Thoroughbred Racing Commission
ORDER
Pursuant to 29 Del. C. §10118 and 3 Del. C. §10103(c), the Delaware Thoroughbred Racing Commission (“Commission”) hereby issues this Order promulgating proposed amendments to the Commission’s Rules. Following notice and a public hearing held on May 23, 2000 on the proposed Rules, the Commission makes the following findings and conclusions:
SUMMARY OF EVIDENCE AND INFORMATION SUBMITTED
1. The Commission posted public notice of the proposed rule revisions in the May 1, 2000 Register of Regulations and in the News-Journal and the Delaware State News. The proposal contained proposed changes to the Commission’s existing rules. The Commission scheduled a public hearing for May 23, 2002. At the public hearing, the Commission received no public comments. The Commission also received no written comments during the comment period in May, 2000.
FINDINGS OF FACT
3. The public was given notice and an opportunity to provide the Commission with comments in writing and by testimony at the public hearing regarding the proposed rule amendments. The Commission received no comments from the public.
4. The Commission proposed changes to thirty rules with the changes designed to clarify the role of the Commission and the racetrack in the current racing operations. The proposed changes are to the following rules: Rule 2.01, Rule 2.02, Rule 2.03, Rule 2.04, Rule 2.05, Rule 2.06, Rule 2.07, Rule 2.08, Rule 2.09, Rule 3.02, Rule 3.03, Rule 4.01, Rule 5.32, Rule 6.01, Rule 6.02, Rule 6.04, Rule 7.01, Rule 7.02, Rule 7.03, Rule 7.06, Rule 8.01, Rule 9.01, Rule 9.03, Rule 9.04, Rule 9.05, Rule 10.03, Rule 10.04, Rule 11.02, and Rule 15.02.
5. The proposed changes are mostly stylistic changes to more accurately designate the roles of the Commission and the licensed racetrack in the licensing and regulation of race participants and in the employment of racing officials. The Commission finds that the proposed rules are necessary changes to the Commission’s rules of racing.
CONCLUSIONS
6. The proposed rules were promulgated by the Commission in accord with its statutory duties and authority as set forth in 3 Del. C. §10103.
7. The Commission deems these rules as proposed to be necessary for the effective enforcement of 3 Del. C. chapter 101 and for the full and efficient performance of the duties thereunder.
8. The Commission concludes that the adoption of the proposed rules is proper and necessary to properly reflect the nature of the current thoroughbred racing operations in Delaware. The Commission therefore adopts the proposed rule amendments as published in the May, 2000 Register of Regulations. These rules replace in their entirety the former version of the Rules of the Delaware State Thoroughbred Racing Commission.
9. The effective date of this Order shall be ten (10) days from the publication of this order in the Registrar of Regulations on July 1, 2000.
IT IS SO ORDERED this 1st day of June, 2000.
Bernard Daney, Chairman
Duncan Patterson, Commissioner
James Decker, Commissioner
Carolyn Wilson, Commissioner
Robert Kerr, Commissioner
PART 2 -- PERMITS, REGISTRATIONS AND AUTHORIZATIONS
2.01 Conditions precedent to registration or issuance of authorization or permit.
Thoroughbred racing and participation therein within Delaware are privileges, not rights, which are subject to the conditions and requirements imposed by these Rules. Acceptance of an authorization, registration or permit as provided for by these Rules shall constitute the recipient’s consent and agreement to the requirements of these Rules, and failure to comply therewith shall be grounds for immediate voidance or revocation of such authorization, registration or permit. Registrants and Permittees shall abide by all rulings and decisions of the Commission, the Licensee and/or of the Stewards, and all such rulings and decisions shall remain in force unless and until reversed or modified by the Commission upon proper appeal thereto, or a court of competent jurisdiction.
All rulings and decisions of the Stewards may be appealed to the Commission upon deposit of an appropriate sum to defray all costs attendant.
By applying for and/or accepting any authorization, registration or permit provided for by these Rules, the Permittee or Registrant consents: (1) to a search by the Licensee and/or by the Commission, or their respective representatives, of his person and any property in his possession, such property being restricted to that on Licensee's grounds and including, without limiting thereby, tack rooms, living or sleeping quarters, motor vehicles, trunks, boxes and containers of any sort; and (2) to seizure of any object which may be evidence indicating a violation of these Rules; and (3) to having his photograph and fingerprints taken and retained on file by Licensee the Commission and/or any other security or investigative agency or entity it may select. During the conduct of an investigation, every Permittee or Registrant shall respond correctly under oath to the best of his knowledge to all questions asked by the Commission, the Licensee, the Stewards or their respective representatives, pertaining to racing matters.
2.02 By Whom Required:
No person shall participate in Thoroughbred Racing in Delaware at any Licensee's racetrack as a horse Owner, Trainer, Assistant Trainer, Authorized Agent, Jockey, Apprentice Jockey, Jockey's Agent, Stable Agent, Stable Employee, Racing Official, Licensee's employee, or employee of a person or concern contracting with the Licensee to provide a service or commodity and which employment requires his presence on Licensee's grounds during a race meeting, or Veterinarian, Farrier, Dental Technician or supplier of food, tack, medication or horse feed, without first securing such authorization or permit therefor from the Commission Licensee in such form, upon such conditions, and for such fees or charges, as it from time to time, with the Commission's approval, may require.
2.03 Registrar:
The Licensee is authorized, with the approval of the Commission, to employ a Registrar who shall be responsible for processing applications for authorizations, permits, and registrations of all persons for whom such is required by the preceding section. He also shall be responsible for collecting all requisite fees and charges therefor. All such applications received by the Registrar and granted by him shall be subject to reversal by the Commission for any reason it might deem necessary or appropriate.
A person may serve concurrently as Registrar and as a Steward. The Registrar and his assistants shall:
(a) Be present on Licensee's grounds prior to the opening of a race meeting, and during the meeting, to accept such applications and registrations, and shall maintain an office on Licensee's grounds for such purpose.
