.1.8.5.5 The licensee shall be required to pay for any costs associated with any alcohol or drug testing following a violation of subsection 5.1.8.2.

5.1.8.5.6 The terms of any probation shall be determined at the discretion of the Commission.

5.1.8.5.7 In the case of a violation of subsection 5.1.8.2 involving an illegal drug, actions for any violation may include any actions provided in subsection 5.1.8.5.4 otherwise applicable to third or subsequent violations.

5.1.9 Approval or Recommendations by Presiding Judge. The Commission may designate categories of licenses which shall require the Presiding Judge's prior approval or recommendation.

5.1.10 Employer Responsibility

5.1.10.1 The employment or harboring of any unlicensed person at facilities under the jurisdiction of the Commission is prohibited.

5.1.10.2 With respect to personnel actions based on a violation of any rule of the Commission relating to racing or pari-mutuel wagering, every employer shall report the discharge of any licensed employee in writing to the Commission or its designee, including the person's name, occupation and reason for the discharge.

5.1.11 Employer Endorsement of License Applications. The license application of an employee shall be signed by the employer.

5.1.12 Workers' Compensation. Licensed employers shall carry workers' compensation insurance covering their employees as required by Delaware law.

5.1.13 Financial Responsibility. Applicants for a license may be required to submit evidence of financial responsibility and shall maintain financial responsibility during the period for which the license is issued.

5.1.14 License Refusal. The Commission or its designee may refuse to issue a license and give the applicant the option of withdrawal of an application without prejudice. If an applicant is refused, the applicant may reapply for a license.

5.1.15 License Denial. The Commission may formally deny an application in accordance with these rules. An application denied shall be reported in writing to the applicant stating the reasons for denial, the date when a reapplication may be submitted, and shall be reported to the United States Trotting Association, which shall then advise other racing jurisdictions.

5.1.16 Grounds for Refusal, Denial, Suspension or Revocation of License

5.1.16.1 The Commission or its designee may refuse to issue or may deny a license to an applicant, or may suspend or revoke a license issued, or may order disciplinary measures, if the applicant:

5.1.16.1.1 Has been convicted of a felony;

5.1.16.1.2 Has been convicted of violating any law regarding gambling or a controlled dangerous substance;

5.1.16.1.3 Has pending criminal charges;

5.1.16.1.4 Is unqualified to perform the duties required of the applicant;

5.1.16.1.5 Has failed to disclose or states falsely any information required in the application;

5.1.16.1.6 Has been found in violation of statutes or rules governing racing in this state or other jurisdictions;

5.1.16.1.7 Has racing disciplinary charges pending in this state or other jurisdictions;

5.1.16.1.8 Has been or is currently excluded from association grounds by a recognized racing jurisdiction;

5.1.16.1.9 Has had a license denied, suspended or revoked by any racing jurisdiction;

5.1.16.1.10 Is a person whose conduct or reputation may adversely reflect on the honesty and integrity of horse racing or interfere with the orderly conduct of a race meeting;

5.1.16.1.11 Demonstrates financial irresponsibility by accumulating unpaid obligations, defaulting in obligations or issuing drafts or checks that are dishonored or payment refused;

5.1.16.1.12 Is ineligible for employment pursuant to federal or state law because of age or citizenship; or

5.1.16.1.13 Has violated any of the alcohol or substance abuse provisions outlined in these rules.

5.1.16.2 A license suspension or revocation shall be reported in writing to the applicant and the United States Trotting Association whereby other racing jurisdictions shall be advised.

5.1.17 License Restrictions, Limitations and Conditions. The Commission or its designee, for cause, may restrict, limit or place conditions on any license.

5.1.18 Duration of License

5.1.18.1 Licenses are valid for such other period as permitted by the Commission.

5.1.18.2 A license is valid only under the condition that the licensee remains eligible to hold such license.

5.1.19 Changes in Application Information. During the period for which a license has been issued, the licensee shall report to the Commission changes in information provided on the license applications as to current legal name, marital status, permanent address, criminal convictions, license suspensions of 10 days or more or license revocations or fines of $500 or more in other jurisdictions.

5.1.20 Temporary Licenses. The Commission may establish provisions for temporary licenses or may permit applicants to participate in racing pending action on an application.

5.1.21 More Than One License. More than one license to participate in horse racing may be granted to a person except when prohibited by these rules due to a potential conflict of interest.

5.1.22 Conflict of Interest

5.1.22.1 The Commission or its designee shall refuse, deny, suspend or revoke the license of a person whose spouse holds a license and which the Commission or judges find to be a conflict of interest.

5.1.22.2 A commissioner or Commission employee or racing official shall not be an owner of a horse entered to race, and shall not accept breeder awards at a race meeting where the Commission has jurisdiction.

5.1.22.3 A racing official who is an owner of either the sire or dam of a horse entered to race shall not act as an official with respect to that race.

5.1.22.4 A person who is licensed as an owner or trainer, or has any financial interest in a horse registered for racing at a race meeting in Delaware shall not be employed or licensed at that race meeting as a racing official; racetrack managing employee; photo finish operator; racing chemist or testing laboratory employee.

5.1.23 License Presentation

5.1.23.1 A person shall present an appropriate license to enter a restricted area.

5.1.23.2 The Presiding Judge may require visible display of a license in a restricted area.

5.1.23.3 A license may only be used by the person to whom it is issued.

5.1.24 Visitor's Pass. Track security may authorize unlicensed persons temporary access to restricted areas. Such persons shall be identified and their purpose and credentials verified and approved in writing by track security. A copy of the written approval shall be filed with the Commission or its designee within 48 hours. Such authorization or credential may only be used by the person to whom it is issued.

5.1.25 Safety Helmets and Vests

5.1.25.1 Safety Helmets: A protective helmet, meeting the Snell Foundation standards for protective harness racing headwear, securely fastened under the chin, must be worn at all times on association grounds when:

5.1.25.1.1 Racing, parading or warming up a horse prior to racing; or

5.1.25.1.2 Jogging, training or exercising a horse at any time.

5.1.25.2 Safety Vests: A safety vest approved by the Delaware Harness Racing Commission must be worn by all person at all times when on the main track whether for jogging, exercising, qualifying or racings.

5.1.25.3 A violation of this rule shall result in a suspension or fine and the participant may be referred to the Commission.

5.1.26 Knowledge of Rules

5.1.26.1 A licensee shall be knowledgeable of the rules of the Commission and by acceptance of the license, agrees to abide by the rules.

5.1.26.2 A licensee shall report to track security or to the judges any knowledge he has that a violation of these rules has occurred or may occur.

5.1.27 Standards of Conduct

5.1.27.1 No licensee shall use improper language to any race official, or be guilty of any improper conduct toward such officials or persons serving under their orders, such improper language or conduct having reference to the administration of the course, or of any race.

5.1.27.2 No licensee shall commit an assault, or an assault and battery, upon any driver, trainer, groom, racing official or Commission appointee on the grounds of a racing association, or upon a racing official or Commission appointee who is in the performance of official duties, nor shall any licensee threaten to do bodily or other injury to any driver, trainer, groom, racing official or Commission appointee, nor shall any licensee address to any such person language which is outrageously insulting.

5.1.27.3 If any licensee shall threaten, or join with others in threatening, not to race, or not to declare in, because of the entry of a certain horse or horses, or of a particular stable, thereby compelling or trying to compel the Racing Secretary to reject certain eligible entries, it shall be reported immediately to the Presiding Judge, and the offending parties may be suspended by the Presiding Judge pending a hearing before the Commission.

5.1.27.4 No owner, agent, trainer or driver who has entered a horse shall thereafter demand of the association a bonus of money or other special award or consideration as a condition for starting the horse.

5.1.27.5 No owner, trainer, or driver of a horse shall bet or cause any other person to bet on the owner's, trainer's, or driver's behalf on any other horse in any race in which there shall be a horse owned, trained or driven by the owner, trainer, or driver, or which the owner, trainer, or driver in anywise represents or handles or in which the owner, trainer, or driver has an interest; provided, however, that such a person may participate in multiple pool wagering on a race in which the owner's, trainer's, or driver's horse is included in the wager only in the first (winning) position.

5.1.27.6 If any licensee shall be approached with any offer or promise of a bribe, or a wager or with a request or suggestion for a bribe, or for any improper, corrupt or fraudulent act in relation to racing, or that any race shall be conducted otherwise than fairly and honestly, it shall be the duty of such licensee to report the details thereof immediately to the Presiding Judge.

5.1.27.7 Any misconduct on the part of a licensee or patron, fraudulent in its nature or injurious to racing, although not specified in these rules, is forbidden. Any licensee or other person who, individually or in concert with one another, shall fraudulently and corruptly, by any means, affect the outcome of any race or affect a false registration, or commit any other act injurious to racing, shall be guilty of a violation of these rules.

5.1.27.8 If two or more persons combine and confederate together, in any manner, regardless of where the said persons may be located, for the purpose of violating any of the Rules and Regulations of the Commission, and shall commit some act in furtherance of the said purpose or plan, it shall constitute a conspiracy and a violation of these rules.

5.1.27.9 In any case where an oath is administered by the judges, by the Presiding Judge, by the Commission or by a hearing officer thereof, under these rules, or by a Notary Public and any other person legally authorized to administer oaths, if the party knowingly swears falsely or withholds information pertinent to the investigation, he shall be fined, suspended, or both, or expelled.

5.1.27.10 The Commission may impose a fine or suspension on, or may refuse to license, any person subject to the jurisdiction of the Commission if the Commission finds that such person:

5.1.27.10.1 Is associating, consorting or negotiating with bookmakers, touts or other persons of similar pursuits; or

5.1.27.10.2 Is associating, consorting or negotiating with persons who have been convicted of a crime; or

5.1.27.10.3 Is guilty of fraud or has attempted any fraud or misrepresentation in connection with racing, breeding or otherwise; or

5.1.27.10.4 Has violated any law, rule or regulation with respect to racing in any jurisdiction; or

5.1.27.10.5 Has violated any rule, regulation or order of the Commission; or

5.1.27.10.6 Is of such experience, character or general unfitness that the person's participation in harness racing or related activities would be inconsistent with the public interest, convenience or necessity, or with the best interests of racing generally.

5.1.27.11 The Commission may refuse admission to race meeting grounds, and/or may eject from the enclosure of a race track operated by any association, any person whose presence there is, in the judgment of the Commission, inconsistent with the orderly or proper conduct of a race meeting, or whose presence or conduct is deemed detrimental to the best interests of harness racing.

5.1.27.12 Any person, whether a licensee or a patron, may be expelled from the enclosure of a race track operated by any association for any violation of subsection 5.1.27.

5.1.27.13 All licensees, officials and appointees of the Commission, and all employees of any association, are required to conduct themselves in a forthright and courteous manner at all times while on or near the premises of an association during the operation of a licensed harness race meeting. The Commission at any time may require the removal of any licensee, official, appointee or employee whose conduct does not comport with this requirement.

5.1.27.14 Licensees tampering with eligibility certificates may be fined, or their licenses may be suspended or revoked. Further, any winnings of such licensees in races in which a horse was entered whose eligibility certificate was tampered with by such licensee may be ordered forfeited.

5.2 Owners

5.2.1 Licensing Requirements for Owners

5.2.1.1 Each person who has an ownership or beneficial interest in a horse is required to be licensed.

5.2.1.2 An applicant for an owner's license shall own or lease a horse which is eligible to race, registered with the racing secretary and under the care of a trainer licensed by the Commission. An owner shall notify the judges of a change in trainer of the owner's horse. A horse shall not be transferred to a new trainer after entry.

5.2.1.3 The provisions of subsection 5.1.4 notwithstanding, a person younger than 14 years of age may apply for an owner’s license, provided that no licensed owner younger than 14 years of age will be permitted paddock access at any licensed association. If younger than 18 years of age, an applicant for an owner's license shall submit a notarized affidavit from the parent or legal guardian of the person younger than 14 stating that the parent or legal guardian expressly assumes responsibility for the applicant's financial, contractual and other obligations relating to the applicant's participation in racing.

5.2.1.4 If the Commission or its designee has reason to doubt the financial responsibility of an applicant for an owner's license, the applicant may be required to complete a verified financial statement.

5.2.1.5 Horses not under lease must race in the name of the bona fide owner. Each owner shall comply with all licensing requirements.

