DEPARTMENT OF AGRICULTURE
Thoroughbred Racing Commission
Statutory Authority: 3 Delaware Code, Section 10005; 29 Delaware Code
Section 4815(b)(3)c (3 Del.C. §10005; 29 Del.C. §4815(b)(3)c)
3 DE Admin. Code 1001
PUBLIC NOTICE
The Delaware Thoroughbred Racing Commission, pursuant to 3 Del.C. §10005, proposes to amend rule 15.14.1 to permit the imposition of penalties if a horse does not report for testing. The Commission will hold a public hearing on the proposed rule change on July 18, 2006. Written comments should be sent to John F. Wayne, Executive Director, Delaware Thoroughbred Racing Commission, 777 Delaware Park Boulevard, Wilmington, DE 19804.
The proposed rule change is as follows:
1001 Thoroughbred Racing Rules and Regulations
1.0 Definitions and Interpretations
1.1 In the context of these Rules of Racing, the following words and phrases shall be construed as having the following special meanings:
1.1.1 Added money: Cash, exclusive of trophy or other award, added by the Licensee to stakes fee paid by subscribers to form the total purse for a stakes race.
1.1.2 Age: The number of years since a horse was foaled, reckoned as if such horse were foaled on January 1 of the year in which such horse was foaled.
1.1.3 Arrears: All sums due by any permittee or registrant as reflected by his account with the Licensee or the Horsemen's Bookkeeper, including subscriptions, jockey fees, forfeitures, and any default incident to these rules.
1.1.4 Authorized Agent: Any person currently registered as an agent for a registered-owner principal by virtue of a notarized appointment of agency properly and fully lodged with the Licensee.
1.1.5 Betting Interest: A single horse, or more than one horse joined as a "mutuel entry" or joined in the "mutuel field", on which a single pari-mutuel wager may be placed.
1.1.6 Bleeder: Any horse known to have bled from its nostrils during a workout or race or is found to have bled internally by endoscopic examination. See Rule 15.2.1.1.
1.1.7 Breeder: Owner of the dam of a horse at the time such horse was foaled. A horse is "bred" at the place of its foaling.
1.1.8 Claiming Race: Any race in which the ownership of every horse running therein may be transferred in conformity with these Rules.
1.1.9 Closing: Time published by the Licensee after which entries for a race will not be accepted.
1.1.10 Commission: The Delaware Thoroughbred Racing Commission. "Commissioner" is a member of the Commission.
1.1.11 Day: Any 24-hour period beginning at 12:01 a.m. and ending at midnight. "Racing Day" is a day on which races are conducted. "Calendar Days" are those consecutive days counted irrespective of number of "Racing Days."
1.1.12 Declaration: Withdrawal of a horse entered in a race prior to time of closing of entries therefor in conformance with these Rules.
1.1.13 Disciplinary Action: That action taken by the Stewards, by the Licensee, or by the Commission, for a Rule violation; it can include suspension, revocation, voidance of a permit, authorization or registration, ejection or exclusion from the Licensee's grounds, or assessment of a forfeiture, or reprimand, or any combination thereof.
1.1.14 Disqualification: An order of the Stewards revising the order of finish of a race.
1.1.15 Entry: The act of nominating a horse for a race in conformance with these Rules. See "Mutuel Entry".
1.1.16 Equipment: Accouterments, other than ordinary saddle, girth, pad, saddle cloth, and bridle carried by a horse, including whip, blinkers, tongue strap, muzzle, hood, noseband, bit, shadow roll, martingale, breast plate, bandages, boots, and racing plates or shoes.
1.1.17 Exhibition Race: A race between horses of diverse ownership for which a purse is offered by the Licensee, but on which no pari-mutuel wagering is permitted.
1.1.18 Field or Mutuel Field: A single betting interest involving more than one horse which is formed when the number of horses starting a race exceeds the numbering capacity of the totalizator and where all horses of a higher number are grouped in the "mutuel field".
1.1.19 Forfeit: Money due by a permittee, registrant or other person to whom these Rules apply because of an error, fault, neglect of duty, breach of contract, or alternative order of the Stewards.
1.1.20 Handicap Race: A race in which the weights to be carried by the horses therein are assigned by the Licensee's Handicapper with the intent of equalizing the chances of winning for all horses entered. A "free handicap" is a handicap for which no nominating fee is required to be weighted, but an entrance and/or starting fee may be required for starting therein.
1.1.21 Horse: Any Thoroughbred, whether mare, gelding, colt or filly, which is registered as such with the Jockey Club in Lexington, Kentucky, or, for Steeplechase racing purposes, by the National Steeplechase Association in Fair Hill, Maryland and any Arabian whether mare, gelding, colt or filly which is registered as such with the Arabian Horse Registry of America, Inc. in Westminster, Colorado and for which an Identification Supplement has been issued.
In these rules of racing, unless otherwise noted, the use of the word "Thoroughbred" shall likewise apply to Arabian horses.
1.1.22 Ineligible: A horse or person not qualified, not permitted, or not authorized under these Rules or conditions of a race to participate in a specified racing activity.
1.1.23 Jockey: A rider currently authorized to ride in races as a Jockey, or Apprentice Jockey, or Amateur Jockey, or a provisional Jockey permitted by the Stewards to ride in two races prior to applying for a permit.
1.1.24 Lessee: A registered Owner whose interest in a horse is a leasehold.
1.1.25 Licensee: Any person, or persons, or corporation, licensed by the Commission to conduct a recognized race meeting at a particular racetrack within this State. When used herein, the word refers to that Licensee of the racetrack at which any matter or thing calling for the application of these Rules arises or occurs.
1.1.26 Maiden: With respect to flat races, a horse which has never won a flat race at a recognized meeting in any country; a "maiden" which was disqualified after finishing first remains a "maiden"; race conditions referring to "maidens" shall be interpreted as meaning "maidens" at the time of starting.
In flat races a horse is still a maiden though a winner of a steeplechase or hurdle race, and in steeplechase and hurdle races a horse is still a maiden though a winner on the flat.