(b) File reports to the Commission respecting such applications with accountings of fees received therefor, as and when required by the Commission.
(c) Be responsible for arranging the photographing and fingerprinting of all such applicants for whom Licensee requires such.
2.04 Standards for Granting Permits, etc., to Participants in Racing:
The Commission Licensee, by its Registrar, may allow registration or issue an authorization or permit to any person who applies for same to participate in Thoroughbred Racing at Licensee's racetrack in Delaware as a horse Owner, Trainer, Assistant Trainer, Authorized Agent, Jockey, Apprentice Jockey, Jockey's Agent, Stable Agent, Stable Employee, Racing Official, Licensee's employee, employee of a person or concern contracting with the Licensee to provide a service or commodity and which requires his presence on Licensee's grounds during a race meeting, or Veterinarian, Farrier, Dental Technician, or supplier of food, tack, medication, or horse feed, if the Commission Licensee, by its Registrar, finds that the financial responsibility, age, experience, reputation, competence, and/or fitness of the applicant to perform the activity so registered or permitted by an authorization or permit, are consistent with the best interests of racing and maintenance of the honesty, integrity, and high quality it heretofore has enjoyed in Delaware.
2.05 Grounds for Refusal, Suspension, or Revocation of a Permit, etc.:
The Commission Licensee in its discretion, by its Registrar, may refuse to register or to issue an authorization or permit to an applicant, or may suspend or revoke a registration, permit, or authorization previously issued, or order disciplinary measures, on the following grounds:
(a) Denial of a license, permit, authorization or registration to an applicant, or suspension or revocation of such, in another racing jurisdiction at any previous time;
(b) Conviction of a crime or violation of any narcotic regulation, or association with any person who has been so convicted;
(c) Falsification, misrepresentation, or omission of required information in the application submitted to the Commission Licensee; failure to disclose to the Licensee complete ownership or beneficial interest in a horse entered to be raced; misrepresentation or attempted misrepresentation in connection with the sale of a horse or other matter pertaining to racing or registration of Thoroughbreds or Arabians;
(d) Failure to comply with any order or ruling of the Commission, the Licensee, Stewards, or Racing Official pertaining to a racing matter;
(e) Ownership of any interest in, or participating by any manner in, any bookmaking, pool-selling, touting, bet solicitation, or illegal enterprise, or association with any person ever so engaged in such activity;
(f) Person less than 16 years of age;
(g) Person unqualified by experience or competence to perform the activity or hold the status for which registration, permit, or authorization is sought;
(h) Intoxication, use of profanity, fighting, or any conduct of a disorderly nature, on Licensee's grounds;
(i) Employment or harboring of unauthorized persons required by these Rules to register or have a permit or authorization;
(j) Discontinuance of or ineligibility for activity for which registration, permit, or authorization was issued;
(k) Possession on Licensee's grounds, without written permission therefor from the Commission, the Licensee, or the Stewards, of:
(1) Firearms;
(2) Battery, or buzzer, or electrical device, or other appliance other than an ordinary whip which could be used to alter the speed of a horse in a race or workout;
(l) Possession on Licensee's grounds by a person other than a licensed Veterinarian of:
(1) Hypodermic needle, or hypodermic syringe, or other device which could be used to administer any substance to a horse;
(2) Narcotics, or medication, or drug, or substance which could be used to alter the speed of a horse in a race.
(m) Use of profane, abusive or insulting language to or interference with a Commissioner, member of the Commission staff, or Racing Official, while such persons are in the discharge of their duties;
(n) Cruelty to a horse or neglect of a horse entrusted to a permittee's care;
(o) Offering, promising, giving, accepting or soliciting a bribe in any form, directly or indirectly, to or by a person having any connection with the outcome of a race, or failure to report knowledge of same immediately to the Stewards;
(p) Causing, or attempting to cause, or participation in any way in any attempt to cause the pre-arrangement of a race result, or failure to report knowledge of same immediately to the Stewards;
(q) Entering, or aiding or abetting the entering of, a horse ineligible or unqualified for the race entered;
(r) Drug addiction, public drunkenness, financial irresponsibility or failure to pay debts when due, bad moral character, intemperate habits, bad reputation for honesty, truth and veracity, past instance of lying, cheating, or stealing, or involvement in a subject of public notice as involved in any activity which, in the opinion of the Licensee, would be inconsistent with the best interests of racing by reflection on the honesty and integrity of the sport of racing, or association with persons so characterized;
(s) Violation of any rule of the Commission, or aiding or abetting any person in the violation of any such rule;
(t) Unfavorable report, on any of the grounds hereinbefore stated, by recognized law enforcement authorities, the Licensee's security director or his designee, inspection bureaus, credit reporting companies, courts or like organizations upon whom the Commission Licensee is authorized to rely if it chooses in any given cause to do so;
Rule 2.05(t) adopted 7/2/96
(u) Past or contemplated conduct or utterance which, in Licensee's or its Registrar's judgment or opinion, does or may adversely affect, whether intentionally or unintentionally, and whether in fact or only seemingly, the public's confidence in the reputation Thoroughbred racing heretofore has enjoyed in Delaware for stringent adherence to uncompromising standards of honesty, integrity and propriety;
(v) Failure to submit to having his photograph and fingerprints taken and maintained by the Commission or the Licensee.
2.06 Permit Application for Participants in Racing:
Any person required to register or have an authorization or permit by Rule 2.02 who desires to participate in Thoroughbred Racing and/or Arabian Racing in Delaware may apply to the Commission Licensee for registration, authorization or permit to participate in racing at Licensee's racetrack. Such application shall be made in writing on application forms prescribed by the Licensee and approved by the Commission and filed at the Licensee's general office or with the Licensee's Registrar on or after January 2 of the calendar year in which the registration, permit, or authorization is to be in force, but not later than 24 hours after applicant has arrived on Licensee's grounds.