5.2.1.6 The Commission or its designee may refuse, deny, suspend or revoke an owner's license for the spouse or member of the family or household of a person ineligible to be licensed as an owner, unless there is a showing on the part of the applicant or licensed owner, and the Commission determines that participation in racing will not permit a person to serve as a substitute for an ineligible person. The transfer of a horse to circumvent the intent of a Commission rule or ruling is prohibited.

5.2.2 Licensing Requirements for Multiple Owners

5.2.2.1 If the legal owner of any horse is a partnership, corporation, limited liability company, syndicate or other association or entity, each shareholder, member or partner shall be licensed as required in subsection 5.1.1 of this regulation.

5.2.2.2 Each partnership, corporation, limited liability company, syndicate or other association or entity shall disclose to the Commission all owners holding a five percent or greater beneficial interest, unless otherwise required by the Commission.

5.2.2.3 Each partnership, corporation, limited liability company, syndicate or other association or entity which includes an owner with less than a five percent ownership or beneficial interest shall file with the Commission an affidavit which attests that, to the best of their knowledge, every owner, regardless of their ownership or beneficial interest, is not presently ineligible for licensing or suspended in any racing jurisdiction.

5.2.2.4 To obtain an owner's license, an owner with less than a five percent ownership or beneficial interest in a horse shall establish a bona fide need for the license and the issuance of such license shall be approved by the Commission.

5.2.2.5 Application for joint ownership shall include a designation of a managing owner and a business address. Receipt of any correspondence, notice or order at such address shall constitute official notice to all persons involved in the ownership of such horse.

5.2.2.6 The written appointment of a managing owner or authorized agent shall be filed with the United State Trotting Association or Canadian Trotting Association and with the Commission.

5.2.3 Lease Agreements. A horse may be raced under lease provided a completed breed registry or other lease form acceptable to the Commission is attached to the certificate of registration and on file with the Commission. The lessor and lessee shall be licensed as horse owners. For purposes of issuance of eligibility certificates or transfers of ownership, a lease for an indefinite term shall be considered terminable at the will of either party unless extended or reduced to a term certain by written documentation executed by both lessor and lessee.

5.2.4 Racing Colors. Drivers must wear distinguishing colors, and shall not be permitted to drive in a race or other public performance unless, in the opinion of the judges, they are properly dressed, their driving outfits are clean and they are well groomed. During inclement weather conditions, drivers must wear rain suits in either of their colors or made of a transparent material through which their colors can be distinguished.

5.3 Trainers

5.3.1 Eligibility

5.3.1.1 A person shall not train horses without first having obtained a trainer license from the Commission valid for the current year by meeting the standards for trainers, as established by the United States Trotting Association.

5.3.1.2 Valid categories of licenses are:

5.3.1.2.1 "A," a full license valid for all meetings and permitting operation of a public stable; and

5.3.1.2.2 "L," a license restricted to the training of horses while owned by the holder or the holder's immediate family at all race meetings.

5.3.1.3 If more than one person performs any of the criteria in subsections 5.3.1.3.1 through 5.3.1.3.5 or receives any form of compensation, directly or indirectly, for training or managing the horse, then that person must also obtain a trainer's license from the Commission valid for the current year by meeting the standards for trainers, as established by the United States Trotting Association. It shall be a violation for the principal trainer of a horse to fail to disclose that an unlicensed person is acting as a trainer. In addition, the Commission may deny a license to any person who prior to having been granted a trainers license is determined by the judges or Commission to have acted as a trainer. The principal trainer and any other trainer or trainers shall be liable for all rule violations and subject to a fine or suspension including revocation of license for such violation. For purposes of this rule, the judges shall use the following criteria in determining the identity of the trainer or trainers of a horse:

5.3.1.3.1 The identity of the person who is responsible for the business decisions regarding the horse, including, but not limited to, business arrangements with and any payments to or from owners or other trainers, licensed or otherwise, veterinarians, feed companies, hiring and firing of employees, obtaining workers’ compensation or proof of adequate insurance coverage, payroll, horsemen’s bookkeeper, etc.;

5.3.1.3.2 The identity of the person responsible for communicating, or who in fact does communicate, with the racing secretary’s office, stall manager, association and track management, owners, etc. regarding racing schedules and other matters pertaining to the entry, shipping and racing of the horse;

5.3.1.3.3 The identity of the person responsible for the principal conditioning of the horse;

5.3.1.3.4 The identity of the person responsible for race day preparation including, but not limited to, accompanying the horse to the paddock or ship-in barn, selection of equipment, authority to warm up the horse before the public, discussion with the driver of race strategy, etc.; and

5.3.1.3.5 The identity of the person who communicates on behalf of the owner with the judges and other Commission personnel regarding the horse, including regarding any questions concerning the location or condition of the horse, racing or medication violations, etc.

5.3.2 Trainer Responsibility

5.3.2.1 A trainer is responsible for the condition of horses entered in an official race and is responsible for the presence of any prohibited drug, medication or other substance, including permitted medication in excess of the maximum allowable level, in such horses. If there is a principal trainer and one or more additional trainers for a horse, all shall be responsible for any rules violations with respect to the horse. A positive test for a prohibited drug, medication or substance, including permitted medication in excess of the maximum allowable level, as reported by a Commission‑approved laboratory, is prima facie evidence of a violation of this rule. In the absence of substantial evidence to the contrary, the trainer shall be responsible. Whenever a principal trainer of a horse names a substitute trainer for program purposes due to his inability to be in attendance with the horse on the day of the race, or for any other reason, both trainers shall be responsible for the condition of the horse should the horse test positive.

5.3.2.2 A trainer shall prevent the administration of any drug or medication or other prohibited substance that may cause a violation of these rules.

5.3.2.3 A trainer whose horse has been claimed remains responsible for any violation of rules regarding that horse's participation in the race in which the horse is claimed.

5.3.3 Other Responsibilities. A trainer is responsible for:

5.3.3.1 The condition and contents of stalls, tack rooms, feed rooms, sleeping rooms and other areas which have been assigned by the association;

5.3.3.2 Maintaining the assigned stable area in a clean, neat and sanitary condition at all times;

5.3.3.3 Ensuring that fire prevention rules are strictly observed in the assigned stable area;

5.3.3.4 Providing a list to the Commission of the trainer's employees on association grounds and any other area under the jurisdiction of the Commission. The list shall include each employee's name, occupation, social security number and occupational license number. The Commission shall be notified by the trainer, in writing, within 24 hours of any change;

5.3.3.5 The proper identity, custody, care, health, condition and safety of horses in his charge;

5.3.3.6 Disclosure of the true and entire ownership of each horse in his care, custody or control;

5.3.3.7 Registering with the racing secretary each horse in his charge within 24 hours of the horse's arrival on association grounds;

5.3.3.8 Ensuring that, at the time of arrival at a licensed racetrack, each horse in his care is accompanied by a valid health certificate which shall be filed with the racing secretary;

5.3.3.9 Having each horse in his care that is racing, or is stabled on association grounds, tested for Equine Infectious Anemia (EIA) in accordance with state/provincial law and for filing evidence of such negative test results with the racing secretary;

5.3.3.10 Using the services of those veterinarians licensed by the Commission to attend horses that are on association grounds;

5.3.3.11 Immediately reporting the alteration of the sex of a horse in his care to the horse identifier and the racing secretary, whose office shall note such alteration on the certificate of registration;

5.3.3.12 Promptly reporting to the Presiding Judge, racing secretary and the State veterinarian any horse on which a posterior digital neurectomy (heel nerving) is performed and ensuring that such fact is designated on its certificate of registration;

5.3.3.13 Promptly notifying the State veterinarian of any reportable disease and any unusual incidence of a communicable illness of any horse in his charge;

5.3.3.14 Promptly reporting the death of any horse in the trainer's care on association grounds to the judges and the State veterinarian and compliance with the rules in Section 8.0 governing post-mortem examinations;

5.3.3.15 Maintaining a knowledge of the medication record and status of all horses in his care;

5.3.3.16 Immediately reporting to the Presiding Judge and the State veterinarian if the trainer knows, or has cause to believe, that a horse in the trainer’s custody, care or control has received any prohibited drugs or medication;

5.3.3.17 Representing an owner in making entries and scratches and in all other matters pertaining to racing;

5.3.3.18 Horses entered as to eligibility and allowances claimed;

5.3.3.19 Ensuring the fitness of a horse to perform creditably at the distance entered and promptly requesting a scratch from Board of Judges if an entered horse becomes unfit to race (sick, lame, injured or deceased);

5.3.3.20 Ensuring that the trainer's horses are properly prepared and equipped;

5.3.3.21 Presenting the trainer's horse in the paddock at a time prescribed by the Presiding Judge before the race in which the horse is entered;

5.3.3.22 Personally attending to the trainer's horses in the paddock and supervising the preparation thereof, unless excused by the Paddock Judge;

5.3.3.23 Attending the collection of a urine or blood sample from the horse in the trainer's charge or delegating a licensed employee or the owner of the horse to do so; and

5.3.3.24 Notifying horse owners upon the revocation or suspension of his trainer's license. Upon application by the owner, the Presiding Judge may approve the transfer of such horses to the care of another licensed trainer, and upon such approved transfer, such horses may be entered to race.

5.3.4 Restrictions on Wagering. A trainer shall only be allowed to wager on the trainer's horse or entries to win or finish first in combination with other horses.

5.3.5 Substitute Trainers. If any licensed trainer is to be absent from the association grounds where the trainer's horse is programmed to race the Presiding Judge shall be immediately notified and at that time a licensed substitute trainer, acceptable to the Presiding Judge, shall be appointed to assume responsibility for the horses racing during the absence of the regular trainer. The name of the substitute trainer shall appear on the program if possible.

5.4 Owners' Authorized Agents

5.4.1 Licenses Required

5.4.1.1 An authorized agent shall obtain a license from the Commission.

5.4.1.2 Application for license shall be filed for each owner represented.

5.4.1.3 A written instrument signed by the owner shall accompany the application and shall clearly set forth the delegated powers of the authorized agent. The owner's signature on the written instrument shall be acknowledged before a notary public.

5.4.1.4 If the written instrument is a power of attorney it shall be filed with the Commission and attached to the regular application form.

5.4.1.5 Any changes shall be made in writing and filed as provided in subsection 5.4.1.3 above.

5.4.1.6 The authorized agent's appointment may be terminated by the owner, in writing, acknowledged before a notary public and filed with the Commission whereupon the license shall not be valid.

5.4.2 Powers and Duties

5.4.2.1 A licensed authorized agent may perform on behalf of the licensed owner‑principal all acts as relate to racing, as specified in the agency appointment, that could be performed by the principal if such principal were present.

5.4.2.2 In executing any document on behalf of the principal, the authorized agent shall clearly identify the authorized agent and the owner‑principal.

5.4.2.3 When an authorized agent enters a claim for the account of a principal, the name of the licensed owner for whom the claim is being made and the name of the authorized agent shall appear on the claim slip or card.

5.4.2.4 Authorized Agents are responsible for disclosure of the true and entire ownership of each horse for which they have authority at a race meeting. Any change in ownership shall be reported immediately to, and approved by, the judges and recorded by the United States Trotting Association.

5.5 Drivers

5.5.1 A person shall not drive a horse in any race or performance against time, other than an exhibition race, without having first obtained a driver license valid for the current year by meeting the standards as established by the United States Trotting Association and being licensed by the Commission. The driver license shall be presented to the judges prior to participating for the first time at any race meeting.

5.5.2 The judges may review the performance of a driver at any time and may take the following actions:

5.5.2.1 Amend the license category;

5.5.2.2 Revoke the license;

5.5.2.3 Apply conditions to the license; or

5.5.2.4 Require the driver to re‑qualify for the license in accordance with the United States Trotting Association regulations.

5.5.3 Drivers must report to the Paddock Judge at least one hour before post time of any race in which they are programmed to drive, unless excused by the Presiding Judge.

5.5.4 Where advanced wagering takes place on any feature betting race, drivers programmed to drive in such races must make their presence known to the Paddock Judge prior to commencement of the advanced wagering.

5.5.5 A driver cannot decline to be substituted by the judges. Any driver who refuses shall be suspended and may be fined.

5.5.6 Once a driver reports to the paddock the driver shall not enter the public stands or the betting area until driving duties for the day have been completed and upon completion of driving duties the driver shall not enter the public stands until the driving outfit is replaced with ordinary clothing.