1.1.27 Match Race: A race between two horses for which no other horses are eligible.
1.1.28 Meeting: The entire period of consecutive days, exclusive of dark days, granted by the Commission to a Licensee for the conduct of racing, beginning at 12:01 a.m. of the first racing day and extending through a period ending at 11:59 p.m. after the last scheduled race on the last day, which includes all race dates approved by the Commission under 3 Del.C. §10122(c) including racing dates limited exclusively to the receiving and accepting of wagers or bets on electronically televised simulcasts. See "Recognized Meeting". Rule 1.28 Rev. March 1976.
1.1.29 Month: A calendar month.
1.1.30 Mutuel Entry: A single betting interest involving two or more horses entered in the same race and joined for pari-mutual purposes because of common ties as to ownership so that a wager on one horse joined in a "mutuel entry" is a wager on all horses joined in the same "mutuel entry".
1.1.31 Mutuel Field: See "Field".
1.1.32 Nominator: The person in whose name a horse is entered for a race.
1.1.33 Owner: Any person who holds, in whole or in part, any right, title, or interest in a horse, or any lessee of a horse, who has been duly registered and approved by Licensee as a person responsible for such horse.
1.1.34 Permittee: Any person authorized by or registered with and approved by the Commission to participate in any designated way in racing at the location where Licensee is authorized to conduct a racing meet. See "Registrant".
1.1.35 Place: When used in the context of a single position in the order of finish in a race, "Place" means second; when used in the context of a pari-mutuel wagering, a "Place" wager is one involving a payoff on a betting interest which finished first or second in a race; when used in the context of multiple positions in the order of finish in a race, "Place or Placing" means finishing first, or second, or third. See "Unplaced".
1.1.36 Post: The starting point of a race.
1.1.37 Post Position: The relative place assigned to each horse, numbered from the inner rail across the track at the starting line, from which each horse is to start a race.
1.1.38 Post Time: The advertised moment scheduled for the arrival of all horses at the starting point for a race.
1.1.39 Prize: The combined total of any cash, plate, purse, premium, stake, trophy, reward or object of value awarded to the Owners of horses according to order of finish in a race. No race shall be authorized or permitted for a purse, stake or reward of less than $700.00, except in the event of a split race, in which case the purse, stake or reward shall be equally divided. Rule 1.30 Rev. July 1977.
1.1.40 Purse: The gross cash portion of the prize for which a race is run.
1.1.41 Purse Race: Any race for which entries close less than 72 hours prior to its running, and for which Owners of horses entered are not required by its conditions to contribute money toward its purse.
1.1.42 Race: A running contest between horses, ridden by Jockeys, over a prescribed course, at a recognized meeting, during regular racing hours, for a prize.
1.1.43 Racing Official: Any person appointed and designated as such, and authorized to perform the duties prescribed at any race meeting authorized by the Commission.
1.1.44 Recognized Meeting: Any meeting with regularly scheduled races for horses on the flat or over jumps, licensed by and conducted under rules promulgated by a governmental body, including any such authority which has reciprocal relations with the Jockey Club of Lexington, Kentucky, whose race records can be provided to a Licensee by the Jockey Club and any such authority which has reciprocal relations with the American Horse Registry of America, Inc. in Westminster, Colorado.
1.1.45 Registrant: Synonymous with "Permittee".
1.1.46 Registration Certificate: A document issued by the Jockey Club of Kentucky certifying as to the name, age, color, sex, pedigree and breeder of a horse as registered by number with the Jockey Club, shall be deemed to refer also to the document known as a "racing permit" issued by the Jockey Club in lieu of a "registration certificate" when a horse is recognized as a Thoroughbred for racing purposes in the United States, but is not recognized as a Thoroughbred for breeding purposes insofar as registering its progeny with the Jockey Club.
1.1.46.1 Reward: Any non-monetary prize, as defined in Rule 1.1.3.9, with a monetary value in excess of $2,500.00, as determined by the fair market value of the prize, given to competitors in a race as an incentive to win, place or show.
1.1.46.2 The fair market value of any prize shall be determined by the commission. Evidence of fair market value shall include purchase price and resale value.
1.1.47 Rules: When used in the plural, shall be deemed to mean all current "Rules" promulgated by the Commission; when used in the singular, shall be deemed to be confined to the numbered "Rule", and subparagraphs thereof, wherein such mention is made.
1.1.48 Rulings: All determinations, decisions, or orders of the Stewards duly issued in writing and posted. Rule 1.48 Rev. March 1976.
1.1.49 Scratch: Withdrawal of a horse entered for a race after time of closing of entries therefor in conformance with these Rules.
1.1.50 Scratch Time: Time set by Licensee's Racing Secretary as a deadline for horsemen to indicate their desire to scratch out of a race.
1.1.51 Specimen: Sample of blood, urine or saliva taken or drawn from a horse for chemical testing.
1.1.52 Stakes: All fees paid by subscribers to an added-money or stakes race for nominating, eligibility, entrance, or starting, as may be required by the conditions of such race, such fees to be included in the purse.
1.1.53 Stakes Race: A race which closes more than 72 hours in advance of its running and for which subscribers contribute money towards its purse.
1.1.54 Starters: When referring to a horse -- a horse in a race when the starting-gate doors open in front of it at the moment the Starter (a Racing Official) dispatches the horses for a race.
1.1.55 Stewards: Duly appointed Racing Officials with powers and duties as provided by statute and these Rules.
1.1.56 Subscription: Nomination or entry of a horse in a stakes race.
1.1.57 Thoroughbred Racing: The conduct of running contests between horses, each of which is registered with the Jockey Club in Lexington, Kentucky and certified as having a Thoroughbred pedigree, or which is registered and certified by any other authority recognized by the commission, and each of which is ridden by a Jockey, under the auspices of an appropriate governmental regulatory body which has jurisdiction over such.
1.1.57.1 Trophy or Plate: For the purpose of calculating a prize or reward, a perpetual trophy or plate shall have no monetary value.
1.1.57.2 No trophy or plate shall be considered a reward, as defined by these rules and 3 Del.C. §10121 and §10141(c), unless the trophy or plate has a monetary value exceeding $2500.00.
1.1.57.3 The fair value market of any trophy or plate shall be determined by the commission. Evidence of fair market value shall include purchase price and resale value. Rule 1.1.57 adopted 11/30/94. Rule 1.1.57 Rev. March 1974.