All owners and trainers shall carry workmen's compensation insurance covering all their employees. This paragraph is intended to include all individuals employed by Owners and Trainers in the training and racing of horses. All concessionaires shall carry workmen's compensation covering all their employees.
(a) Applications from persons not previously registered or granted an authorization or permit at Licensee's racetrack shall include the names of two reputable persons who will attest to the good reputation of the applicant and to the capability and general fitness of the applicant to perform the activity permitted by the permit.
(b) Applications from persons whose age is not readily ascertainable by the Licensee or its Registrar shall be accompanied by an attested copy of birth certificate or work permit showing applicant is 16 years of age or older.
(c) Fingerprint identification, as well as a photograph, will be required of all registrants and permittees unless waived by the Licensee (e.g., absentee owners and casual delivery personnel who do not enter the stable area).
(d) Applications from persons, corporations, partnerships, lessees, or other legal entities involving more than one individual person desiring to race horses at Licensee's racetrack in Delaware shall, in addition to designating the person or persons to represent the entire ownership of such horses, be accompanied by documents which fully disclose the identity and degree and type of ownership held by all individual persons who own or control, directly or indirectly, as a stockholder, syndicate participant, partner, or otherwise, a present or reversionary interest in such horses. No application shall be acted upon by the Licensee until it is satisfied a full disclosure has been made.
(e) Applications from persons desiring to treat, or prescribe for, or attend any horse on Licensee's grounds as a practicing Veterinarian, shall be accompanied by evidence that such person is currently licensed as a Veterinarian by the State of Delaware. An accredited practicing Veterinarian not holding a permit or authorization from the Licensee or a license from the State of Delaware, however, may with permission of the Stewards in an emergency be called in as a consultant, or to serve as a Veterinarian for one horse on a temporary basis, and shall not thereby be considered as participating in racing in this State.
(f) Applications from persons desiring to treat, or prescribe for, or attend any horse on Licensee's grounds as a Dental Technician shall be accompanied by the name of a licensed Veterinarian who will attest to the technical competence of such applicant and under whose sponsorship and direction such applicant will work on Licensee's grounds.
(g) As a condition precedent to the registration or issuance of any permit or authorization required of participants in racing by these Rules, the Commission Licensee or its Registrar on its behalf shall be entitled to charge and collect, and each applicant shall be required to pay, an annual fee in such amount as permitted by 3 Del. C. chapter 101 as from time to time shall be approved by the Commission for each activity or status for which applicant seeks registration or the issuance of a permit or authorization.
All fees so collected by the Licensee or its Registrar on its behalf may be retained by Licensee, as its own funds, to defray its costs and expenses in processing and administering the registrations, permits and authorizations required by these Rules for the purpose of protecting and maintaining the integrity and good reputation of Thoroughbred Racing conducted in Delaware.
The Commission, pursuant to 3 Del.C. §10131, shall have the power to impose license fees for those participating in a racing meet. The license fees for participants in a racing meet, if imposed by the Commission, shall be payable to the Commission as follows:
(1) $50 for all owners and all trainers.
(2) $30 for all veterinarians, farriers, jockeys, apprentice jockeys, jockey agents, and assistant trainers.
(3) $15 for all licensee vendors and vendor employees.
(4) $5 for all stable employees and association employees.
Activities for which such fees may be charged and collected may include the following categories:
1. Owner registration, Stable Name, Partnerships, and annual color registration;
2. Trainer, Assistant Trainer, Authorized Agent, Jockey, Apprentice Jockey, or Jockey's agent registration or authorization;
3. Veterinarian, Dental Technician, Assistant Trainer, Farrier, or Apprentice Farrier authorization;
4. Stable Agent, Stable Employee authorization (foreman, exercise boy, groom, hotwalker, watchman or pony boy);
5. Stable-area Supplier authorization (suppliers of horse feed, tack, medications or food vendors);
6. Racing Department Employee authorization, Steward, Racing Secretary, Assistant Racing Secretary, Director of Racing, Starter and Assistant Starter, Paddock Judge, Patrol Judge, Placing Judge, Timer, Veterinarian, Chemist, Security Personnel, testing laboratory employee, Horse Identifier, Valet, jockey room Custodian, Clerk of Scales, Entry Clerk, photo finish operator, film patrol or video tape operator and projectionist, Flagman or Outrider;
7. Mutuel Department employee authorization, manager, calculator, sheet writer, supervisor, ticket checker, ticket seller, ticket cashier, messenger, runner, outbook clerk, program clerk, porter, information and change clerk, boardman, ticket room and money room clerk, assistant, totalizator employee;
8. Occupational authorization, Admission Department Manager and employees; concessions manager and employees; parking manager and employees; Security Department including police chief, detectives, policemen, watchmen, firemen, ambulance drivers and attendants; track superintendent, groundsmen, mechanics, carpenters; Maintenance Department Manager and employees; all other persons employed by the Licensee or employed by a person or concern contracting with the Licensee to provide a service or commodity and which employment requires their presence on Licensee's grounds during a race meeting;
9. Temporary occupational authorization for persons to be employed for ten days or less during a calendar year.
Rule 2.06 revised 7/2/96.
2.07 Registrar:
The Commission Licensee or its Registrar shall review all registrations, authorizations and permits subject to such security check and other investigation in appropriate instances as it may deem necessary or desirable, and may issue to a permit applicant a temporary authorization or permit to participate in the activity for which application is made pending further processing, investigation, and final action on such application subsequently.
2.08 Term of Authorization:
Registrations, authorizations and permits issued by the Commission Licensee or its Registrar hereunder for participants in Thoroughbred Racing at its racetrack shall be valid from the date of issuance through the calendar year shown on such license at all race meetings conducted by said Licensee during such calendar year, unless sooner suspended, revoked or voided, or otherwise permitted by 3 Del.C. chap. 101. The Commission Licensee or its registrar may renew any authorization or permit and any such renewal shall not be construed to be a waiver or condonement of any violation which occurred prior to such renewal and shall not prevent subsequent proceedings against the holder thereof.