5.5.7 The judges may remove a driver at any time if, in the judges’ opinion, the driver’s driving would not be in the best interests of harness racing.

5.5.8 A driver shall not drive for any other person in a race in which one of the horses the driver trains or owns has been declared into race, except where such horses are coupled as an entry.

5.5.9 Drivers shall fulfill all engagements, unless excused by the judges.

1 DE Reg. 502 (11/01/97)

10 DE Reg. 1422 (03/01/07)

14 DE Reg. 894 (03/01/11)

14 DE Reg. 23 (07/01/10)

16 DE Reg. 1169 (05/01/13)

17 DE Reg. 1059 (05/01/14)

22 DE Reg. 47 (07/01/18)

6.1 Types of Races Permitted. In presenting a program of racing, the racing secretary shall use exclusively the following types of races:

6.0 Types of Races

6.1.1 Overnight events which include:

6.1.1.1 Conditioned races;

6.1.1.2 Claiming races;

6.1.1.3 Preferred, invitational, handicap, open or free-for-all races;

6.1.2 Added money events which include:

6.1.2.1 Stakes;

6.1.2.2 Early closing events; and

6.1.2.3 Late closing events

6.1.3 Match races

6.1.4 Qualifying Races (See Rule 7.0 ‑‑ "Rules of the Race")

6.1.5 Delaware-owned or bred races as specified in 3 Del.C. §10032

6.2 Overnight Events

6.2.1 General Provisions

6.2.1.1 For the purpose of this rule, overnight events shall include conditioned, claiming, preferred, invitational, handicap, open, free-for-all, or a combination thereof.

6.2.1.2 Condition sheets must be available to participants at least 18 hours prior to closing declarations to any race program contained therein.

6.2.1.3 A fair and reasonable racing opportunity shall be afforded both trotters and pacers in reasonable proportion from those available and qualified to race.

6.2.1.4 Substitute races may be provided for each race program and shall be so designated on condition sheets. A substitute race may be used when a regularly scheduled race fails to fill.

6.2.1.5 Regularly scheduled races or substitute races may be divided where necessary to fill a program of racing, or may be divided and carried over to a subsequent racing program, subject to the following:

6.2.1.5.1 No such divisions shall be used in the place of regularly scheduled races which fill.

6.2.1.5.2 Where races are divided in order to fill a program, starters for each division must be determined by lot after preference has been applied, unless the conditions provide for divisions based upon age, performance, earnings or sex may be determined by the racing secretary.

6.2.1.5.3 However, where necessary to fill a card, not more than three races per day may be divided into not more than three divisions after preference has been applied. The divisions may be selected by the racing secretary. For all other overnight races that are divided, the division must be by lot unless the conditions provide for a division based on performance, earnings or sex.

6.2.2 Conditions

6.2.2.1 Conditions may be based only on:

6.2.2.1.1 Horses' money winnings in a specified number of previous races or during a specified previous time;

6.2.2.1.2 Horses' finishing positions in a specified number of previous races or during a specified period of time;

6.2.2.1.3 Age, provided that no horse that is 15 years of age or older shall be eligible to perform in any race except in a matinee race;

6.2.2.1.4 Sex;

6.2.2.1.5 Number of starts during a specified period of time;

6.2.2.1.6 Special qualifications for foreign horses that do not have a representative number of starts in the United States or Canada;

6.2.2.1.7 Horses' race condition in a specified number of previous races or during a specified period of time;

6.2.2.1.8 Horses' claiming price in a specified number of previous races or during a specified period of time;

6.2.2.1.9 Horses' purses raced for in a specified number of previous races or during a specified period of time;

6.2.2.1.10 Delaware-owned or bred races as specified in 3 Del.C. §10032;

6.2.2.1.11 Delaware Owned or Bred Preferred;

6.2.2.1.12 Delaware Trained Preferred; or

6.2.2.1.13 Any one or more combinations of the qualifications herein listed.

6.2.2.2 Conditions shall not be written in such a way that any horse is deprived of an opportunity to race in a normal preference cycle. Where the word preference is used in a condition, it shall not supersede date preference as provided in the rules except when written Delaware Owned or Bred Preferred, or Delaware Trained Preferred. Not more than three also eligible conditions shall be used in writing the conditions for overnight events.

6.2.2.3 The Commission may, upon application from the racing secretary, approve conditions other than those listed above for special events.

6.2.2.4 In the event there are conflicting published conditions and neither one nor the other is withdrawn by the Association, the one more favorable to the declarer shall govern.

6.2.2.5 For the purpose of eligibility, a racing season or racing year shall be the calendar year. All races based on winnings will be programmed as Non‑Winners of a multiple of $100 plus $1 or Winners over a multiple of $100. Additional conditions may be added. When recording winnings, gross winnings shall be used and cents shall be disregarded. In the case of a bonus, the present value of the bonus shall be credited to the horse as earnings for the race or series of races for which it received the bonus. It shall be the responsibility of the organization offering the bonus to report the present value of the bonus to the United States Trotting Association in a timely manner.

6.2.2.6 Records, time bars shall not be used as a condition of eligibility.

6.2.2.7 Horses must be eligible when declarations close subject to the provision that:

6.2.2.7.1 Wins and winnings on or after the closing date of declarations shall not be considered;

6.2.2.7.2 Age allowances and eligibility shall be according to the age of the horse on the date the race is contested.

6.2.2.7.3 In mixed races, trotting and pacing, a horse must be eligible under the conditions for the gait at which it is stated in the declaration the horse will perform.

6.2.2.8 When conditions refer to previous performances, those performances shall only include those in a purse race. Each dash or heat shall be considered as a separate performance for the purpose of condition races.

6.2.2.9 In overnight events, on a half mile racetrack there shall be no trailing horses. On a bigger racetrack there shall be no more than one trailing horse. At least eight feet per horse must be provided the starters in the front tier.

6.2.2.10 The racing secretary may reject the declaration to an overnight event of any horse whose past performance indicates that it would be below the competitive level of other horses declared to that particular event.

6.3 Claiming Races

6.3.1 General Provisions

6.3.1.1 Claiming Procedure and Determination of Claiming Price. The trainer or authorized agent entering a horse in a claiming race warrants that he has authorization from the registered owner(s) to enter said horse in a claiming race for the designated amount. In the event of a claim, the owner(s) or authorized agent shall submit a signed registration to the Presiding Judge prior to receiving proceeds from the claim and the registration shall be immediately forwarded to the U.S.T.A. registrar for transfer.

6.3.1.2 Except for the lowest claiming price offered at each meeting, conditions and allowances in claiming races may be based only on age and sex. Whenever possible, claiming races shall be written to separate horses five years old and up from young horses and to separate males from females. Mares shall be given a price allowance; provided, however, that there shall be no price allowance given to a spayed mare racing in a claiming race.

6.3.1.3 Registration certificate in current ownership, together with the application for transfer thereon duly endorsed by all registered owners, must be filed in the office of the racing secretary for all horses claimed within a reasonable time after the race from which the horse was claimed.

6.3.1.4 The price allowances that govern for claiming races must be approved by the Commission. Claiming prices recorded on past performance lines in the daily race program and on eligibility certificates shall not include allowances.

6.3.1.5 The claiming price, including any allowances, of each horse shall be printed on the official program adjacent to the horse's program number and claims shall be for the amount designated, subject to correction if printed in error.

6.3.1.6 In handicap claiming races, in the event of an also eligible horse moving into the race, the also eligible horse shall take the place of the horse that it replaces provided that the handicap is the same. In the event the handicap is different, the also eligible horse shall take the position on the outside of horses with a similar handicap, except when the horse that is scratched is a trailing horse, in which case the also eligible horse shall take the trailing position, regardless of its handicap. In handicap claiming races with one trailer, the trailer shall be determined as the fourth best post position.

6.3.1.7 To be eligible to be claimed a horse must start in the event in which it has been declared to race, except as provided in 6.3.1.8 of this subsection.

6.3.1.8 The successful claimant of a horse programmed to start may, at his option, acquire ownership of a claimed horse, even though such claimed horse was scratched and did not start in the claiming race from which it was scratched. The successful claimant must exercise his option by noon of the next day following the claiming race to which the horse was programmed and scratched. Upon notification that the successful claimant has exercised his option, the owner shall present the horse for inspection, and the claim shall not be final until the successful claimant has had the opportunity to inspect the horse. No horse may be claimed from a claiming race unless the race is contested.

6.3.1.9 Any licensed owner or the authorized agent of such person who holds a current valid Commission license may claim any horse or any person who has properly applied for and been granted a claiming certificate shall be permitted to claim any horse. Any person or authorized agent eligible to claim a horse may be allowed access to the grounds of the Association, excluding the paddock, in order to effect a claim at the designated place of making claims and to take possession of the horse claimed.

6.3.1.10 Claiming certificates are valid for a 30 day period from the date of issuance. These certificates may be applied for at the office designated by the Association prior to post time on any day of racing.

6.3.1.11 There shall be no change of ownership or trainer once a horse is programmed.

6.3.2 Prohibitions on Claims

6.3.2.1 A person shall not claim directly or indirectly his own horse or a horse trained or driven by him or cause such horse to be claimed directly or indirectly for his own account.

6.3.2.2 A person shall not directly or indirectly offer, or directly or indirectly enter into an agreement, to claim or not to claim or directly or indirectly attempt to prevent another person from claiming any horse in a claiming race.

6.3.2.3 A person shall not have more than one claim on any one horse in any claiming race.

6.3.2.4 A person shall not directly or indirectly conspire to protect a horse from being claimed by arranging another person to lodge claims, a procedure known as protection claims.

6.3.2.5 No qualified owner or his agent shall claim a horse for another person.

6.3.2.6 No person shall enter in a claiming race a horse against which there is a mortgage, bill or sale, or lien of any kind, unless the written consent of the holder thereof shall be filed with the Clerk of the Course of the association conducting such claiming race.

6.3.2.7 Any mare which has been bred shall not be declared into a claiming race for at least 30 days following the last breeding of the mare, and thereafter such a mare may only be declared into a claiming race after a veterinarian has pronounced the mare not to be in foal. Any mare pronounced in foal shall not be declared into a claiming race. Where a mare is claimed out of a claiming race and subsequently proves to be in foal from a breeding which occurred prior to the race from which she was claimed, the claim may be voided by the judges at the option of the successful claimant provided the mare is subjected to a pregnancy examination within 18 days of the date of the claim, and is found pregnant as a result of that pregnancy examination. A successful claimant seeking to void the claim must file a petition to void said claim with the judges within 10 days after this pregnancy examination and shall thereafter be heard by the judges after due notice of the hearing to the parties concerned.

6.3.2.8 No one shall claim more than one horse in a race either alone, in a partnership, corporation or other legal entity.

6.3.2.9 If a horse is claimed, no right, title or interest therein shall be sold or transferred except in a claiming race for a period of thirty (30) days following the date of the claiming.

6.3.3 Claiming Procedure

6.3.3.1 A person desiring to claim a horse must have the required amount of money, on deposit with the Association at the time the completed claim form is deposited. The deposit shall be in cash or may be in a certified check at the discretion of the Association. The Association may require that a certified check clear the bank upon which it was drawn and funds transferred to the Association’s account prior to the credit being “established.”

6.3.3.2 The claimant shall provide all information required on the claim form provided by the Commission, including any and all testing requests.

6.3.3.3 The claim form shall be completed and signed by the claimant prior to placing it in an envelope provided for this purpose by the Association and approved by the Commission. The claimant shall seal the envelope and identify on the outside the date, time of day, race number and track name only.

6.3.3.4 The envelope shall be delivered to the designated area, or licensed delegate, at least thirty (30) minutes before post time of the race from which the claim is being made. That person shall certify on the outside of the envelope the time it was received.

6.3.3.5 It shall be the responsibility of the Association to ensure that all such claim envelopes are delivered unopened or otherwise undisturbed to the judges prior to the race from which the claim is being made. The Association shall provide for an agent who shall, immediately after closing, deliver the claim to the judges' stand.

6.3.3.6 The claim shall be opened and the claims, if any, examined by the judges prior to the start of the race. The Association's auditor, or his agent, shall be prepared to state whether the claimant has on deposit, the amount equivalent to the specified claiming price and any other required fees and taxes.