1.1.58 Unplaced: Not among the first three horses finishing a race.
1.1.59 Walkover: A race in which the only starter or all starters represent a single ownership.
1.1.60 Weigh In: Presentation of a Jockey to the Clerk of Scales for weighing after a race.
1.1.61 Weigh Out: Presentation of a Jockey to the Clerk of Scales for weighing prior to a race.
1.1.62 Weight for Age: A standard assignment of pounds to be carried by horses in races at specified distances during specified months of the year, scaled according to the age of the horse, as set out hereinafter in these Rules.
1.1.63 Workout: A training exercise of a horse on the training or main track of a Licensee during which such horse is timed for speed over a specified distance.
1.1.64 Year: Twelve consecutive months beginning with January and ending with December.
1.1.65 Mandatory Safety Equipment: Helmets and Vests. The helmets and vests that are to be worn while riding astride a horse or pony at any time, for any reason, while on the grounds of a racetrack that comes under the jurisdiction of the Commission. Rule 1.1.65 adopted 11/30/94.
7 DE Reg. 316 (9/1/03)
2.0 Permits, Registrations and Authorizations
2.1 Conditions precedent to registration or issuance of authorization or permit.
2.1.1 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.
2.1.2 All rulings and decisions of the Stewards may be appealed to the Commission upon deposit of an appropriate sum to defray all costs attendant.
2.1.3 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 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.
2.2 By Whom Required:
2.2.1 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 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.
2.3 Registrar:
2.3.1 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.
2.3.2 A person may serve concurrently as Registrar and as a Steward. The Registrar and his assistants shall:
2.3.2.1 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.
2.3.2.2 File reports to the Commission respecting such applications with accountings of fees received therefor, as and when required by the Commission.
2.3.2.3 Be responsible for arranging the photographing and fingerprinting of all such applicants for whom Licensee requires such.
2.4 Standards for Granting Permits, etc., to Participants in Racing:
2.4.1 The Commission, 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, 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.
2.5 Grounds for Refusal, Suspension, or Revocation of a Permit, etc.:
2.5.1 The Commission in its discretion, 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:
2.5.1.1 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;
2.5.1.2 Conviction of a crime or violation of any narcotic regulation, or association with any person who has been so convicted;
2.5.1.3 Falsification, misrepresentation, or omission of required information in the application submitted to the Commission; failure to disclose the 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;
2.5.1.4 Failure to comply with any order or ruling of the Commission, Stewards, or Racing Official pertaining to a racing matter;
2.5.1.5 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;
2.5.1.6 Person less than 16 years of age;
2.5.1.7 Person unqualified by experience or competence to perform the activity or hold the status for which registration, permit, or authorization is sought;
2.5.1.8 Intoxication, use of profanity, fighting, or any conduct of a disorderly nature, on Licensee's grounds;
2.5.1.9 Employment or harboring of unauthorized persons required by these Rules to register or have a permit or authorization;
2.5.1.10 Discontinuance of or ineligibility for activity for which registration, permit, or authorization was issued;
2.5.1.11 Possession on Licensee's grounds, without written permission therefore from the Commission, the Licensee, or the Stewards, of:
2.5.1.11.1 Firearms;
2.5.1.11.2 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;
2.5.1.12 Possession on Licensee's grounds by a person other than a licensed Veterinarian of:
2.5.1.12.1 Hypodermic needle, or hypodermic syringe, or other device which could be used to administer any substance to a horse;
2.5.1.12.2 Narcotics, or medication, or drug, or substance which could be used to alter the speed of a horse in a race.
2.5.1.13 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;
2.5.1.14 Cruelty to a horse or neglect of a horse entrusted to a permittee's care;
2.5.1.15 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;
2.5.1.16 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;
2.5.1.17 Entering, or aiding or abetting the entering of, a horse ineligible or unqualified for the race entered;
2.5.1.17.1 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, 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;
2.5.1.18 Violation of any rule of the Commission, or aiding or abetting any person in the violation of any such rule;
2.5.1.19 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 is authorized to rely if it chooses in any given cause to do so;
2.5.1.20 Past or contemplated conduct or utterance which, 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;
2.5.1.21 Failure to submit to having his photograph and fingerprints taken and maintained by the Commission.
2.6 Permit Application for Participants in Racing:
2.6.1 Any person required to register or have an authorization or permit by Rule 2.2 who desires to participate in Thoroughbred Racing and/or Arabian Racing in Delaware may apply to the Commission 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 Commission and filed at the Commission'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.
2.6.2 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.
2.6.2.1 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.
2.6.2.2 Applications from persons whose age is not readily ascertainable by the Commission 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.
2.6.2.3 Fingerprint identification, as well as a photograph, will be required of all registrants and permittees unless waived (e.g., absentee owners and casual delivery personnel who do not enter the stable area).
2.6.2.4 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 until it is satisfied a full disclosure has been made.
2.6.2.5 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.
2.6.2.6 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.
2.6.2.7 As a condition precedent to the registration or issuance of any permit or authorization required of participants in racing by these Rules, the Commission 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 for each activity or status for which applicant seeks registration or the issuance of a permit or authorization.
2.6.2.8 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:
2.6.2.8.1 $50 for all owners and all trainers.
2.6.2.8.2 $30 for all veterinarians, farriers, jockeys, apprentice jockeys, jockey agents, and assistant trainers.
2.6.2.8.3 $15 for all licensee vendor and vendor employees.
2.6.2.8.4 $5 for all stable employees and association employees. Rule 2.7 revised 7/2/96.
2.7 Registration:
2.7.1 The Commission 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.
2.8 Term of Authorization:
2.8.1 Registrations, authorizations and permits issued by the Commission hereunder for participants in Thoroughbred Racing shall be valid from the date of issuance through the calendar year shown on such license at all race meetings conducted by a Licensee during such calendar year, unless sooner suspended, revoked or voided, or otherwise permitted by 3 Del.C. Ch. 101. The Commission 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.
2.8.2 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.
2.9 Possession of identification card required:
2.9.1 No person required by these Rules to be registered by, or to have an authorization or permit from the Commission, 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.