The validity of a registration, permit or authorization does not preclude or infringe upon the common law and absolute right of any Licensee in Delaware, without necessity for giving reason or excuse, to eject or exclude any person from its premises at any time.
2.09 Possession of identification card required:
No person required by these Rules to be registered by, or to have an authorization or permit from the Commission Licensee, may participate in any activity for which such is required on Licensee's grounds during a race meeting without having been issued an identification card containing his or her photograph which shall evidence such authorization and having the same in his or her possession.
With respect to Owners, or in special cases with respect to others, Licensee may waive this requirement. Also, see Rule 6.01.
PART 3 -- STEWARDS
3.02 Appointment of Stewards:
There shall be three Stewards at each race meeting, each of whom shall be appointed by the Licensee, subject to the approval of the Commission. Names of the Licensee's appointments for Stewards shall be submitted for approval to the Commission as early as possible, but not later than 30 days before commencement of Licensee's race meeting except for good cause. If required by the Commission, biographical data setting out the experience and qualifications of the nominees shall be provided to the Commission by the Licensee. The Licensee shall submit successive nominees until three persons are approved by the Commission as qualified to serve as Stewards. No Steward shall serve until approved by the Commission.
(a) Stewards shall serve from one minute after midnight on the day before the first racing day until one minute before midnight on the day after the last racing day of the race meeting for which they are appointed; provided, in the event a dispute or controversy arises during a race meeting which is not settled at the conclusion of the race meeting, then the power of the Stewards shall be extended over the period necessary to resolve the matter, or until the matter is referred or appealed to the Commission;
(b) With the approval of the Commission, Stewards may be replaced by the Commission Licensee at any time for failure to perform their duties properly and diligently;
(c) In the event that during a racing meet a Steward becomes ill, resigns, or is unable to serve for any reason, then the remaining Stewards, after obtaining approval of the Commission Licensee, shall nominate a successor or temporary Steward to the Commission for approval. In emergencies, a single Commissioner by telephone may approve appointment of a successor Steward.
3.03 General Powers of the Stewards
The Stewards shall exercise immediate supervision, control and regulation of racing at the race meeting for which they are appointed. By way of illustration and without in any way limiting them, the powers of the Stewards shall include:
(a) Authority over all horses and all persons (except members of the Commission and its representatives, and except Licensee's management personnel and staff) on Licensee's grounds during a race meeting as to all matters relating to racing;
(b) To determine all questions, disputes, protests, complaints, or objections concerning racing (as distinguished from Licensee's business operations and affairs) which arise during a race meeting, and to enforce such determinations. All three Stewards shall be on Licensee's grounds before post time for the first race until conclusion of the last race. Except for good cause, all three Stewards shall be present in the Stewards' stand during the running of each race;
(c) It is preferred but not required that at least one Steward, or a designated representative of the Stewards, be present in the paddock at least 20 minutes before each race and remain there until the horses leave for the starting gate, to observe the conduct of all persons in and around the paddock and to inspect, with the Paddock Judge and Commission’s Licensee's Veterinarian, all horses for fitness;
(d) When requested by the Commission Licensee or its Registrar, to review all applications for registrations or permits to participate in racing, and, if requested by Licensee or by the Commission, to administer, or cause to be administered by technically qualified persons, standard examinations to all first-time applicants to be registered as or receive a permit to be a Trainer, Jockey, Apprentice Jockey, Veterinarian, Dental Technician, or Farrier, and, when requested, make recommendations to the Licensee as to the qualifications of all applicants for registrations or permits to participate in racing;
(e) When requested by the Commission Licensee or its Registrar, to review all licenses, registration certificates, and all contracts, papers, and other documents pertaining to the sale or ownership of a horse, payment of purse money, Jockey and Apprentice Jockey contracts, appointments of agents, adoptions of racing colors or stable name, and advise upon the eligibility and appropriateness thereof for participation in racing in Delaware;
(f) To call for proof of eligibility of a horse or person to participate in a race if such is in question, and in the absence of sufficient proof to establish eligibility, the Stewards may rule such horse or person ineligible;
(g) To review stall applications and advise Licensee of undesirable persons, if any, among Owners and Trainers applying for stalls, and provide the Licensee with information pertaining to such undesirable persons;
(h) To supervise the taking of entries and receive all declarations and scratches, and determine all questions arising and pertaining to same. The Stewards may in their discretion refuse the entry of any horse by any person or refuse to permit a declaration or scratch, or may limit entries in any way. Upon suspicion of fraud or misconduct, the Stewards may excuse a horse or replace any Jockey or Trainer, or Racing Official other than a Steward;
(i) All other powers enumerated in these Rules, together with such other powers as are necessary to promote and maintain stringent standards for honesty, integrity, and propriety for Thoroughbred Racing in Delaware.
PART 4 -- RACING OFFICIALS
4.01 Racing Officials
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 this chapter. The Commission, for the purpose of maintaining the integrity and honesty in racing, shall prescribe by administrative regulation the powers and duties of the persons employed under this section and qualifications necessary to perform those duties.
Persons appointed by the Licensee to serve as Racing Officials during a race meeting must first be approved by the Commission, shall serve only so long as approved by the Commission, and shall be under the supervision of the Stewards. For purposes of these Rules, Racing Officials shall include those persons serving as Steward, Racing Secretary, Assistant Racing Secretary, Clerk of the Scales, Paddock Judge, Starter, Patrol Judge, Placing Judge, Timer, Identifier and Veterinarian.
(a) No person while serving as a Racing Official shall, directly or indirectly, own a beneficial interest in a Thoroughbred, or Jockey contract, or Licensee under his supervision; nor shall he cause to be sold, for himself or another, any Thoroughbred under his supervision; nor shall he wager on any race under his supervision; nor shall he write or solicit horse insurance or have any monetary interest in any business which seeks the patronage of horsemen or racing associates as such. For the purposes of the above, the following employees shall also be deemed Racing Officials: Assistant Starter, Jockey Room Custodian, Jockey Room Employees, Valets, Outriders.