6.3.3.7 The judges shall disallow any claim made on a form or in a manner which fails to comply with all requirements of this rule.

6.3.3.8 Documentation supporting all claims for horses, whether successful or unsuccessful, shall include details of the method of payment either by way of a photostatic copy of the check presented, or written detailed information to include the name of the claimant, the bank, branch, account number and drawer of any checks or details of any other method of payment. This documentation is to be kept on file at race tracks for three (3) years and is to be produced to the Commission for inspection at any time during the period.

6.3.3.9 When a claim has been lodged it is irrevocable, unless otherwise provided for in these rules.

6.3.3.10 In the event more than one claim is submitted for the same horse, the successful claimant shall be determined by lot by the judges, and all unsuccessful claims involved in the decision by lot shall, at that time, become null and void, notwithstanding any future disposition of such claim.

6.3.3.11 Upon determining that a claim is valid, the judges shall notify the paddock judge of the name of the horse claimed, the name of the claimant and the name of the person to whom the horse is to be delivered. Also, the judges shall cause a public announcement to be made.

6.3.3.12 Every horse entered in a claiming race shall race for the account of the owner who declared it in the event, but title to a claimed horse shall be vested in the successful claimant from the time the horse is deemed to have started, and the successful claimant shall become the owner of the horse, whether it be alive or dead, or sound or unsound, or injured during or after the race.

6.3.3.13 A post‑race test may be taken from any horse claimed out of a claiming race. The trainer of the horse at the time of entry for the race from which the horse was claimed shall be responsible for the claimed horse until the post‑race sample is collected. The successful claimant shall have the right to void the claim should the forensic analysis be positive for any prohibited substance or an illegal level of a permitted medication, or if a blood sample exhibits a positive response to Darbepoietin (DPO), the Erythropietin (EPO) in itself, or through an antibody test. The claimed horse may be entered to race while results are pending, but not be permitted to race until the approved laboratory chemist notifies the DHRC on his findings in the samples taken from the horse.

6.3.3.14 Any person who refuses to deliver a horse legally claimed out of a claiming race shall be suspended, together with the horse, until delivery is made. The horse’s halter must accompany the horse. Altering or removing the horse’s shoes will be considered a violation of these rules.

6.3.3.15 No horse claimed out of a claiming race shall be eligible to start in any race in the name or interest of the prior owner for 30 days, nor shall such horse remain in the same stable or under the care or management of the prior owner or trainer, or anyone connected therewith unless reclaimed out of another claiming race. Further, such claimed horse shall only be eligible to enter in races in the state of Delaware for a period of 60 days following the date of the claim, unless released in writing by the DHRC Administrator and Presiding Judge. A written release shall be granted in the sole discretion of the DHRC Administrator and Presiding Judge only upon a finding that the transfer does not have the potential to harm the local pool of available racing stock.

6.3.3.16 The claiming price shall be paid to the owner of the horse at the time entry for the race from which the horse was claimed only when the judges are satisfied that the successful claim is valid and the registration has been received by the racing secretary for transfer to the new owner and the Presiding Judge has signed a release notice of horse claimed and application for transfer form.

6.3.3.17 The judges shall rule a claim invalid:

6.3.3.17.1 at the option of the claimant if the official racing chemist reports a positive test on a horse that was claimed, provided such option is exercised within 24 hours following notification to the claimant of the positive test by the judges;

6.3.3.17.2 if the horse has been found ineligible to the event from which it was claimed, regardless of the position of the claimant.

6.3.3.18 Mares and fillies who are in foal are ineligible to claiming races. Upon receipt of the horse, if a claimant determines within 48 hours that a claimed filly or mare is in foal, he may, at their option, return the horse to the owner of the horse at the time of entry for the race from which the horse was claimed.

6.3.3.19 When the judges rule that a claim is invalid and the horse is returned to the owner of the horse at the time of entry for the race in which the invalid claim was made:

6.3.3.19.1 the amount of the claiming price and any other required fees and/or taxes shall be repaid to the claimant;

6.3.3.19.2 any purse monies earned subsequent to the date of the claim and before the date on which the claim is ruled invalid shall be the property of the claimant; and

6.3.3.19.3 the claimant shall be responsible for any reasonable costs incurred through the care, training or racing of the horse while it was in his possession.

6.4 Added Money Events

6.4.1 General Provisions

6.4.1.1 For the purpose of this rule, added money events include stakes, futurities, early closing events and late closing events.

6.4.1.2 All sponsors and presenters of added money events must comply with the rules and must submit to the Commission the conditions and other information pertaining to such events.

6.4.1.3 Any conditions contrary to the provisions of any of these rules are prohibited.

6.4.2 Conditions for added money events must specify:

6.4.2.1 which horses are eligible to be nominated;

6.4.2.2 the amount to be added to the purse by the sponsor or presenter, should the amount be known at the time;

6.4.2.3 the dates and amounts of nomination, sustaining and starting payments;

6.4.2.4 whether the event will be raced in divisions or conducted in elimination heats, and;

6.4.2.5 the distribution of the purse, in percent, to the money winners in each heat or dash, and the distribution should the number of starters be less than the number of premiums advertised; and

6.4.2.6 whether also eligible horses may be carded prior to the running heats or legs of added money events.

6.4.3 Requirements of Sponsors/Presenters

6.4.3.1 Sponsors or presenters of stakes, futurities or early closing events shall provide a list of nominations to each nominator or owner and to the Associations concerned within sixty (60) days after the date on which nominations close, other than for nominations payable prior to January 1st of a horse's two‑year‑old year.

6.4.3.2 Sponsors or presenters of stakes, futurities or early closing events shall also provide a list of horses remaining eligible to each owner of an eligible within 45 days after the date on which sustaining payments are payable. All lists shall include a resume of the current financial status of the event.

6.4.3.3 The Commission may require the sponsor or presenter to file with the Commission a surety bond in the amount of the fund to ensure faithful performance of the conditions, including a guarantee that the event will be raced as advertised and all funds will be segregated and all premiums paid. Commission consent must be obtained to transfer or change the date of the event, or to alter the conditions. In any instance where a sponsor or presenter furnishes the Commission with substantial evidence of financial responsibility satisfactory to the Commission, such evidence may be accepted in lieu of a surety bond.

6.4.4 Nominations, Fees and Purses

6.4.4.1 All nominations to added money events must be made in accordance with the conditions.

6.4.4.2 Dates for added money event nominations payments are:

6.4.4.2.1 Stakes: The date for closing of nominations on yearlings shall be May 15th. The date foreclosing of nominations to all other stakes shall fall on the fifteenth day of a month.

6.4.4.2.2 Early Closing Events: The date for closing of nominations shall fall on the first or fifteenth day of a month. Nominations on two‑year‑olds shall not be taken prior to February 15th.

6.4.4.2.3 Late Closing Events: The date for closing of nominations shall be at the discretion of the sponsor or presenter.

6.4.4.3 Dates for added money event sustaining payments are:

6.4.4.3.1 Stakes: Sustaining payments shall fall on the fifteenth day of a month. No stake sustaining fee shall become due prior to (Month) 15th of the year in which the horses nominated become two years of age.

6.4.4.3.2 Early and Late Closing Events: Sustaining payments shall fall on the first or fifteenth day of a month.

6.4.4.4 The starting fee shall become due when a horse is properly declared to start and shall be payable in accordance with the conditions of the added money event. Once a horse has been properly declared to start, the starting fee shall be forfeited, whether or not the horse starts. Should payment not be made thirty (30) minutes before the post time of the event, the horse may be scratched and the payment shall become a liability of the owner who shall, together with the horse or horses, be suspended until payment is made in full, providing the Association notifies the Commission within thirty (30) days after the starting date.

6.4.4.5 Failure to make any payment required by the conditions constitutes an automatic withdrawal from the event.

6.4.4.6 Conditions that will eliminate horses nominated to an event, or add horses that have not been nominated to an event by reason of performance of such horses at an earlier meeting, are invalid. Early and late closing events shall have not more than two also eligible conditions.

6.4.4.7 The date and place where early and late closing events will be raced must be announced before nominations are taken. The date and place where stakes and futurities will be raced must be announced as soon as determined but, in any event, such announcement must be made no later than March 30th of the year in which the event is to be raced.

6.4.4.8 Deductions may not be made from nomination, sustaining and starting payments or from the advertised purse for clerical or any other expenses.

6.4.4.9 Every nomination shall constitute an agreement by the person making the nomination and the horse shall be subject to these rules. All disputes and questions arising out of such nomination shall be submitted to the Commission, whose decision shall be final.

6.4.4.10 Nominations and sustaining payments must be received by the sponsor or presenter not later than the hour of closing, except those made by mail must bear a postmark placed thereon not later than the hour of closing. In the event the hour of closing falls on a Saturday, Sunday or legal holiday, the hour of closing shall be extended to the same hour of the next business day. The hour of closing shall be midnight of the due date.

6.4.4.11 If conditions require a minimum number of nominations and the event does not fill, the Commission and each nominator shall be notified within twenty (20) days of the closing of nominations and a refund of nomination fees shall accompany such notice to nominators.

6.4.4.12 If conditions for early or late closing events allow transfer for change of gait, such transfer shall be to the lowest class the horse is eligible to at the adopted gait, eligibility to be determined at the time of closing nominations. The race to which the transfer may be made must be the one nearest the date of the event originally nominated to. Two‑year‑olds, three‑year‑olds, or four‑year‑olds, nominated in classes for their age, may only transfer to classes for the same age group at the adopted gait to the race nearest the date of the event they were originally nominated to, and entry fees to be adjusted.

6.4.4.13 A nominator is required to guarantee the identity and eligibility of nominations, and if this information is given incorrectly he or she may be fined, suspended, or expelled and the horse declared ineligible. If any purse money was obtained by an ineligible horse, the monies shall be forfeited and redistributed among those justly entitled to the same.

6.4.4.14 Early or late closing events must be contested if six or more betting interests are declared to start. If less horses are declared to start than required, the race may be declared off, in which case the total of nominations, sustaining and starting payments received shall be divided equally to the horses declared to start. Such distribution shall not be credited as purse winnings.

6.4.4.15 Stakes must be contested if one or more horses are declared to start. In the event only one horse, or only horses in the same interest start, it constitutes a walk‑over. In the event no declarations are made, the total of nomination and sustaining payments shall be divided equally to the horses remaining eligible after payment to the last sustaining payment, but such distribution shall not be credited as purse winnings.

6.4.4.16 Associations shall provide stable space for each horse on the day of the race.

6.4.4.17 The maximum size of fields permitted in any added money event shall be no more than one trailer unless otherwise approved by the Commission.

6.4.4.18 An Association may elect to go with less than the number of trailers specified in subdivision 17 above.

6.4.4.19 In the event more horses are declared to start than allowed in one field, the race will be conducted in divisions or eliminations, as specified in the conditions.

6.4.4.20 In early closing races, late closing races and overnight races requiring entry fees, all monies paid in by the nominators in excess of 85 percent of the advertised purse shall be added to the advertised purse and the total shall then be considered to be the minimum purse. If the race is split and raced in divisions, the provisions of subdivision 21 below shall apply. Provided further that where overnight races are split and raced in eliminations rather than divisions, all starting fees payable under the provisions of this rule shall be added to the advertised purse.

6.4.4.21 Where a race other than a stake is divided, each division must race for at least 75 percent of the advertised purse.

6.4.4.22 The number of horses allowed to qualify for the final heat of an event conducted in elimination heats shall not exceed the maximum number permitted to start in accordance with the rules. In any elimination dash where there are horses unable to finish due to an accident and there are fewer horses finishing than would normally qualify for the final, the additional horses qualifying for the final shall be drawn by lot from among those unoffending horses not finishing.

6.4.4.23 The judges' decisions in arriving at the official order of finish of elimination heats on the same program shall be final and irrevocable and not subject to appeal or protest.

6.4.4.24 Unless the conditions for the added money event provide otherwise the judges shall draw by lot the post positions for the final heat in elimination events, i.e. they shall draw positions to determine which of the two elimination heat winners shall have the pole, and which the second position; which of the two horses that were second shall start in the third position, and which in the fourth, etc.