2.9.1.1 With respect to Owners, or in special cases with respect to others, the Commission may waive this requirement. Also, see Rule 6.1.
2.10 Applicability of Regulations to Arabian Horses
2.10.1 All Arabian horses participating in races held at Delaware Park shall be subject to all the Rules and Regulations of the Delaware Thoroughbred Racing Commission with the exception of the regulations concerning the use of drugs, medication and/or prohibited substances.
2.10.2 The policies and regulations of the International Arabian Horse Association and the Mid-Atlantic Arabian Horse Racing Association shall be the regulations applied by the Delaware Thoroughbred Racing Commission to the use of medication, drugs and/or prohibited substances by Arabian horses racing in Delaware on licenses premises.
This regulation was adopted pursuant to the emergency regulation authority granted by 29 Del.C. §10119 and the regulatory authority granted by 28 Del.C. §328(m).
4 DE Reg. 174 (7/1/00)
3.0 Stewards
3.1 Qualifications for Stewards:
3.1.1 No person shall qualify for appointment or approval as a Steward unless:
3.1.1.1 In addition to any minimum qualifications promulgated by the Commission, all applicants for the position of Steward must be certified by a national organization approved by the Commission. An applicant for the position of steward must also have been previously employed as a steward, patrol judge, clerk of scales or other racing official at a thoroughbred 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 jockey who has not less than one year as a licensed racing official at a thoroughbred racing meeting or have ten years of experience as a licensed thoroughbred trainer who has served not less than one year as a licensed racing official at a thoroughbred racing meeting.
3.1.1.2 He is a person of good moral character and unblemished reputation.
3.2 Appointment of Stewards:
3.2.1 There shall be three Stewards at each race meeting, each of whom shall be appointed by the Commission. 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. No Steward shall serve until approved by the Commission.
3.2.2 Stewards shall serve during the period of the Meeting as required by the Commission.
7 DE Reg. 316 (9/1/03)
3.2.3 Stewards may be replaced by the Commission at any time for failure to perform their duties properly and diligently;
3.2.4 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, 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.
3.3 General Powers of the Stewards
3.3.1 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:
3.3.2 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;
3.3.3 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;
3.3.4 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 Veterinarian, all horses for fitness;
3.3.5 When requested by the Commission, to review all applications for registrations or permits to participate in racing, and, if requested 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 as to the qualifications of all applicants for registrations or permits to participate in racing;
3.3.6 When requested by the Commission, 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;
3.3.7 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;
3.3.8 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;
3.3.9 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;
3.3.10 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.
3.4 Duties and Responsibilities of Stewards:
3.4.1 In addition to the duties and responsibilities necessary and pertinent to the general supervision, control and regulation of race meetings, and without limiting the authority of the Stewards to perform the same and other duties enumerated in these Rules, the Stewards shall have the following specific duties and responsibilities:
3.4.1.1 To take cognizance of all misconduct or Rule infractions irrespective of whether complained of; to cause investigations to be made of all instances of possible Rule infractions; and to take such action as the Stewards may deem necessary to prevent a Rule infraction;
3.4.1.2 At least one Steward, or his designated representative, shall be on Licensee's grounds from scratch time (or if not a racing day, when entries are first taken) until entries are closed. At least one Steward shall be present for the regular showing of racing films or video tapes.
3.4.1.3 To suspend or revoke the registration or permit of a participant in racing, or eject or exclude from Licensee's grounds or any part thereof any person, whether a registrant or permittee or not, upon reasonable belief that a violation of these Rules has or is about to occur;
3.4.1.4 To interpret and enforce these Rules, and to determine all questions pertaining to a racing matter not specifically covered by these Rules in conformity with justice and the customs of the turf;
3.4.1.5 To issue decisions or rulings pertaining to racing which shall, if the Stewards deem proper, vary any arrangement for the conduct of a race meeting, to include without limiting thereby, postponing a race, or canceling a race, ruling a race run as "no contest", or the like;
3.4.1.6 To request and receive assistance from the Commission, Racing Officials, members of the Thoroughbred Racing Protective Bureau, track security police, state or local police, in the investigation of possible Rule infractions;
3.4.1.7 To conduct hearings on all questions concerning racing matters;
3.4.1.8 In the event a regularly named Jockey or Trainer or Racing Official other than a Steward is unable for any reason to perform, the Stewards may select a substitute therefor.
3.4.1.9 To see that all pari-mutuel betting machines are locked not later than the commencement of the race; to cause the "Inquiry" sign to be posted on the infield odds board as promptly as possible after the horses have crossed the finish line in a race if any doubt is held by a Steward or Patrol Judge as to the fairness of the running of such race; to cause the "Objection" sign to be posted on the infield odds board upon the lodging of same; to cause the "Official" sign to be posted on the infield odds board after determining the official order of finish for purposes of pari-mutuel payoff;
3.4.1.10 To review the patrol films or video tapes of each day's races before commencement of the successive day's races, and to draw up a list of riders (including all Apprentice Jockeys) whom the Stewards feel should review such films for instructional purposes and cause same to be posted in the Jockey's Room; the Patrol Judges shall assist in making up the film list and attend all film showings whenever their other duties permit;
3.4.1.11 To maintain a daily log, reporting all actions taken by the Stewards on all controversies which arise during the day, such report to show name of track, date, weather, track conditions, claims, results of blood, saliva or urine tests to the extent available, rulings issued, and any other circumstances or condition regarded as unusual, such reports to be signed by all Stewards participating in such action and filed within 24 hours at such place as the Commission may designate;
3.4.1.12 To make periodic inspections of the barn area and check track security; to make occasional, informal visits to the Jockeys' Room and observe weighing out and check security; such inspections and observations so made shall be noted in the Stewards' Report;
3.4.1.13 To maintain a Minute Book which shall contain a detailed written record of all questions, disputes, protests, complaints or objections brought to the attention of the Stewards, summary of interviews taken thereon, reports of investigations thereon, together with rulings issued thereon; if a ruling is not unanimous, the dissenting Steward shall record his or her reasons for such dissent; such Stewards' Minute Book shall be available to the Commission for inspection at all times, but shall not be open to public inspection;
3.4.1.14 When requested to do so, the Stewards shall submit to the Commission a written report setting out the condition of the meeting and Licensee's grounds, together with any recommendation for the improvement thereof which they may deem appropriate.