No person shall be appointed to or hold any such office or position who holds any official relation to any person, association, or corporation engaged in or conducting thoroughbred racing within this state. No Commissioner, racing official, steward, or judge whose duty it is to insure that the rules and regulations of the Commission are complied with shall bet on the outcome of any race regulated by the Commission. All persons appointed under 3 Del. C. §10107(a-c) shall serve at the pleasure of the Commission and are to be paid a reasonable compensation.
(b) Racing Officials serving in the capacity of Stewards, Placing and/or Patrol Judges, Clerk of Scales, Starter and Horse Identifier shall have good vision and an ability to distinguish colors correctly.
(c) Any Racing Official who desires to leave his employment during the race meeting must first obtain permission from the Commission; in the event a vacancy occurs among Racing Officials other than Stewards, the Licensee shall promptly appoint a successor, subject to approval of the Commission; in the event the Licensee does not appoint a successor in time to permit the orderly conduct of racing, then the Stewards shall immediately appoint a temporary successor.
PART 5 -- LICENSEES
5.32 Commission’s Licensee's Veterinarian:
The Commission will Each Licensee shall employ a graduate Veterinarian, licensed in Delaware, experienced in equine medicine and practice who, aided by such Assistant Veterinarians possessing like qualifications as Licensee may employ, shall be responsible for inspecting all horses entered and advising upon their racing soundness. Such Veterinarian also shall maintain and post in the Racing Secretary's office a Veterinarian's list of horses ineligible to race because of sickness or unsoundness. Additionally, he shall supervise the following: control of communicable equine diseases; insect control; sanitary conditions in the stable area; and cruel and inhumane treatment of horses, etc.
(a) The Commission’s Licensee's Veterinarian shall be attendant on the Stewards and the Racing Secretary at scratch time each day, shall examine such horses as such Racing Officials may request, and shall make reports to such Racing Officials as promptly as possible;
(b) The Commission’s Licensee's Veterinarian also shall be responsible for inspecting every horse entered on the day of the race for which such horse is entered. Such inspection shall be for physical fitness, general condition and for any noticeable unsoundness or peculiarities that may affect the racing condition of the horse, or be considered for the scratch of a horse on a muddy or sloppy track. Such pre-race examinations shall be recorded on a Health Record for every starter at the race meeting.
(c) The Commission’s Licensee's Veterinarian shall be present in the paddock for saddling, shall accompany each field to the starting post, and shall observe all horses after the finish of each race. If, in his opinion, a horse suffers an injury while in the paddock, during the post parade, or at the starting gate, which shall render such horse unfit to race, he shall recommend to the Stewards that the horse be excused and placed on the Veterinarian's List. All horses requested to be scratched for physical reasons after scratch time shall be inspected by the Commission’s Licensee's Veterinarian who shall report the condition of such horses to the Stewards.
(d) No Commission’s Licensee's Veterinarian during his employment by a Licensee shall be permitted to engage in private veterinary practice involving Thoroughbreds, nor be employed by or receive any compensation directly or indirectly from any licensed Owner or Trainer, nor sell or buy, for himself or another, any Thoroughbred, nor place any wager in any manner on any race run at Licensee's premises, nor sell any drug supplies, nor sell horse insurance, nor be licensed to participate in racing in any other capacity.
PART 6 -- OWNERS
6.01 Registration Required:
No horse may be entered or raced in Delaware unless the Owner or each of the part Owners has been granted a current Owner's registration by the Commission Licensee or its Registrar, except that for good cause shown, a temporary registration may be issued which will be valid for entering and racing pending administrative processing and final action by the Commission Licensee or its Registrar on such Owner's registration application, but in no event shall such temporary registration be considered valid longer than two weeks subsequent to the date such registration application was submitted.
6.02 Requirements for Owner's Registration:
In addition to satisfying the requirements applicable to Permittee, et al., imposed by Part 2 of these Rules, in order to be eligible for registration as an Owner, a person also:
(a) Must be an individual 18 years of age or older.
(b) All Owners and Trainers shall carry workmen's compensation insurance covering all their employees. This paragraph is intended to include all individuals employed by Owners and Trainers in the training and racing of horses.
(c) Must own or have under lease a horse eligible to race and be prepared to prove such upon call of the Stewards.
(d) Must not engage in any activity directly or indirectly involving the racing performance of horses on Licensee's grounds owned and trained by others.
1. The Commission or its designee, Licensee, or its Registrar, may deny, suspend or revoke an Owner's registration for the spouse, or any member of the immediate family or household, of a person ineligible to be registered as an Owner, unless there is a showing by the applicant or registered Owner, and the Commission Licensee or its Registrar so finds, that his participation in racing as an Owner will in no way circumvent the intent of this Rule by permitting a person, under the control or direction of a person ineligible for an Owner's registration, to serve in effect as the alter ego of such ineligible person.
2. A registered Owner or Trainer may personally serve as a Farrier or Jockey for horses he owns or are registered in his care, provided he has received from the Stewards a certification of his fitness as a competent Farrier or Jockey.
6.04 Joint Ownership:
No more than four individual persons may be registered as Owners of a single horse.
(a) In the event more than four individual persons own interests in a single horse, through a partnership, corporation, syndication or other joint venture, then such individual persons may designate in writing a member of the partnership, corporation, syndicate or joint venture to represent the entire ownership of and be responsible for such horse as the registered Owner thereof.
(b) Such agreement or lease shall accompany the application for an Owner's registration. Each person designated as representing the entire ownership of a horse must be registered.
(c) The Commission Licensee or its Registrar may deny, suspend or revoke the registration of any Owner whose ownership of a horse is qualified or limited in part by rights or interests in or to such horse held or controlled by any other individual person or persons ineligible to be registered as an Owner thereof.