6.5 Cancellation of a Race. In case of cancellation of races, see Rule 7.3 ‑‑"Postponement and Cancellation."

6.6 Delaware Owned or Bred Races

6.6.1 Persons licensed to conduct harness horse racing meets under title 3, chapter 100, may offer non-stakes races limited to horses wholly owned by Delaware residents or sired by Delaware stallions.

6.6.2 For purposes of this rule, a Delaware bred horse shall be defined as one sired by a Delaware stallion who stood in Delaware during the entire breeding season in which he covered a book of mares or a horse whose dam was a wholly-owned Delaware brood mare at the time of breeding as shown on the horse's United States Trotting Association registration or electronic eligibility papers. The breeding season means that period of time beginning February 1 and ending August 1 of each year.

6.6.3 All horses to be entered in Delaware owned or bred races must first be registered and approved by the Commission or its designee. The Commission may establish a date upon which a horse must be wholly-owned by a Delaware resident(s) to be eligible to be nominated, entered, or raced as Delaware-owned. In the case of a corporation seeking to enter a horse in a Delaware-owned or bred event as a Delaware-owned entry, all owners, officers, shareholders, and directors must meet the requirements for a Delaware resident specified below. In the case of an Association or other entity seeking to enter a horse in a Delaware owned or bred event as a Delaware-owned entry, all owners must meet the requirements for a Delaware resident specified below. Leased horses are ineligible as Delaware owned entries unless both the lessor and the lessee are Delaware residents as set forth in this Rule and 3 Del.C. §10032.

6.6.4 The following actions shall be prohibited for Delaware-owned races and such horses shall be deemed ineligible to be nominated, entered, or raced as Delaware-owned horses:

6.6.4.1 Payment of the purchase price over time beyond the date of registration;

6.6.4.2 Payment of the purchase price through earnings beyond the date of registration;

6.6.4.3 Payment of the purchase price with a loan, other than from a commercial lender regulated in Delaware and balance due beyond the date of registration;

6.6.4.4 Any management fees, agent fees, consulting fees, or any other form of compensation to non-residents of Delaware, except industry standard training and driving fees; or

6.6.4.5 Leasing a horse to a non-resident of Delaware.

6.6.5 The Commission or its designee shall determine all questions about a person's eligibility to participate in Delaware-owned races. In determining whether a person is a Delaware Resident, the term "resident" shall mean the place where an individual has his or her permanent home, at which that person remains when not called elsewhere for labor or other special or temporary purposes, and to which that person returns in seasons of repose. The term "residence" shall mean a place a person voluntarily fixed as a permanent habitation with an intent to remain in such place for the indefinite future.

6.6.6 The Commission or its designee may review and subpoena any information which is deemed relevant to determine a person's residence, including but not limited to, the following:

6.6.6.1 Where the person lives and has been living;

6.6.6.2 The location of the person's sources of income;

6.6.6.3 The address used by the person for payment of taxes, including federal, all state and property taxes and Delaware Resident tax filings;

6.6.6.4 The state in which the person's personal automobiles and all racing related vehicles are registered;

6.6.6.5 The state issuing the person's driver's license;

6.6.6.6 The state in which the person is registered to vote;

6.6.6.7 Ownership of property in Delaware or outside of Delaware;

6.6.6.8 The residence used for U.S.T.A. membership and U.S.T.A. registration of a horse, whichever is applicable;

6.6.6.9 The residence claimed by a person on a loan application or other similar financial documents;

6.6.6.10 Membership in civic, community, and other organizations in Delaware and elsewhere.

6.6.6.11 None of these factors when considered alone shall be dispositive, except that a person must have resided in the State of Delaware in the preceding calendar year for a minimum of one hundred and eighty three (183) days. Consideration of all of these factors together, as well as a person's expressed intention, shall be considered in arriving at a determination. The burden shall be on the applicant to prove Delaware residency and eligibility for Delaware-owned or bred races. The Commission may promulgate by regulation any other relevant requirements necessary to ensure that the licensee is a Delaware resident. In the event of disputes about a person's eligibility to enter a Delaware-owned or bred race, the Commission shall resolve all disputes and that decision shall be final.

6.6.6.12 Any and all utility, power, telephone (cellular and landline), cable or satellite bills for all properties regardless of state

6.6.6.12.1 Any person who owns or leases property outside the State of Delaware shall be required to provide the Commission with a list of days the person resided inside and outside the State of Delaware during the preceding year.

6.6.6.12.2 Any person approved for the Delaware owned program shall be required to notify the Commission of any changes that would impact their eligibility for the program.

6.6.6.12.3 Any person claiming a Homestead exception in another state shall be deemed ineligible to participate in a Delaware owned program.

6.6.6.12.4 Any person approved in any other State owned program shall be deemed ineligible for the Delaware Owned program.

6.6.7 Each owner and trainer, or the authorized agent of an owner or trainer, or the nominator (collectively, the "entrant"), is required to disclose the true and entire ownership of each horse with the Commission or its designee, and to disclose any changes in the owners of the registered horse to the Commission or its designee. All licensees and racing officials shall immediately report any questions concerning the ownership status of a horse to the Commission racing officials, and the Commission racing officials may place such a horse on the steward's or judge's list. A horse placed on the steward's or judge's list shall be ineligible to start in a race until questions concerning the ownership status of the horse are answered to the satisfaction of the Commission or the Commission's designee, and the horse is removed from the steward or judge's list.

6.6.8 If the Commission, or the Commission's designee, finds a lack of sufficient evidence of ownership status, residency, or other information required for eligibility, prior to a race, the Commission or the Commission's designee, may order the entrant's horse scratched from the race or ineligible to participate.

6.6.9 After a race, the Commission or the Commission's designee, may upon reasonable suspicion, withhold purse money pending an inquiry into ownership status, residency, or other information required to determine eligibility. If the purse money is ultimately forfeited because of a ruling by the Commission or the Commission's designee, the purse money shall be redistributed per order of the Commission or the Commission's designee.

6.6.10 If purse money has been paid prior to reasonable suspicion, the Commission or the Commission's designee may conduct an inquiry and make a determination as to eligibility. If the Commission or the Commission's designee determines there has been a violation of ownership status, residency, or other information required for eligibility, it shall order the purse money returned and redistributed per order of the Commission or the Commission's designee.

6.6.11 Anyone who willfully provides incorrect or untruthful information to the Commission or its designee pertaining to the ownership of a Delaware-owned or bred horse, or who attempts to enter a horse restricted to Delaware-owned entry who is determined not to be a Delaware resident, or who commits any other fraudulent act in connection with the entry or registration of a Delaware-owned or bred horse, in addition to other penalties imposed by law, shall be subject to mandatory revocation of licensing privileges in the State of Delaware for a period to be determined by the Commission in its discretion except that absent extraordinary circumstances, the Commission shall impose a minimum revocation period of two years and a minimum fine of $5,000 from the date of the violation of these rules or the decision of the Commission, whichever occurs later.

6.6.12 Any person whose license is suspended or revoked under subsection (k) of this rule shall be required to apply for reinstatement of licensure and the burden shall be on the applicant to demonstrate that his or he licensure will not reflect adversely on the honesty and integrity of harness racing or interfere with the orderly conduct of a race meeting. Any person whose license is reinstated under this subsection shall be subject to a two year probationary period, and may no participate in any Delaware-owned or bred race during this probationary period. Any further violations of this section by the licensee during the period of probationary licensure shall, absent extraordinary circumstances, result in the Commission imposing revocation of all licensure privileges for a five year period along with any other penalty the Commission deems reasonable and just.

6.6.13 Any suspension imposed by the Commission under this rule shall not be subject to the stay provisions in 29 Del.C. §10144.

2 DE Reg. 1241 (01/01/99)

2 DE Reg. 1765 (04/01/99)

3 DE Reg. 432 (09/01/99)

3 DE Reg. 1520 (05/01/00)

4 DE Reg. 1123 (01/01/01)

4 DE Reg. 1652 (04/01/01)

5 DE Reg. 1691 (03/01/02)

6 DE Reg. 862 (01/01/03)

7 DE Reg. 1512 (05/01/04)

11 DE Reg. 308 (09/01/07)

12 DE Reg. 666 (11/01/08)

16 DE Reg. 282 (09/01/12)

16 DE Reg. 754 (01/01/13)

17 DE Reg. 1060 (05/01/14)

21 DE Reg. 563 (01/01/18)

22 DE Reg. 47 (07/01/18)

24 DE Reg. 662 (01/01/21)

24 DE Reg. 942 (04/01/21)

7.0 Rules of the Race

7.1 Declarations and Drawing

7.1.1 Declarations

7.1.1.1 Declaration time shall be as specified in the Association's general conditions. The time when declarations close will be considered to be local time at the track where the race is being contested.

7.1.1.2 No horse shall be permitted to start in more than one race on any one racing day. Races decided by more than one heat are considered a single race.

7.1.1.3 The Association shall provide a locked box with an aperture through which declarations shall be deposited.

7.1.1.4 The Presiding Judge shall be in charge of the declaration box.

7.1.1.5 Just prior to opening of the box at extended pari-mutuel meetings where futurities, stakes, early closing or late closing events are on the program, the Presiding Judge shall check with the racing secretary to ascertain if any declarations are in the office and not deposited in the entry box, and shall see that they are declared and drawn in the proper event.

7.1.2 Drawing

7.1.2.1 The entry box shall be opened at the advertised time by the Presiding Judge. No owner or agent for a horse with a declaration in the entry box shall be denied the privilege of being present. Under the supervision of the Presiding Judge, all entries shall be listed, the eligibility verified, preference ascertained, starters selected and post positions drawn. If it is necessary to reopen any race, public announcement shall be made at least twice and the box reopened to a definite time.

7.1.2.2 Subject to Commission approval, at non‑extended meetings in the event of the absence or incapacity of the Presiding Judge, the functions enumerated above may be performed by one or more associate judges, or by a person designated by the Presiding Judge, for whose acts and conduct Presiding Judge shall be wholly responsible. If a substitution is made as herein provided, the name and address of the associate judge(s) or person so substituting shall be entered in the Judges' Book.

At extended meetings in the event of the absence or incapacity of the Presiding Judge, the functions enumerated above may be performed by one or more associate judges who shall have been designated by the Presiding Judge, prior to the start of the meeting, in the form of a written notice to the Commission and to the Association conducting the meeting. A record shall be kept in the Judges' Book showing the name of the individual who performed such functions on each day of the meeting.

7.1.2.3 In races of a duration of more than one dash or heat at pari-mutuel meetings, the judges may draw post positions from the stand for succeeding dashes or heats.

7.1.2.4 Declarations by telephone or other means approved by the Association's race office that are actually received and evidence of which is deposited in the box before the time specified to declare in, shall be drawn in the same manner as the others. Telephone declarations, or other means of declarations approved by the Association's race office must state the horse's name, the driver's name, the trainer's name, and the event in which the horse is to be entered.

7.1.2.5 Failure to declare as required shall be considered a withdrawal from the event.

7.1.2.6 After declaration to start has been made no horse shall be withdrawn except by permission of the judges. A fine, not to exceed $2,000, or suspension may be imposed for withdrawing a horse without permission, the penalty to apply to both the horse and the party who violates the regulation.

7.1.2.7 Where the person making the declaration fails to honor it and there is no opportunity for a hearing by the judges, this penalty may be imposed by the commission representative.

7.1.2.8 Where a horse properly declared is omitted from the race by an error of the Association, the omitted horse may take the post position of the incorrect horse included in the race: however, the Judges may redraw the race, after considering all the circumstances and concluding that a redraw is the only equitable and appropriate remedy.

7.1.2.9 In the event there are two tiers of horses, the withdrawing of a horse that has drawn or earned a position in the front tier shall not affect the position of the horses that have drawn or earned positions in the second tier, except as provided for in handicap claiming races. Whenever a horse is drawn from any tier, horses on the outside move in to fill up the vacancy. When there is only one trailer, it may start from any position in the second tier. When there is more than one trailer, they must start from inside any horse with a higher post position.

7.1.3 Qualifying Races

7.1.3.1 Qualifying races and starting gate schooling shall be held according to the demand as determined by the Presiding Judge.

7.1.3.2 Qualifying standards shall be set at each track by the racing secretary and the judges. These may vary at different times of the year to accommodate weather and the class of horse available. Standards for trotters will be two seconds slower than pacers.