3.4.1.15 To impose fines upon any corporation, association or person participating in any Thoroughbred horse race meet at which pari-mutual wagering is conducted, other than as a patron, and whether licensed or not by the Commission, for a violation of any provision of 3 Del.C. Ch. 101 or these Rules and Regulations.
3.4.1.16 The Stewards may not impose a fine in excess of $2500.00. If it is at any time deemed appropriate that a larger fine should be imposed, the Stewards shall so recommend to the Commission and shall refer the matter at hand forthwith to the Commission. The Stewards shall have the power to refer any matter before them to the Commission at any time if it appears proper because of the complexity, severity, uniqueness or extent of the activities involved or likely to be involved. Included within these powers is the authority to impose partial sanctions, such as a conditional limitation on any person's use of facilities or of the enclosure.
3.4.1.17 In suspensions of jockeys for any offense other than an offense involving fraud, the:
3.4.1.17.1 Effective date of the suspension is determined at the discretion of the stewards; and
3.4.1.17.2 Jockeys serving a suspension of ten days or less are permitted to ride in a designated race during the period of a suspension if the:
3.4.1.17.2.1 Race is a stakes race with a purse of $25,000 or more;
3.4.1.17.2.2 Jockey is named not later than at the time set for the close of entries for the race; and
3.4.1.17.2.3 Jockey agrees to serve an additional day of suspension in place of the day in which the jockey rides in a designated race.
Revised 10/20/93
Revised 5/26/93
2 DE Reg. 2042 (5/1/99)
4 DE Reg. 174 (7/1/00)
4.0 Racing Officials
4.1 Racing Officials
4.1.1 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.
4.1.2 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, and Identifier.
4.1.2.1 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.
4.1.2.2 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.
4.1.3 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.
4.1.4 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.
4.2 Racing Secretary
4.2.1 The Racing Secretary shall be responsible for the programming of races during the race meeting, compiling and publishing condition books, assigning weights for handicap races, and shall receive all entries, subscriptions, declarations, and scratches. Among the duties for which the Racing Secretary and his staff are responsible are:
4.2.1.1 Safekeeping of registration certificates and racing permits for horses, recording information required thereon, and returning the same to Owners at the conclusion of the race meeting;
4.2.1.2 Maintaining a record of all stakes fees received, and all arrears, Jockeys' fees, purchase money in claiming races, and all other monies received incident to the race meeting and pay over same to the persons entitled thereto within 14 days after the race meeting is concluded;
4.2.1.3 Daily posting of entries for the benefit of the public as soon as possible after the entries have been closed and declarations have been made;
4.2.1.4 To assign stall applicants such stabling as he may deem proper and to maintain a record of the arrival and departure of all horses stabled on Licensee's grounds;
4.2.1.5 To publish the official daily program, insuring the accuracy therein of the following information:
4.2.1.5.1 Sequence of races to be run and post time for the first race;
4.2.1.5.2 Purse conditions, and distance for each race, and current track record for such distances;
4.2.1.5.3 The name of registered Owners or Lessees of each horse and description of racing colors to be carried;
4.2.1.5.4 The name of the Trainer and the name of the Jockey named for each horse, together with the weight to be carried;
4.2.1.5.5 The saddle cloth number or designation for each horse and the post position for each horse if there is a variance with the saddle cloth designation;
4.2.1.5.6 Identification of each horse by name, color, sex, age, sire and dam; and
4.2.1.5.7 Such other information as may be requested from time to time by the Licensee or the Commission.
4.3 Clerk of the Scales:
4.3.1 One Racing Official shall serve as Clerk of the Scales who shall be responsible for the security, regulation and control of the Jockeys' Room, the equipment therein, and personnel permitted access thereto. Among the duties for which the Clerk of the Scales is responsible are:
4.3.1.1 Weighing out every Jockey no later than 15 minutes prior to the race the Jockey is scheduled to ride and recording all overweights which shall immediately be posted and announced to the public before each race;
4.3.1.2 Weighing in every Jockey immediately after the finish of each race and promptly notifying the Stewards whether any Jockey weighed in more than two pounds underweight;
4.3.1.3 Safekeeping of all racing colors;
4.3.1.4 Reporting all color changes or Jockey changes from those listed in the official daily program, and causing such to be posted and announced to the public before each race;
4.3.1.5 Supervision of all valets and the issuance of numbered saddle cloths and equipment for each horse;
4.3.1.6 Accuracy of the scales and periodic tests thereof;
4.3.1.7 Submitting to the Racing Secretary at the close of each racing day a statement of weight carried in each race by each Jockey, noting overweight, if any;
4.3.1.8 All complaints, protests, objections, or disputes submitted to the Clerk of the Scales will be transmitted immediately to the Stewards.
4.4 Paddock Judge:
4.4.1 One Racing Official shall serve as Paddock Judge who shall have general supervision of the paddock and be responsible for:
4.4.1.1 Assembling the horses and jockeys in the paddock no later than 15 minutes before the scheduled post time for each race;
4.4.1.2 Proper identification of all horses entered in each race. The track horse identifier shall be under the supervision of the Paddock Judge;
4.4.1.3 Maintaining a written record of all equipment and inspecting all equipment of each horse saddled and reporting any change thereof to the Stewards;
4.4.1.4 Inspection of bandages of a horse; the Paddock Judge may order such bandages removed or replaced;
4.4.1.5 Paddock schooling of all horses approved for such by the Stewards;
4.4.1.6 Taking such measures as to insure that the saddling of all horses is orderly, open to public view, free from interference, and that horses are mounted at the same time, and leave the paddock for the post in proper sequence.
4.5 Starters
4.5.1 The Starter shall be responsible for the fair and equal start of all horses in a race at the scheduled starting time by means of a starting gate and bell or other device activated by his signal. So far as practical, the Starter shall cause all horses to be loaded in order of post position, but the Starter may in his discretion load an unruly or fractious horse out of order or may start such unruly or fractious horse on the outside of the starting gate and one length behind the starting line. By permission of the Stewards, a race may be started without a starting gate. The Starter may employ such Assistant Starters as he may deem necessary.