PART 7 -- TRAINERS
7.01 Registration Required:
No horse may be raced in this State unless the Trainer thereof has been granted a current Trainer's registration by the Commission Licensee or its Registrar.
7.02 Requirements for Trainer's Registration:
In addition to satisfying the requirements applicable to Permittees, et al., imposed by Part 2 of these Rules, in order to be eligible for registration as a Trainer, a person:
(a) Must be an individual 18 years or older; no Trainer may be licensed to train under an assumed or stable name;
(b) Must be qualified by experience or competence to care for and train race horses;
(c) Must have in his charge a horse eligible to race;
(d) Must not engage in any activity directly or indirectly involving the racing performance of horses on Licensee's grounds other than those registered as being in his charge.
1. A registered Trainer may not concurrently participate in racing in this State as a Jockey, Apprentice Jockey, Jockey's Agent, Veterinarian, Assistant Veterinarian, Dental Technician, Farrier, Apprentice Farrier, or as an employee in Licensee's racing department, except as provided by Rule 8.03.
2. The Commission Licensee or its Registrar may deny, suspend or revoke a Trainer's registration for the spouse or any member of the immediate family or household of a person ineligible to hold a Trainer's license under these Rules, unless there is a showing by the applicant or registered Trainer, and the Commission Licensee or its Registrar so finds, that his participation in racing as a Trainer will in no way circumvent the intent of these Rules by permitting a person, under the control or direction of a person ineligible to hold a Trainer's license, to serve in effect as the alter ego of such ineligible person.
7.03 Duties and Responsibilities:
A registered Trainer shall bear primary responsibility for the proper care, health, training, condition, safety and protection against administration of prohibited drugs or medication of horses in his charge. A registered trainer:
(a) Shall register with the Racing Secretary all persons in his employ and insure that they duly apply for permits within 24 hours after they arrive on Licensee's grounds or are employed. Upon discharge of an employee, a Trainer must promptly notify the Racing Secretary and the Licensee or its Registrar.
(b) All Owners and Trainers shall carry workmen's compensation insurance covering all their employees. This paragraph is intended to include all individuals employed by Owners and Trainers in the training and racing of horses.
(c) Shall register with the Racing Secretary all horses in his charge in the manner required by Rule 6.03. No registered Trainer may take or keep in his charge a horse owned wholly or in part, or controlled by, a person who is not registered as an Owner. No registered Trainer shall assume responsibility for horses not under his active care and supervision, except as provided by Rule 7.03(f).
(d) Shall bear the absolute responsibility to report bleeders from other jurisdictions to the Commission’s Licensee's Veterinarian or Stewards, on official forms from that state, prior to entry.
(e) Shall bear primary responsibility for horses he enters as to eligibility, weight allowances claimed, physical fitness to perform creditably at the distance entered, absence of prohibited drugs or medications, proper shoes, bandages and equipment, and timely arrival in the saddling paddock. A registered Trainer shall be jointly responsible with the registered Owner for horses he enters as to stakes payments and jockey fees due.
(f) When entering horses, Trainers shall furnish, as first call, the name of the Jockey engaged to ride each horse entered and, as second call, the name of an alternate Jockey to ride each horse entered, if possible at the time of entry, but in no event later than scratch time unless part of an entry. If no first or second call Jockey has been named to ride a horse entered to race by scratch time, then the Stewards shall select a rider to ride such horse.
(g) Shall personally attend his horses in the paddock and supervise the saddling thereof, unless excused by the Stewards. If a registered Trainer is to be absent from Licensee's grounds where his horses are stabled, he must provide a substitute -- his registered Assistant Trainer or another registered Trainer -- to attend the saddling of horses already entered and to assume complete responsibility for horses to be entered. Such substitute must be approved by the Stewards and shall sign in the presence of the Stewards a form furnished by Licensee accepting complete responsibility for horses he so enters.
(h) May attend the taking and testing of a saliva, urine or blood sample from a horse in his charge by the Commission’s Licensee's Veterinarian and/or Chemist, or may delegate one of his employees holding an authorization or permit to do so.
(i) Shall maintain the stable area assigned to him in a clean, neat and sanitary condition at all times and insure that fire prevention rules are strictly observed in his stable area.
(j) Shall promptly report to the Commission’s Licensee's Veterinarian any sickness or death of any horse in his charge.
7.06 Assistant Trainer:
A registered Owner or registered Trainer may employ an Assistant Trainer. Such Assistant Trainer must obtain an authorization from the Commission Licensee or its Registrar before acting in such capacity on behalf of his employer. Qualifications for obtaining an Assistant Trainer's authorization shall be prescribed by the Stewards. An authorized Assistant Trainer shall assume the same duties and responsibilities as imposed on a registered Trainer. The registered Trainer shall be jointly responsible with his Assistant Trainer for all acts and omissions of such Assistant Trainer involving a racing matter.
PART 8 -- JOCKEYS AND APPRENTICE JOCKEYS
8.01 Probationary Mounts:
Any person desiring to participate at Licensee's premises as a rider and who never previously has ridden in a race may be permitted to ride in two races before applying for a permit as a Jockey or Apprentice Jockey, provided, however:
(a) Such person has had at least one year of service with a racing stable and currently holds a permit issued by the Commission Licensee or its Registrar for a recognized activity in racing;
(b) A registered Trainer certifies in writing to the Stewards that such person has demonstrated sufficient horsemanship to be permitted such probationary mounts;
(c) The Starter has schooled such person in breaking from the starting gate with other horses and approves such person as being capable of starting a horse properly from the starting gate in a race;
(d) The Stewards, in their sole discretion, are satisfied that such person intends to become a licensed Jockey, possesses the physical ability and has demonstrated sufficient horsemanship to ride in a race without jeopardizing the safety of horses or other riders in such race. No such person shall be permitted to ride in any such probationary race without the prior approval of the Stewards.