7.1.3.3 At all extended pari-mutuel meetings declarations for overnight events shall be governed by the following:

7.1.3.3.1 Before racing at a chosen gait, a horse must go a qualifying race at that gait under the supervision of a licensed judge and acquire at least one charted line by a licensed charter. In order to provide complete and accurate chart information on time and beaten lengths, a standard photo finish shall be in use.

7.1.3.3.2 Any horse that fails to race within sixty (60) days of its last start must go a qualifying race as set forth in subsection 7.1.3.3.1 above. The time period allowed shall be calculated from the date of the last race to and including the date of the next race. Horses entered and in to go in a race or races which are canceled due to no fault of their own, shall be considered to have raced in that race, and no start shall be counted for date preference purposes.

7.1.3.3.3 When a horse has raced at a charted meeting and then gone to meetings where the races are not charted, the information from the uncharted lines may be used to count as a start within the last sixty (60) days. The consolidated line shall carry date, place, fractions, time, driver, finish, track condition and distance.

7.1.3.3.4 The judges may permit a horse to qualify by means of a timed workout consistent with the time of the races in which he will compete in the event adequate competition is not available for a qualifying race.

7.1.3.3.5 When, for the purpose of qualifying the driver, a horse is declared in to race in a qualifying race, its performance shall be applicable to the horse's eligibility to race and the chart line shall be notated to indicate driver qualifying.

7.1.3.3.6 If a horse takes a win race record in either a qualifying race or a matinee race, such record must be prefaced with the letter "Q" wherever it appears, except in a case where, immediately prior to or following the race, the horse taking the record has been submitted to an approved urine, saliva or blood test. It will be the responsibility of the Presiding Judge to report the test on the Judges' Sheet.

7.1.3.4 No horse shall wear hobbles in a race unless it starts in the first heat and having so started shall continue to wear them to finish of the race. No change will be allowed after a race is programmed. Any person found guilty of removing or altering a horse’s hobbles during a race or between races for the purpose of fraud shall be suspended or expelled. Other than as aforementioned, the use of hobbles from race to race shall be in the sole discretion of the trainer, and not precipitate qualifying the horse.

7.1.3.5 In their discretion the judges may require a horse to qualify for any reason; provided, however, that a horse making a break in each of two consecutive races may not be required to qualify if the breaks were solely equipment breaks and/or were caused solely by interference and/or track conditions.

7.1.3.6 A horse must qualify if it does not finish for reasons other than interference or broken equipment.

7.1.3.7 A charted line containing only a break or breaks caused by interference or an equipment break shall be considered a satisfactory charted line.

7.1.3.8 The judges shall use the interference break mark only when they have reason to believe that the horse was interfered with by another horse or the equipment of another horse.

7.1.4 Coupled Entries. When the starters in a race include two or more horses owned by the same person, or trained in the same stable or by the same management, they shall be coupled as an "entry", and a wager on one horse in the entry shall be a wager on all horses in the "entry"; provided, however, that in a stake, early closing, free-for-all or other special event, such horses may, at the request of the Association, made through the Presiding Judge be permitted to race as separate entries. Upon such request, the Presiding Judge shall have discretion to determine whether the horses are to race as separate entries. If the race is split in two or more divisions, horses in an "entry" shall be seeded in separate divisions insofar as possible, but the divisions in which they compete and their post positions shall be drawn by lots. The above provisions shall also apply to elimination heats. The person making the declaration of a horse that qualifies as a coupled entry with another horse entered in the same event shall be responsible to designate the word "entry" on the declaration blank. The Presiding Judge shall be responsible for coupling horses. In addition to the foregoing, horses separately owned or trained may be coupled as an entry where it is necessary to do so to protect the public interest for the purpose of pari-mutuel wagering only; provided, however, that where this is done entries may not be rejected.

7.1.5 Also Eligibles. Not more than two horses may be drawn as also eligibles for a race and their positions shall be drawn along with the starters in the race. In the event one or more horses are excused by the judges, the also eligible horse or horses shall race and take the post position drawn by the horse that it replaces, except in handicap races. In handicap races the also eligible horses shall take the place of the horse that it replaces in the event that the handicap is the same. In the event the handicap is different, the also eligible horse shall take the position on the outside of horses with a similar handicap. No horse may be added to a race as an also eligible unless the horse was drawn as such at the time declarations closed. No horse may be barred from a race to which it is otherwise eligible by reason of its preference due to the fact that it has been drawn as an also eligible. A horse moved into the race from the also eligible list cannot be drawn except by permission of the judges, but the owner or trainer of such a horse shall be notified that the horse is to race and it shall be posted at the racing secretary's office. All horses on the also eligible list and not moved in to race by Scratch Time on the day of the race shall be released.

7.1.6 Preference Dates. Preference dates shall be given to horses in all overnight events at extended pari-mutuel tracks in accordance with the following:

7.1.6.1 The date of the horse's last previous start in a purse race is its preference date with the following exceptions:

7.1.6.1.1 The preference date on a horse that has drawn to race and has been scratched is the date of the race from which scratched.

7.1.6.1.2 When a horse is racing for the first time ever, the date of its first successful qualifying race within DHRC standards shall be considered its preference date.

7.1.6.1.3 Wherever horses have equal preference in a race, the actual preference of said horses in relation to one another shall be determined by backdating, up to two starts, the horse having raced closest to the draw having the least preference. If no preference is determined, preference will be determined by lot.

7.1.6.1.4 When an overnight race has been re‑opened because it did not fill, all eligible horses declared into the race prior to the re‑opening shall receive preference over other horses subsequently declared, irrespective of the actual preference dates, excluding horses already in to go.

7.1.6.2 This rule relative to preference is not applicable at any meeting at which an agricultural fair is in progress. All horses granted stalls and eligible must be given an opportunity to compete at these meetings.

7.1.7 Scratches

7.1.7.1 Once a horse is entered, it is the responsibility of the trainer to immediately notify the Board of Judges if that horse becomes unfit to race. A written notification must accompany the scratch request identifying: Horse name, tattoo (or Micro Chip Number), trainer name, date of event, reason for scratch (sick, lame, injured or deceased) and must be signed and dated by the trainer of record.

7.1.7.1.1 If a trainer requests a scratch of an entered horse on the day of the competition, the DHRC reserves the right to have the horse presented for inspection by the Commission veterinarian and/or a certificate of veterinary inspection from a licensed veterinarian must be delivered to the Board of Judges within 24 hours delineating the condition of the horse.

7.1.7.2 All horses scratched sick, lame or injured after entry will be placed on the Veterinarians List for a minimum of 7 days.

7.1.7.2.1 The number of days a scratched horse must be on the Veterinarians list can be altered by the Board of Judges and/or the Commission Veterinarian based on individual circumstance.

7.2 Timing and Records

7.2.1 Timing

7.2.1.1 The time of each heat or dash shall be accurately taken by two timers or an approved electric timing device, in which case there shall be one timer, and placed in the record in minutes, seconds and fifths of seconds, and upon the decision of each heat the time thereof shall be publicly announced or admitted to the record. When the timers fail to act, no time shall be announced or recorded.

7.2.1.2 The time shall be taken from the first horse leaving the point from which the distance of the race is measured until the winner reaches the wire.

7.2.1.3 The leading horse shall be timed and its time only shall be announced. No horse shall obtain a win race record by reason of the disqualification of another horse unless the horse's actual race time can be determined by photo finish or electronic timing.

7.2.1.4 In the case of a dead heat, the time shall constitute a record for the horses making the dead heat and both shall be considered winners.

7.2.2 Records

7.2.2.1 In order that performances thereon may be recognized or published as official, every Association shall have filed with the Commission the certificate of a duly licensed civil engineer or land surveyor that the track has been measured from wire to wire three feet out from the inside hub rail or other fixed marker and certifying exactly the result of such measurement. Each track shall be measured and re‑certified in the event of any changes or relocation of the hub rail or other fixed marker.

7.2.2.2 A record will be the fastest time made by a horse in a heat or dash which it won, or in a performance against time.

7.2.2.3 No time record shall be recognized as a world record if obtained on a track without an inside rail or other fixed marker.

7.2.2.4 In any case of alleged error in the record, announcement or publication of the time made by a horse, the time so questioned shall not be changed to favor said horse or owner, except upon the sworn statement of the judges and timers who officiated in the race.

7.2.2.5 If a horse takes a win‑race record in a qualifying race or schooling race, such record must be prefaced with the letter "Q" wherever it appears, except in a case where the horse was subjected to the collection of an test sample. The Presiding Judge shall note on the judges' official race reports each qualifying race from which test samples were collected.

7.2.2.6 For horses bred in North America and subsequently exported, foreign earnings shall be converted to U.S. dollars and credited to the horse's official records. A winning performance at a mile or greater distance, expressed at a mile rate, shall receive recognition as the horse's record.

7.2.2.7 Any person found guilty of fraudulent misrepresentation of time or the alteration of the record thereof, in any race, shall be fined, suspended, expelled or a combination thereof and time declared not a record.

7.3 Postponement and Cancellation

7.3.1 In case of unfavorable weather or other unavoidable cause, the Association upon notifying the Commission shall postpone or cancel races in accordance with the following rules.

7.3.2 Added money events shall be postponed to a definite hour on a scheduled race date when favorable conditions prevail.

7.3.3 An early closing event or a late closing event that cannot be raced during the scheduled meeting shall be declared off and the total of nomination, sustaining and starting payments divided equally among the owners of eligibles in proportion to the number of horses declared to start.

7.3.4 An early closing event or late closing event that has been started, but remains unfinished on the last day of the scheduled meeting shall be declared ended and the full purse divided according to the summary.

7.3.5 Stakes should be raced where advertised and the meeting may be extended to accomplish this. Any stake that has been started, but which remains unfinished on the last day of the scheduled meeting shall be declared ended and the full purse divided according to the summary, except where the Association elects to extend the meeting to complete the race.

7.3.6 Unless otherwise provided in the conditions, in order to transfer stakes and futurities to another meeting, unanimous consent must be obtained from the Association and all those having eligibles in the event.

7.3.7 At extended meetings, overnight events may be postponed and rescheduled within two days, or may be canceled if circumstances or weather conditions warrant. Postponed overnight events not raced within two days shall then be canceled.

7.3.8 At non‑extended meetings, overnight events shall be canceled, unless the Association is willing to add the postponed races to the advertised program for subsequent days of the meeting. At the option of the Association, any postponed races may be contested in single one‑mile dashes. Where races are postponed under this rule, the Association shall have the privilege of selecting the order in which events will be raced in any combination program.

7.3.9 If the track conditions are questionable for the warming up or racing of horses, the Presiding Judges shall call a meeting consisting of a committee including himself/herself, an Agent of the track and a Representative of the Horsemen. The Agent of the track will notify the Track Superintendent to attempt to correct any problem with the racing surface as soon as possible. Once the Track Superintendent has addressed the problem, the Horsemen’s Representative will physically review the areas in question. If all are in agreement that the problem has been corrected, racing will proceed. If the Representative of the Horsemen is not satisfied, the Track Superintendent will be given a final opportunity to rectify the problem.

If after the second attempt to rectify the problem, the Horsemen’s Representative is still not satisfied, there will be a vote of the Drivers and Trainers of horses participating in that night’s program to determine if racing will be conducted. A secret vote will be taken of those participants and will be conducted and monitored by the Judges. The Judges will count the ballots and inform Track Management of the outcome. If a tally of the drivers and trainers determines that 25 percent or less vote to race, the card shall be canceled. If more than 25 percent and less than 75 percent vote to race, trainers will be allowed to withdraw horses without penalty. If 75 percent or more vote to race, the regular rules of withdrawal and scratching of horses will apply. The foregoing does not preclude race track management from canceling racing due to track or weather conditions without consultation with the Presiding Judges and the Horsemen's Representative upon notification of the Commission or its designee.

7.3.10 If qualifying races are postponed or canceled, an announcement shall be made to the participants as soon as the decision is made.

7.3.11 Where a race is postponed pursuant to any of the foregoing provisions only those horses originally declared in to the postponed event shall to be eligible to race. Where a race is postponed and moved to another location, horses previously declared may withdraw without penalty.

7.3.12 In the event the Judges declare a "No Contest", the designated purse for that contest shall be divided equally among those horses that were eligible to participate in that contest. The declaration date for those horses credited with earnings in this manner shall be the scheduled date of the "No Contest" race.