4.5.1.1 No horse shall be permitted to start in a race unless approval is given by the Starter. The Starter may maintain a Schooling List which shall be posted in the Racing Secretary's office listing the names of all horses ineligible to start for want of adequate training leaving the gate. Horses shall be schooled under the supervision of the Starter or his assistants.
4.5.1.2 The Starter shall report to the Stewards any disobedience of his orders or attempts to take unfair advantage at the starting gate and, in addition to imposing a fine not to exceed $50.00, may also recommend additional penalties for offenders.
4.5.1.3 No Assistant Starter shall handle a horse until instructed to do so by the Starter. No Assistant Starter shall strike or use abusive language to a Jockey.
4.5.1.4 No Starter or Assistant Starter shall accept any gratuity or payment other than his regular salary, directly or indirectly, for services in starting a race, nor shall he wager on a race.
4.5.1.5 The Starter shall be able to have constant radio or telephone communication with the Stewards from the time the horses leave the paddock until the field is sent away.
4.6 Patrol Judges:
4.6.1 The Patrol Judges, for each race, shall take their stations at a place designated by the Stewards. They are subject to the orders of the Stewards and they shall duly report to them all of the pertinent observations in each and every race and shall file reports on same in writing, if so requested by the Stewards.
4.7 Placing Judges:
4.7.1 Placing Judges shall occupy a stand directly above the finish line during the running of each race. The Placing Judges shall take special note of racing colors and distinguishing equipment carried by each horse. The Placing Judges shall determine the order of the horses as they cross the finish line by consideration of the respective noses of such horses. The Placing Judges shall cause the numbers of the first four horses to be flashed on the Result Board. Except for a good cause, a photo-finish camera shall be used as an aid by the Placing Judges in determining the order of the horses as they cross the finish line. Placing Judges may request a photo to assist in determining margins of less than a half-length.
4.8 Timer:
4.8.1 A Racing Official shall serve as Timer who shall occupy a stand directly above the finish line during the running of each race and record the official time thereof. The Timer shall record the fractional time of leading horses during each race and the final time of the first horse to cross the finish line. An electrical or mechanical timing device may be used as an aid by the Timer in determining the official time of each race. The Timer shall maintain a written record of fractional and finish times of each race and file such with the Racing Secretary at the close of each racing day.
4.9 Investigator:
4.9.1 The Commission may appoint a racing inspector or investigator for each thoroughbred racing meet. Such racing inspector shall perform all duties prescribed by the Commission consistent with the purposes of Title 3, Chapter 101. Such racing inspector 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 thoroughbred racing meeting to which he shall be assigned for the purposes of ascertaining whether the holder of such permit is operating in compliance with the Commission's rules and regulations. The racing inspector shall investigate whether such rules and regulations promulgated by the Commission are being violated at such Thoroughbred racetrack or enclosure by any licensee, patron, or other person. Upon discovering any such violations, the racing inspector shall immediately report his or her findings in writing and under oath to the Commission or its designee as it may deem fitting and proper. The racing inspector shall devote his full time to the duties of his office and shall not hold any other position or employment except for performance of similar duties for the Harness Racing Commission.
4.10 Administrator of Racing:
4.10.1 The Commission may employ an Administrator of Racing who shall perform all duties prescribed by the Commission consistent with the purposes of this chapter. The Administrator of Racing shall devote his full time to the duties of the office and shall not hold any other office or employment, except that he can perform the same duties as Administrator of Racing for the Harness Racing Commission. 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. He 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 stewards.
2 DE Reg. 2041 (5/1/99)
4 DE Reg. 174 (7/1/00)
5.0 Licensees
5.1 License to Conduct Racing for Stake, Purse or Reward:
5.1.1 No person shall hold or conduct any meeting within Delaware at which horse racing is permitted for any stake, purse or reward, unless such person is licensed by the Commission.
5.2 Application; Rejection; Award of Dates and Maximum Racing Days:
5.2.1 Any person desiring to conduct a racing meet within Delaware during any calendar year shall apply to the Commission for a license to do so. The application shall be filed with the Secretary of the Commission on or before a day to be fixed by the Commission. The application shall specify the days on which racing is desired to be conducted or held and shall be in such form and supply such data and information, including a blueprint of the track and specifications of its surface and blueprints and specifications of buildings and grandstand on the land of the applicant where the meeting is to be conducted, as the Commission prescribes. The blueprints and specifications shall be subject to the approval of the Commission, which, at the expense of the applicant, may order such engineering examination thereof as the Commission deems necessary. The erection and construction of the track, grandstand and buildings of any applicant for a license to conduct racing in Delaware shall be subject to the inspection of the Commission which, at the expense of the applicant, may employ such inspectors as it considers necessary for that purpose.
5.2.2 No license shall be issued by the Commission for flat racing in New Castle or Sussex Counties on a track less than one mile in circumference or in Kent County on a track less than five-eighths of a mile or for steeplechase racing in the infield of a track less than one mile in circumference. The Commission may reject any application for a license for any cause which it deems sufficient and the action of the Commission shall be final.
5.2.3 With respect to horse racing in New Castle and Sussex Counties, the Commission shall, upon application to it, and on or before the first Tuesday in February of each year, award dates for racing within those respective counties for the current year. The dates so awarded for racing to be conducted in any one county shall not exceed 340 days in the aggregate in which racing will be conducted in either such counties, and the decision of the Commission on the award of dates shall be final provided, however, that the Commission may award additional dates, beyond any limits prescribed elsewhere, for racing days limited exclusively to the receiving and accepting of wagers or bets on electronically televised simulcasts of horse races. Dates awarded in any one county shall be used by the licensee in that county for racing in that county only.
5.2.4 No more than two racing meets shall be held in any one county in any one year.
5.2.5 The Commission may meet subsequent to the first Tuesday of February of each year and award dates for racing within the limits provided in Rules 5.2.3 and 5.2.4 on an application submitted to it, provided the days so awarded in no way conflict with any provision of Chapter 101 of Title 3 of the Delaware Code.