PART 9 -- AGENTS, AUTHORIZED AND JOCKEY
9.01 Agency Permitted:
Any registered Owner or Jockey or Apprentice Jockey holding a permit issued by the Commission Licensee or its Registrar may, as a principal, authorize another person as an agent to act in such principal's behalf in all matters pertaining to racing and transfer of horses at Licensee's premises. Such authorization shall be in writing and shall define the powers, limits and terms of such agency.
9.03 Termination of Agency:
Such Agency shall remain in effect until written notification of revocation is received from the principal by the Commission Licensee or its Registrar. In the event a Jockey Agent is dismissed by his employer, or if a Jockey Agent discontinues making engagements for a rider, then such Jockey Agent shall immediately notify the Stewards and turn over to the Clerk of Scales a list of any unfulfilled engagements such Jockey Agent may have made for such rider.
9.04 Acts by Authorized Agent:
Unless precluded by specific limitations in the agency appointment, an Authorized Agent who is registered or who holds a permit granted by the Commission Licensee or its Registrar may perform at Licensee's premises on behalf of the registered owner-principal all acts pertaining to racing, including the transfer of ownership of horses, as could be performed by the principal were he present. In executing any document on behalf of the principal, an Authorized Agent shall clearly indicate that he is acting as an Authorized Agent and shall specify the principal for whom he is acting. When an Authorized Agent enters a claim for the account of his principal, the name of the registered Owner for whom the claim is being made and the name of the Authorized Agent shall appear on the claim slip.
9.05 Riding Engagements:
No person other than the contract employer or licensed Jockey Agent who holds a permit issued by the Commission Licensee or its Registrar may make riding engagements for a rider, except that a Jockey not represented by an Agent may make his own riding engagements. Such persons permitted to make riding engagements shall maintain in their possession at all times an engagement book and shall record therein riding engagements made, the same being subject to examination by the Stewards at any time. No Jockey Agent may enter the Jockey room, paddock or racing strip during the hours of racing.
PART 10 -- HORSES
10.03 Denerving:
Any horse on which a neurectomy has been performed shall have such fact designated on its registration certificate or racing permit. It shall be the joint responsibility of the practicing veterinarian who performed the operation and the Trainer of such denerved horse to insure that such fact is designated on the registration certificate or racing permit.
(a) Any horse whose ulnar, radial or median nerve has been either blocked or removed (known as high nerved), or whose volar or plantar nerve has been blocked or removed, unilaterally or bilaterally, shall not be entered or raced in this State.
(b) Any horse which has had a posterior digital neurectomy (known as low nerved) may be permitted to race provided such denerving has been reported by the Trainer to the Stewards and such horse has been approved for racing by the Commission’s Licensee's Veterinarian prior to being entered for a race.
(c) In the event a horse races in violation of this Rule and participates in the purse distribution, then no protest thereon will be considered unless submitted in writing to the Stewards within 48 hours after such race.
(d) In the event a horse races in violation of this Rule and is claimed, then no protest thereon will be considered unless the successful claimant submits such protest in writing within 48 hours requesting that his claim be voided. Should the claim be voided, the horse shall be returned to the Owner who started such horse in such race and the claim price shall be returned to the claimant.
(e) A list of all denerved horses shall be posted in the Racing Secretary's Office. No person shall report a horse as having a neurectomy when in fact such horse has not.
10.04 Bleeders:
Any horse known to have bled from its nostrils during a race or workout may not be entered or raced without the prior approval for racing by the Commission’s Licensee's Veterinarian. A horse which bled for the first time shall not be permitted to run for a period of ten (10) calendar days. A horse which bleeds a second time shall not be permitted to run for thirty (30) calendar days. A horse which bleeds a third time shall not be permitted to run for ninety (90) days. A horse which bleeds a fourth time shall be barred from further racing in the State of Delaware, except that if a horse's fourth bleeding incident occurs within one year of the first bleeding incident, then the horse shall not be barred but shall not be permitted to run for one year. If a horse has bled three times but at least twelve months have passed since the last bleeding incident, then if the horse bleeds for a fourth time, the horse shall not be permitted to run for twelve (12) months, and any further bleeding incidents will prevent the horse from racing for another twelve (12) month period. (A positive endoscopic examination shall be classed as a first time bleeder). See Rule 15.02 Bleeder Medication.
10.07 Removal from Licensee's Grounds:
No dead or sick horse may be removed from Licensee's grounds without the prior approval of the Commission’s Licensee's Veterinarian.
PART 11 -- ENTRIES, SUBSCRIPTIONS, DECLARATIONS
11.02 Procedure for Making Entries:
It shall be the absolute responsibility of the Trainer to report bleeders from other jurisdictions to the Commission’s Licensee's Veterinarian or Stewards on official forms from that State prior to entry.
All entries, subscriptions, declarations and scratches shall be lodged with the Racing Secretary and shall not be considered as having been made until received by the Racing Secretary who shall maintain a record of time of receipt of same.
(a) Every entry must be in the name of such horse's registered Owner, as completely disclosed and registered with the Racing Secretary under these Rules and made by the Owner, Trainer or a person deputized by such Owner or Trainer.
(b) Every entry must be in writing, or by telegraph promptly confirmed in writing, except that an entry may be made by telephone to the Racing Secretary but must be confirmed in writing should the Stewards, the Racing Secretary or an assistant to the Racing Secretary so request.
(c) Every entry shall clearly designate the horse so entered. When entered for the first time during a meeting, every horse shall be designated by name, age color, sex, sire, dam and broodmare sire, as reflected by such horse's registration certificate.
1. No horse may race unless correctly identified to the satisfaction of the Stewards as being the horse duly entered;
2. In establishing the identity of a horse, responsibility shall be borne by any person attempting to identify such horse as well as the Owner of such horse, all such persons being subject to appropriate disciplinary action for incorrect identification.
(d) At the time of entering a horse, the Trainer of such horse or his representative, must declare to the Racing Secretary or his representative, whether the horse will race on any medication permitted by these Rules and shall not deviate from such declaration.