7.4 Horses Permitted to Race

7.4.1 A horse shall be eligible to be declared in to race provided the following conditions have been met:

7.4.1.1 the eligibility fee, which shall become due and payable when a horse makes its first start in any type of race in a calendar year, has been paid to the United States Trotting Association, or a current eligibility certificate has been granted for the horse by the United States Trotting Association or by the Canadian Trotting Association.

7.4.1.2 the horse has been registered in the current ownership with the Canadian Standardbred Horse Society or in the United States Trotting Association Register;

7.4.1.3 if leased, a copy of the lease is on file with, and is acceptable to the United States Trotting Association or Canadian Trotting Association, as appropriate. The horse must race in the name of the lessee;

7.4.1.4 for overnight races, the horse has qualified at an extended meeting in accordance with the rules prior to the time of closing of declarations in accordance with the qualifying standards of the track presenting the race.

7.4.1.5 for added money events, the horse has qualified at an extended meeting in accordance with the rules prior to the time of closing of declarations.

7.4.1.6 not more than 30 days prior to the time of closing of declarations, the horse was credited with a satisfactory charted past performance line obtained in a purse, qualifying or schooling race conducted at a charted meeting; provided, however, that with the permission of the Presiding Judge, a satisfactory charted past performance within 60 days prior to the time of closing of declarations may be used;

7.4.1.7 the horse is at least two years of age to race at any meeting but not older than 14 years of age;

7.4.1.8 the horse has not been denerved by any method above its pastern. The decision at any given time whether the horse has been denerved shall be the State veterinarian's.

7.4.1.9 if a mare has been spayed, the United States Trotting Association or Canadian Trotting Association, as appropriate, has been notified in writing by the owner, trainer or veterinarian;

7.4.1.10 the horse does not have a trachea tube or a hole in its throat for a trachea tube;

7.4.1.11 the horse has unimpaired vision in at least one eye; and

7.4.1.12 the horse has been lip tattooed or freeze-branded or Micro Chipped in accordance with the constitution and bylaws and regulations of the United States Trotting Association or Canadian Standardbred Horse Society.

7.4.2 Any participant who declares, or causes to be declared, an ineligible horse to start shall be guilty of a violation of the rules and subject to disciplinary action by the judges. If after declarations close, and prior to the race, the judges become aware that an ineligible horse has been declared, they shall immediately scratch the horse and starting fees, if applicable, shall be forfeited.

7.4.3 If the ownership of a horse changes, such horse may start under the new ownership not more than one time without reasonable evidence being given to the judges that the registration certificate has been forwarded to the United States Trotting Association.

7.4.4 Any participant skipping or omitting transfers of ownership of any horse shall be guilty of a violation.

7.4.5 For the purposes of these rules, the term eligibility certificate shall refer to a printed document or its electronically produced equivalent.

7.4.6 Horses not under lease must race in the name of the bona fide owner.

7.5 Equipment

7.5.1 Any owner or trainer who wishes to change any equipment or hopples on a horse from one race to another shall apply to the judges for permission to do so, and no change shall be made without such permission. The judges shall assure themselves of the necessity for any change of equipment or hopples before granting permission.

7.5.2 No horse will be permitted in a race to wear any type of equipment that covers, protrudes, or extends beyond its nose or that in any way could interfere with the true placing of the horse.

7.5.3 It shall be the responsibility of the owner and trainer to provide every sulky used in a race with unicolored or colorless wheel discs on the inside and outside of each wheel of a type approved by the Commission. In his discretion, the Presiding Judge may order the use of properly affixed mud guards (fenders) and mud aprons.

7.6 Racing Rules

7.6.1 Under Supervision of Starter

7.6.1.1 Horses shall be under supervision of the starter from the time they arrive on the track until the start of the race.

7.6.1.2 All horses shall parade from the paddock to the starting post, and no driver shall dismount without the permission of the starter. Attendants may not care for the horses during the parade except by permission of the starter.

7.6.1.3 After entering the track not more than ten (10) minutes shall be consumed in the parade of the horses to the post except in cases of unavoidable delay.

7.6.1.4 Horses awaiting post time may not be held on the backstretch in excess of five (5) minutes, except when delayed by an emergency.

7.6.2 Pre‑Race Accidents. When, before a race starts:

7.6.2.1 A horse is a runaway or is otherwise involved in an accident, such horse shall be examined by the racing veterinarian and if the horse is not ordered scratched by the veterinarian, the judges may permit the horse to compete and have this decision announced.

7.6.2.2 A driver is unseated and appears to have been injured, the horse that was being driven by that driver may compete with a substitute driver.

7.6.2.3 If a horse is scratched in error and cannot be added back into the pari-mutuel system, the horse may race for purse only. The judges shall ensure that the race announcer informs the public that the horse will be racing without pari-mutuel wagering.

7.6.3 Fair Start. The starter shall give such orders and take such measures that do not conflict with the rules of racing, as are necessary to secure a fair start.

7.6.4 Starter's Duties

7.6.4.1 The starter shall be in the starting gate ten (10) minutes before the post time of the race.

7.6.4.2 The starter shall have control over the horses and authority to assess fines and/or suspend drivers for any violation of the rules from the formation of the parade until the word "go" is given.

7.6.4.3 The starter may assist in placing the horses when requested by the judges to do so.

7.6.4.4 The starter shall notify the judges and the drivers in writing of penalties imposed by him.

7.6.5 Starting

7.6.5.1 The starter shall have control of the formation of the parade until giving the word "go".

7.6.5.2 After warming up scores, the starter shall notify the drivers to come to the starting gate.

7.6.5.3 The horses shall be brought to the starting gate as near one‑quarter of a mile before the start as the track will permit.

7.6.5.4 The starter shall cause the gate to move toward the starting point, gradually increasing the speed of the gate to maximum speed. When the speed has been reached in the course of a start, there shall be no decrease except in the case of a recall.

7.6.5.5 The starting point will be a point marked at a designated spot not less than 200 feet from the first turn. The starter shall give the word "go" at the starting point.

7.6.6 Recall Rules

7.6.6.1 In case of a recall, a light plainly visible to the drivers shall be flashed and a recall sounded, but the starting gate shall proceed out of the path of the horses. In the case of a recall, whenever possible, the starter shall leave the wings of the gate extended and gradually slow the speed of the gate to assist in stopping the field of horses. In an emergency, however, the starter shall use his discretion to close the wings of the gate.

7.6.6.2 There shall be no recall after the word "go" has been give unless there is a mechanical failure of the starting gate.

7.6.6.3 The starter shall attempt to dispatch all horses away in position and on gait but there shall be no recall for a breaking horse.

7.6.6.4 In the event a horse causes two recalls, it may be scratched by the judges.

7.6.6.5 The starter may sound a recall for the following reasons:

7.6.6.5.1 A horse scores ahead of the gate;

7.6.6.5.2 There is interference;

7.6.6.5.3 A horse has broken equipment;

7.6.6.5.4 A horse falls before the word "go" is given; or

7.6.6.5.5 A mechanical failure of the starting gate;

7.6.6.5.6 A horse comes to the gate out of position.

7.6.6.6 A fine and/or suspension may be applied by the starter or the judges to any driver for:

7.6.6.6.1 Delaying the start;

7.6.6.6.2 Failure to obey the starter's instructions;

7.6.6.6.3 Rushing ahead of the inside or outside wing of the gate;

7.6.6.6.4 Coming to the starting gate out of position;

7.6.6.6.5 Crossing over before reaching the starting point;

7.6.6.6.6 Interference with another driver during the start; or

7.6.6.6.7 Failure to come up into position and stay in position behind the starting gate until the word “go” is given.

7.6.6.6.8 Charging the Gate. Subject to the age, experience and post position of the horse and the condition of the racetrack, during extended pari-mutuel meetings, each horse in the first tier shall approach the starting gate reasonably in concert with the other horses in the field and shall be on the gate at the start. If the judges deem that a driver has intentionally laid off the gate and then charged it near the start in order to gain an advantage at the start, the driver shall be fined or suspended or both.

7.6.7 Starting Gate

7.6.7.1 No persons shall be allowed to ride in the starting gate except the starter and the driver or operator and a patrol judge, unless permission has been granted by the Presiding Judge.

7.6.7.2 Use of the mechanical loudspeaker for any purpose other than to give instructions to the drivers is prohibited. The volume shall be no higher than necessary to carry the voice of the starter to the drivers.

7.6.7.3 The arms of all starting gates shall be provided with a screen or shield in front of the position for each horse.

7.6.7.4 The official starter must ensure that the starting gate is in good working order prior to the beginning of each race program.

7.6.7.5 The official starter and starting gate driver shall operate the starting gate in a manner consistent with the safe conduct of the race, the safety of the race participants and the safety of the patrons.

7.6.8 Two‑Tiered Races

7.6.8.1 In the event there are two tiers of horses, the withdrawing of a horse that has drawn or earned a position in the front tier shall not affect the positions of horses that have drawn or entered positions in the second tier.

7.6.8.2 Whenever a horse is drawn from any tier, horses on the outside move in to fill the vacancy. Where a horse has drawn a post position in the second tier, the driver of such horse may elect to score out behind any horse in the front tier so long as it does not interfere with another trailing horse or deprive another trailing horse of a drawn position.

7.6.8.3 When there is only one trailer, it may start from any position in the second tier. When there is more than one trailer, they must start from inside any horse with a higher post position.

7.6.8.4 In a race with multiple trailers, the driver of the first horse in the second tier may elect to score out behind the first or second horse in the first tier. The horse drawing the second post in the second tier shall score behind the third or fourth horse in the first tier. The horse drawing the third post in the second tier shall score behind the fifth or sixth horse. Any horse drawing a post position outside those already referenced shall be placed in a consistent manner behind the appropriate horses from the first tier. If there are more trailers than designated post positions in the second tier as described above, the judges shall determine proper starting positions for the second tier horses.

7.6.9 Starting Without a Gate

7.6.9.1 When horses are started without a gate the starter shall have control of the horses from the formation of the parade until giving the word "go". The starter shall be located at the wire or other point of start of the race at which point as nearly as possible the word "go" shall be given. No driver shall cause unnecessary delay after the horses are called. After two preliminary warming‑up scores, the starter shall notify the drivers to form in parade.

7.6.9.2 The driver of any horse refusing or failing to follow the instructions of the starter as to the parade or scoring ahead of the pole horse may be set down for the heat in which the offense occurs, or for such other period as the starter shall determine, and may be fined. Whenever a driver is taken down, the substitute shall be permitted to score the horse once. A horse delaying the race may be started regardless of its position or gait and there shall not be a recall because of a bad acting horse. If the word "go" is not given, all the horses in the race shall immediately turn on signal, and jog back to their parade positions for a fresh start. There shall be no recall after the starting word is given.

7.6.10 Horse Deemed a Starter. Horses shall be deemed to have started when the word "go" is given by the starter and all horses must go the course except in the case of an accident in which it is the opinion of the judges that it is impossible to go the course.

7.6.11 Unmanageable/Bad Acting Horses

7.6.11.1 If, in the opinion(s) of the judges and/or the starter, a horse is unmanageable or liable to cause accidents or injury to any other horse or to any driver, it may be sent to the barn. When this action is taken, the starter will notify the judges who will in turn notify the public and order any refunds as may be required in Rule 10 of these rules.

7.6.11.2 The starter may place a bad acting horse on the outside at his discretion. Such action may be taken only where there is time for the starter to notify the judges who will in turn notify the public prior to any pari-mutuel wagering on the race. If pari-mutuel wagering has already begun on the race, the horse must be scratched as stipulated in subdivision 1 above.

7.6.12 Post Positions, Heat Racing

7.6.12.1 The horse winning a heat shall take the inside position in the succeeding heat, unless otherwise specified in the published conditions of the race, and all others shall take their positions in the order they were placed in the prior heat.

7.6.12.2 When two or more horses dead heat, their positions shall be determined by lot.

7.6.13 Conduct of the Race

7.6.13.1 A driver shall not commit any of the following acts which are considered violations of driving rules:

7.6.13.1.1 Change course or position, or swerve in or out, or bear in or out during any part of the race in such a manner as to compel a horse to shorten its stride or cause another driver to change course, take his horse back, or pull his horse out of its stride.