5.2.6 With respect to horse racing in Kent County, the Commission shall, on or before the 15th day of January of each year, award all dates for horse racing in Kent County within the current year, but the dates so awarded shall not exceed 55 days in the aggregate. The decision of the Commission on the award of all dates shall be final.
5.2.7 No more than two horse racing meetings shall be held in Kent County in any one year.
5.2.8 The Commission may meet subsequent to the 15th day of January of each year and award dates for horse racing within the limits provided in Rules 5.2.6 and 5.2.7 on an application submitted to it, provided that the days so awarded in no way conflict with any provision of Chapter 101 of Title 3 of the Delaware Code.
5.2.9 No license to conduct horse racing in Kent County shall be granted except to a Delaware private stock corporation managed by not less than five directors and having an office in Delaware only, as required by statute.
5.3 Application Fee and License Fee:
5.3.1 Any person, upon applying to the Commission for a license to conduct a racing meet within New Castle or Sussex Counties during any calendar year shall, at the time of making the application, pay to the Secretary of Finance of Delaware a fee of $3,000.00 or $500.00 if to conduct a racing meet in Kent County.
5.3.2 Any person who is granted a license by the Commission to conduct a racing meet within New Castle and Sussex Counties during any calendar year, shall, at the time the license is granted, pay to the Secretary of Finance of Delaware an additional fee of $2,000.00 or $250.00 if to conduct a racing meet in Kent County.
5.4 Issuance:
5.4.1 Upon the award of days to any applicant, the Commission shall issue a license for the holding of the meet or meets during the days awarded to the applicant.
5.4.2 The license shall be subject to all rights, regulations and conditions from time to time prescribed by the Commission.
5.5 Suspension or Revocation Appeal:
5.5.1 Any license issued by the Commission shall be subject to suspension or revocation by the Commission for any cause whatsoever which the Commission may deem sufficient.
5.5.2 If any license is suspended or revoked, the Commission shall state publicly its reasons for so doing and cause an entry of the reasons to be made on the minute book of the Commission, and its action shall be final.
5.5.3 The propriety of the action taken by the Commission shall be subject to review, upon questions of law only, by the Superior Court of the county within which the license was granted. The action of the Commission shall stand unless and until reversed by the Court.
5.6 Inspection of Racing Premises Prior to Use:
5.6.1 No less than five days prior to the opening of any meet authorized by the Commission, the Commission, at the expense of the Licensee for the meet, shall cause to be made an inspection of the track, grandstand and buildings where the meet is to be held and, unless the track, grandstand and buildings are found to be safe for animals and persons or are rendered safe therefor prior to the opening of the meet, the license for the meet shall be withdrawn.
5.7 Rules, Regulations and Special Powers of Commission:
5.7.1 The Commission may make rules governing, restricting or regulating the rate or charge of a Licensee for admission, or for the performance of any service, or the sale of any article on the premises of a Licensee.
5.7.2 All proposed extensions, additions or improvements to the buildings, stables or improvements on tracks or property owned or leased by a Licensee under these Rules, shall be subject to the approval of the Commission.
5.7.3 The Commission may compel the production of any and all books, memoranda or documents showing the receipts and disbursements of any person licensed under the provisions of these Rules to conduct racing meets.
5.7.4 The Commission may at any time require the removal of any employee or official employed by any Licensee hereunder.
5.7.5 The Commission may require that the books, records, and financial or other statements of any Licensee shall be kept in such form or in such manner as the Commission prescribes. 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 such Licensee, 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 Licensee to whom they are assigned.
5.7.6 The Commission may issue, under the hand of its Chairman and the seal of the Commission, subpoenas for the attendance of witnesses and the production of books, papers and documents, before the Commission, and may administer oaths or affirmations to the
witnesses whenever in the judgment of the Commission it may be necessary for the effectual discharge of its duties.
5.7.7 If any person refuses to obey any subpoena, or to testify, or to produce any books, papers and documents, then any Commissioner may apply to the Superior Court of the county in which he or the Commission may be sitting and, thereupon, the Court shall issue its subpoena requiring the person to appear and to testify, or to produce any books, papers or documents.
5.7.8 Whoever fails to obey or refuses to obey a subpoena of the Superior Court shall be guilty of contempt of court and shall be punished accordingly.
5.7.9 False swearing on the part of any witness shall be deemed perjury and shall be punished as such.
5.8 Licensee's Annual Financial Statement:
5.8.1 Every Licensee shall file with the Commission not later than four months after the close of its fiscal year a statement, duly certified by an independent public accountant, of its receipts from all sources whatsoever during such fiscal year and all expenses and disbursements, itemized in the manner and form directed by the Commission, showing the net revenue from all sources derived by the Licensee during the fiscal year covered by such statement.
5.9 Corporate Licensee-Identity of Individual Owners:
5.9.1 Every Licensee other than an individual shall keep the Commission informed at all times of the identity, address, and occupation of every individual who has any ownership interest or other financial interest whatever in Licensee and its subsidiaries, parent corporations, affiliates, or any other related entity of any sort.
5.10 Individual Licensee-Identity of Associates:
5.10.1 Every individual Licensee shall keep the Commission informed at all times of the identity, address and occupation of every other individual: (1) with whom he is associated in any business; or (2) with whom he has any understanding or arrangement by which such other individual has any interest in the license he holds from the Commission to conduct racing in Delaware.
5.11 Maintenance of grounds, facilities and uniform track:
5.11.1 Each Licensee shall at all times maintain its grounds and facilities so as to be neat and clean, painted and in good repair. Licensee also shall have adequate and proper implements to maintain a uniform track, weather conditions permitting.
5.12 Result Boards, Totalizators Required:
5.12.1 Except for good cause, each Licensee shall provide and maintain mechanically operated totalizators and electronic boards showing odds, results and other race information located in plain view of patrons.
5.13 Starting Gate:
5.13.1 Each Licensee shall provide and maintain a working starting gate on every day horses are permitted by it to use said gate for schooling. Each Licensee shall have in attendance one or more men qualified to keep said starting gates in good working order whenever said gates are in use and each Licensee shall provide for periodic inspections of said gates.