Within the discretion of the Stewards, a list of horses so declared to race on medication may, in whole or in part, be announced, released for publication or otherwise made public without liability for the accuracy thereof.
(e) In order to claim an apprentice allowance at the time of entry, an Apprentice Jockey must be designated by name.
(f) No alteration may be made in any entry after the closing of entries, except that an error may be corrected.
(g) No horse may be entered in two races to be run on the same day.
PART 15 -- MEDICATION, TESTING PROCEDURES
15.02 Bleeder Medication:
Notwithstanding anything in the Rules of Racing to the contrary, the Stewards may permit the administration of Furosemide (Lasix) to control epistaxis (bleeding) to horses under the following conditions:
(a) A horse which, during a race or workout at a duly licensed race track in this State or within the first hour immediately following such a race or workout, is observed by the Commission’s Licensee's Veterinarian or the Stewards to be shedding blood from one or both nostrils or is found to have bled internally. (An endoscopic examination of the horse, in order to confirm bleeding, may be performed by the practicing veterinarian in the presence of the Commission’s Licensee's Veterinarian at the detention barn within one (1) hour of workout or race.)
(b) A horse which has been certified as a bleeder in another jurisdiction may be placed on the bleeder list provided that the other jurisdiction qualified it as a bleeder using criteria satisfactory to the Commission’s Licensee's Veterinarian and the Stewards. It shall be the absolute responsibility of the Trainer to report bleeders from other jurisdictions to the Licensee's Veterinarian or Stewards on official forms from that State prior to entry.
(c) The Commission’s Licensee's Veterinarian shall be responsible to maintain an up-to-date "bleeder" list and the list shall be available in the Racing Secretary's office.
(d) A horse in the Bleeder Program shall be required to be brought to a detention barn designated by the Licensee and approved by the Commission not later than three and one-half (3 ½ ) hours before post time for the race in which it is entered and shall remain in said detention barn (in its assigned stall) until called to the paddock prior to post time. During the 3 ½ hour period, the horse shall be under the care and custody of a groom or caretaker appointed by the Trainer. The approved Furosemide medication may be administered by a licensed practicing veterinarian in the detention barn within three (3) hours before post time. The practicing veterinarian shall make a report to the Stewards of the treatment on forms provided by the Stewards on the same day of treatment.
(e) (Deleted.)
(f) A horse which bled for the first time shall not be permitted to run for a period of ten (10) calendar days. A horse which bleeds a second time shall not be permitted to run for thirty (30) calendar days. A horse which bleeds a third time shall not be permitted to run for ninety (90) days. A horse which bleeds a fourth time shall be barred from further racing in the State of Delaware, except that if a horse's fourth bleeding incident occurs within one year of the first bleeding incident, then the horse shall not be barred but shall not be permitted to run for one year. If a horse has bled three times but at least twelve months have passed since the last bleeding incident, then if the horse bleeds for a fourth time, the horse shall not be permitted to run for twelve (12) months, and any further bleeding incidents will prevent the horse from racing for another twelve (12) month period. A positive endoscopic examination shall be classed as a first time bleeder.
Revised: 6/19/92.
15.04 Reports of Administration:
Before a licensed Veterinarian administers or prescribes any drug or restricted substance for a horse, he shall ascertain by reasonable inquiry whether the horse has been entered to race at any track and, if the horse has been entered, he shall not administer or prescribe any drug or restricted substance within the time or manner restricted by these Rules.
If, however, an emergency exists involving the life or health of the horse, he may proceed to treat or prescribe for the horse but shall report the matter as promptly as practicable to the State Veterinarian and Stewards.
(a) Any Veterinarian practicing at any Delaware race track shall file a daily report with the Stewards and the Track Veterinarian as to any medication prescribed or administered or professional service performed. This report shall be filed in person or postmarked within a period of forty-eight (48) hours from the time of treatment. Detection of any unreported medication, drug or substance by the Commission's Chemist in a pre-race or post-race test may be grounds for disciplinary action against such Veterinarian.
(b) Such daily reports shall accurately reflect the identity of the horse treated, diagnosis, time of treatment, type and dosage of medication, drug or substance and method of administration.
(c) Such daily reports shall remain confidential except that the Commission’s Licensee's Veterinarian may compile general data therefrom to assist the Commission in formulating policies or rules and the Stewards may review the same in investigating a possible violation of these rules. See Rule 11.02(d) respecting a public list of horses declared to race on medication.
(d) When making an entry, it shall be the duty of the Trainer or his representative, as required by Rule 11.02(d), to disclose and declare to the Racing Secretary or his representative whether said horse will race on any medication permitted by these rules.
15.05 Report Prior to Race of Cessation or Reduction of Medication:
For any horse entered to run in a race, a timely report of the elimination or reduction since its last race in the level of Phenylbutazone and/or similar medications administered to it at the time of such last race shall be made to the Commission’s Licensee's Veterinarian by the horse's Owner, Trainer, attending Veterinarian and/or any other person having supervision over, or custody of, such horse.
Violation of this Rule will constitute grounds for disciplinary action.
15.06 Bettors' Safeguard:
To help protect against inconsistent performances, a horse which last raced after having been administered Phenylbutazone and/or similar medication shall not be permitted to race without having been administered the same or similar medication at a comparable level, unless the Commission’s Licensee's Veterinarian grants his prior, express approval that such horse may race notwithstanding that the medication program to which it was subjected at the time of its last race has subsequently been eliminated or reduced.
Violation of any aspect of this Rule by an Owner, Trainer, attending Veterinarian or any other person having supervision or custody of the horse will constitute grounds for disciplinary action as provided by these Rules.
15.08 Detention Area:
Each Licensee may provide and maintain on its grounds a fenced enclosure sufficient in size and facilities to accommodate stabling of horses temporarily detained for the taking of sample specimens for chemical testing; such detention area shall be under the supervision and control of the Commission’s Licensee's Veterinarian.