7.6.13.1.2 Impede the progress of another horse or cause it to break from its gait.

7.6.13.1.3 Cross over too sharply in front of another horse or in front of the field.

7.6.13.1.4 Crowd another horse by 'putting a wheel under it.'

7.6.13.1.5 Allow another horse to pass needlessly on the inside, or commit any other act that helps another horse to improve its position.

7.6.13.1.6 Carry another horse out.

7.6.13.1.7 Take up or slow up in front of other horses so as to cause confusion or interference among the trailing horses.

7.6.13.1.8 Maintain an outside position without making the necessary effort to improve his overall position.

7.6.13.1.9 Strike or hook wheels with another sulky, or physically interfere with another horse or driver. For any violation that results in contact with another horse, driver or bike, the driver may receive a driving suspension and /or fine.

7.6.13.1.10 Lay off a normal pace and leave a hole when it is well within the horse's capacity to keep the hole closed.

7.6.13.1.11 Drive in a careless or reckless manner.

7.6.13.1.12 Fail to set, maintain or properly contest a pace comparable to the class in which he is racing considering the horse's ability, track conditions, weather and circumstances confronted in the race.

7.6.13.1.13 Riding 'half-in' or 'half-out'.

7.6.13.1.14 Kicking a horse.

7.6.13.1.15 Excessive and/or unnecessary conversation between and among drivers while on the racetrack during the time when colors are required is prohibited. Any violation of this rule may be punished by a fine, suspension or combination thereof.

7.6.13.1.16 Leaning back more than what is determined by the Judges to be safe in the race bike may result in a fine/suspension. Typically, any lean of 130 degrees or greater is determined to be unsafe.

7.6.13.1.17 Fail to adjust hand holds to ensure maximum control of the horse.

7.6.13.1.18 Turn the horse abruptly after the finish line of the race in order to return to the paddock or barn area.

7.6.13.1.19 The leading horse is not to be more than four feet from the inside rail/pylons except after selecting his position in the home stretch.

7.6.13.2 A complaint by a driver of any foul, violation of the rules or other misconduct during a race shall be made immediately after the race to which it relates, unless the driver is prevented from doing so by an accident or injury or other reasonable excuse. A driver desiring to enter a claim of foul, or other complaint of violation of the rules, shall make this known to the starter before dismounting and shall proceed immediately to the paddock telephone to communicate immediately with the judges. Any driver who is involved in an objection or inquiry shall proceed immediately to the paddock telephone to communicate with the judges. The judges shall not cause the official sign to be posted until the matter has been dealt with.

7.6.13.3 If a violation is committed by a person driving a horse coupled as an entry the judges may set both horses back if, in their opinion, the violation may have affected the finish of the race, otherwise penalties may be applied individually.

7.6.13.4 In the case of interference, collision, or violation of any rules, the offending horse may be placed back one or more positions in that heat or dash, and in the event of such collisions, interference or violation preventing any horse from finishing the heat or dash, the offending horse may be disqualified from receiving any winnings and the driver may be fined or suspended. If a horse is set back, it must be placed behind the horse with which it interfered. If an offending horse has interfered with a horse involved in a dead heat and the offending horse is set back, it must be placed behind the horses in the dead heat.

7.6.13.5 If the judges believe that a horse is, or has been driven with design to prevent it winning a race or races, they shall consider it a violation by the driver.

7.6.13.6 If the judges believe that a horse has been driven in an inconsistent manner, they shall consider it a violation.

7.6.13.7 If the judges believe that a horse has been driven in an unsatisfactory manner due to lack of effort or a horse has been driven in an unsatisfactory manner for any reason, they shall consider it a violation punishable by a fine and/or suspension.

7.6.13.8 If a horse is suspected to have choked or bled during a race, the driver and/or trainer of that horse is required to report this to the judges immediately after the race.

7.6.13.9 If, in the opinion of the judges, a driver is for any reason unfit or incompetent to drive, or is reckless in his conduct and endangers the safety of horses or other drivers in a race, he shall be removed and another driver substituted at any time and the offending driver may be fined, suspended or expelled.

7.6.13.10 If for any cause other than being interfered with, or broken equipment, a horse fails to finish after starting a race, that horse shall be ruled out of any subsequent heat of the same event. If it is alleged that a horse failed to finish a race because of broken equipment, this fact must be reported to the paddock judge who shall make an examination to verify the allegation and report the findings to the judges.

7.6.13.11 A driver must be mounted in the sulky at all times during the race or the horse shall be placed as a non‑finisher.

7.6.13.12 Shouting or other improper conduct in a race is forbidden.

7.6.13.13 Drivers shall keep both feet in the stirrups during the post parade and from the time the horses are brought to the starting gate until the race has been completed. Drivers shall be permitted to remove a foot from the stirrups during the course of the race solely for the purpose of pulling ear plugs and once same have been pulled the foot must be placed back into the stirrup. Drivers who violate this rule may be subject to a fine and/or suspension.

7.6.13.14 Impelling of a Horse

7.6.13.14.1 Whips: Drivers will be allowed whips not to exceed 4 feet, plus a snapper not longer than 6 inches. Modification of a whip is prohibited.

7.6.13.14.1.1 Use: At all times, the use of a whip shall be confined to the areas above and between the sulky shafts and the outside wheel disks. Drivers are prohibited from using the whip in a one handed striking motion from the start of the race until the horse reaches the 1/4 mile pole. The one handed use of the whip shall be limited to the striking of the shafts of the sulky or the saddlepad.

7.6.13.14.1.1.1 The terms “striking” or “one handed striking motion” shall not be construed to mean a light tapping with the whip, at any point in the race, while maintaining a line in each hand.

7.6.13.14.1.2 Drivers shall keep a line in each hand from the start of the race until the quarter pole.

7.6.13.14.1.3 From the quarter pole to the 7/8th pole, a driver may only use the whip once for a maximum of three strokes, but must pause after each strike (NO REPETITIVE WHIPPING).

7.6.13.14.1.4 Once the lead horse has reached the 7/8 mile pole, the driver may, in a one handed motion, strike the shaft of the sulky or the saddlepad in a reasonable and responsible manner.

7.6.13.14.2 Violations:

7.6.13.14.2.1 Whipping under the arch or shafts of the sulky

7.6.13.14.2.2 Whipping a horse after the race

7.6.13.14.2.3 Causing injury (visible or not) with a whip

7.6.13.14.2.4 Striking or jabbing a horse with the butt end of a whip

7.6.13.14.2.5 Whipping a horse that is out of contention

7.6.13.14.2.6 Any blatant or exaggerated movements of the whipping arm which will result from raising the elbow above the driver’s shoulder height or allowing the hand holding the whip to reach behind the driver while striking with the whip.

7.6.13.14.2.7 Brutal, excessive, and/or indiscriminate use of a whip.

7.6.13.14.2.7.1 Inspections: At extended pari-mutuel meetings, under the supervision of the judges, there may be a mandatory inspection of each horse following each race for evidence of excessive or brutal use of the whip. At all other meetings, the judges shall have the authority to order and/or conduct such inspections at their discretion.

7.6.13.15 The use of any goading device, or chain, or spur, or mechanical or electrical device other than a whip as allowed in the rules, upon any horse, shall constitute a violation.

7.6.13.16 The possession of any mechanical or electrical goading device on the grounds of an Association shall constitute a violation.

7.6.13.17 The judges shall have the authority to disallow the use of any equipment or harness that they feel is unsafe or not in the best interests of racing.

7.6.13.18 When a horse breaks from its gait, it shall be considered a violation on the part of the driver for:

7.6.13.18.1 Failure to take the horse to the outside of other horses where clearance exists.

7.6.13.18.2 Failure to properly attempt to pull the horse to its gait.

7.6.13.18.3 Failure to lose ground while on a break.

7.6.13.18.4 If no violation has been committed, the horse shall not be set back unless a contending horse on his gait is lapped on the hind quarter of the breaking horse at the finish. The judges may set any horse back one or more places if in their judgment, any of the above violations have been committed, and the driver may be penalized.

7.6.13.18.5 Any horse making a break which causes interference to other horses may be placed behind all offended horses. If there has been no failure on the part of the driver of the breaking horse in complying with Rule 7.6.13.20, no fine or suspension shall be imposed on the driver as a consequence.

7.6.13.19 If, in the opinion of the judges, a driver allows a horse to break for the purpose of losing a race, he or she shall be in violation of the rules.

7.6.13.20 It shall be the duty of one of the judges to call out every break made and have them duly recorded in judges official race reports.

7.6.13.21 The horse whose nose reaches the wire first is the winner. If there is a dead heat for first, both horses shall be considered winners. In races having more than one heat or dash, where two horses are tied in the summary, the winner of the longer dash or heat shall be entitled to the trophy. Where the dashes or heats are of the same distance and the horses are tied in the summary, the winner of the faster dash or heat shall be entitled to the trophy. Where the dashes or heats are of the same time, both horses shall be considered winners and the entitlement of the trophy will be decided by lot.

7.6.13.22 The wire or finish line is a real line established with the aid of a surveyor's transit, or an imaginary line running from the center of the judges' stand to a point immediately across and at right angles to the track.

7.6.13.23 If, during the preliminary scores or during a race a driver is unseated in such a manner that he or she falls to the ground, the Presiding Judge or judges may direct the driver to report to the infirmary or to the emergency department of the nearest hospital for examination and receive clearance to continue with driving assignments on that day of racing.

7.6.13.24 In the event a driver is involved in an incident on or off the track that requires medical attention, the driver must provide medical clearance from a licensed medical professional or an on-track emergency medical technician (EMT) stating that he/she can resume his/her duties.

7.6.13.25 If a horse is to warm up it must go its last warm‑up on the same racing strip as it will compete on unless excused by the judges.

7.6.14 Harness Race Track Without a Hubrail

7.6.14.1 If at a racetrack which does not have a continuous solid inside hub rail, a horse or part of the horse's sulky leaves the course by running over or going inside the pylons or other demarcation which constitutes the inside limits of the course, the offending horse may be placed one or more positions where, in the opinion of the judges, the action gave the horse an unfair advantage over other horses in the race, or the action helped the horse improve its position in the race. Drivers may be fined or suspended for permitting a horse’s sulky to run over or go inside the pylons or other demarcation which constitutes the inside limits of the course. In addition, when an act of interference causes a horse or part of the horse's sulky to cross the inside limits of the course, and the horse is placed by the judges, the offending horse shall be placed behind the horse with which it interfered.

7.6.14.2 In the event a horse or part of a horse’s sulky leaves the course for any reason, it shall be the driver’s responsibility to take all reasonable steps to safely reenter the race course as soon as possible.

7.6.15 Extended Homestretch

7.6.15.1 With approval of the Commission, a track may extend the width of its homestretch up to 10 feet inward in relation to the width of the rest of the racetrack.

7.6.15.2 In the event the home stretch is expanded pursuant to 7.6.15.1 above, the following shall apply:

7.6.15.2.1 When entering or while going through the homestretch for the first time in a race, no horse shall use the expanded inside lane in an attempt to pass other horses or improve its position. Any horse, which does so shall be disqualified and placed last in the order of finish.

7.6.15.2.2 The lead horse in the homestretch shall maintain as straight a course as possible while allowing trailing horses full access to the extended inside lane.

If, in the opinion of the judges, the lead horse changes course in the homestretch in an attempt to prevent a trailing horse from passing, said horse shall be placed accordingly.

7.6.15.2.3 Horses using the expanded inside lane during the homestretch drive for the finish of the race, must first have complete clearance of the pylons marking the inside boundary of the racecourse. Any horse or sulky running over one or more of the pylons or going inside the pylons while attempting to use the expanded inside lane, may be disqualified or placed back one or more positions.

7.6.15.2.4 A horse may only be driven into the expanded homestretch lane for the purpose of passing another horse and may not be driven into the expanded homestretch lane for the purpose of blocking a trailing horse. If, in the opinion of the judges, a horse is driven into the expanded homestretch lane for the purpose of blocking a trailing horse, the driver of the blocking horse may be fined and/or suspended and the horse may be placed accordingly.

1 DE Reg. 923 (01/01/98)

2 DE Reg. 684 (10/01/98)

2 DE Reg. 1764 (04/01/99)

3 DE Reg. 432 (09/01/99)

3 DE Reg 1520 (05/01/00)

4 DE Reg 336 (08/01/00)

7 DE Reg. 42 (07/01/03)