5.14 Stabling:
5.14.1 Each Licensee shall be responsible for providing and maintaining its barns and stalls in good repair. Each barn and each stall shall be numbered in such fashion as will permit ready ascertainment of location and identification, and adequate drainage therefor shall be maintained.
5.14.2 Upon removing his horses from Licensee's barns and stalls, each Trainer shall be responsible for leaving the stalls used by him and his employees for horses under his care in a state of proper repair and in a clean and sanitary condition, subject to reasonable wear and tear. To the extent he neglects or fails to do so, he may be charged by Licensee for any expenses occasioned thereby.
5.15 Stands for Officials:
5.15.1 Each Licensee shall provide and maintain stands commanding an uninterrupted view of appropriate sectors of the racing strip for Racing Officials, such stands and location thereof to be approved by the Commission.
5.16 Distance Pole Markings:
5.16.1 Each Licensee shall cause quarter, eighth and sixteenth poles to be painted in appropriate distinguishing colors.
5.17 Facilities for Stable Employees:
5.17.1 Each Licensee shall provide and maintain in good repair adequate living quarters and conveniently located sanitary facilities such as showers, toilets and wash basins for stable employees. No person is authorized to sleep in any stall.
5.18 Facilities for Jockeys:
5.18.1 Each Licensee shall provide and maintain adequate facilities for Jockeys scheduled to ride each day, such facilities to include accommodations for the repose of Jockeys on racing days, showers, toilets, wash basins, mirrors and other accommodations as reasonably requested by the Clerk of Scales.
5.19 Sanitary Facilities for Patrons:
5.19.1 Each Licensee shall, on every racing day, provide adequate and sanitary toilets and wash rooms, and furnish free drinking water for patrons and persons having business at Licensee's premises.
5.20 Photo-finish Cameras:
5.20.1 Each Licensee shall provide and maintain at the finish line two photo-finish cameras for photographing the finish of races. The photo-finish photographer shall promptly furnish to the Stewards and Placing Judges prints of all finishes as may be requested by them. He also shall promptly furnish to the Licensee such number of prints as it may request for public display or otherwise.
5.21 Patrol Films or Video Tapes:
5.21.1 Each Licensee shall at all times during a race meeting provide and maintain personnel and equipment necessary to produce adequate motion pictures or video tapes, and record with same each race from start to finish.
5.21.1.1 Projection or viewing equipment shall be adequate to permit simultaneous showing of head-on and side-angle views of the running of each race.
5.21.1.2 Such films or video tapes shall be available to the Commission and Stewards for a reasonable time. Upon order of the Stewards, any such visual record of a race involving any question, dispute or controversy shall be filed with the Commission.
5.22 Ambulance
5.22.1 Each Licensee shall provide and maintain at least one ambulance for humans and at least one ambulance for horses during times horses are permitted to exercise or race.
5.23 First Aid Room:
5.23.1 Each Licensee shall equip and maintain adequate first-aid facilities with not less than two beds.
5.24 Track Kitchen:
5.24.1 During a race meeting, each Licensee shall provide eating facilities within the stable area, maintained in a clean and sanitary manner.
5.2 Communication System:
5.25.1 Each Licensee shall install and maintain, in good working service, communication systems between the Stewards' stand and Patrol Judge, Placing Judges, pari-mutuel department, starting gate, public address announcer and Clerk of the Scales.
5.26 Fire Prevention:
5.26.1 Each Licensee shall maintain a program for fire prevention and fire suppression and a fire-fighting unit of trained personnel equipped with high-expansion foam fire extinguishers and other equipment as may be recommended by the local fire inspection authority. Each Licensee shall prohibit:
5.26.1.1 Smoking in stalls, under shed rows and in feed rooms;
5.26.1.2 Open fires, oil or gas lamps in stable areas; and
5.26.1.3 Locking of stalls occupied by horses.
5.27 Communications from Licensee's Premises:
5.27.1 No person shall transmit or disseminate wagering information in violation of 18 U.S.C.A. §1084 or 11 Del.C. §1411, as now constituted or as hereafter amended.
Revised 1/6/92
5.28 Licensee's Police:
5.28.1 During a racing meet each Licensee shall provide and maintain, or arrange for, competent police and watchman services, night and day, in and about its grounds.
5.29 Security:
5.29.1 Each Licensee shall cause to be excluded from its grounds all persons designated by order of the Commission or Stewards to be excluded. This Rule shall not derogate from Licensee's absolute right on its own volition to exclude persons as provided in the next Rule.
5.30 Ejection or Exclusion from Licensee's Grounds; Fingerprints:
5.30.1 Licensee may eject or exclude any person from its grounds, or any part thereof, solely of its own volition and without any reason or excuse given therefor, provided that such ejection or exclusion is not based upon sex, race, creed, color, or national origin.
5.30.2 Any person who enters Licensee's grounds must, if Licensee requests, submit to having his or her fingerprints and photograph taken, for which Licensee may charge a reasonable fee to defray its costs therefor.
5.31 Outriders:
5.31.1 Each Licensee shall employ at least two Outriders to escort starters to the post and to assist in returning all horses to the unsaddling area. Each Licensee shall insure that Outriders are neat and clean in appearance and shall wear traditional apparel. Outriders shall be required to be present on the racing strip, mounted, and ready to assist in the control of any unruly horse or to recapture any loose horse at all times that horses are on the racing strip for racing.
5.32 Commission's Veterinarian:
5.32.1 The Commission will employ a graduate Veterinarian, licensed in Delaware, experienced in equine medicine and practice who, aided by such Assistant Veterinarians possessing like qualifications, 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.
5.32.2 The Commission'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;
5.32.3 The Commission'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.
5.32.4 The Commission'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 Veterinarian who shall report the condition of such horses to the Stewards.
5.32.5 No Commission's Veterinarian during his employment 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.
5.33 Horse Identifier:
5.33.1 Each Licensee shall employ one or more persons to be charged with the responsibility of proper identification of all horses entered to be raced. A Horse Identifier may accompany the Commission's Veterinarian on the pre-race examination of all starters. Every starter shall be examined in the paddock by a Horse Identifier for sex, age, color, markings and lip tattoo, for comparison with its registration certificate. Photographs may be used as an aid in identification. If a Horse Identifier has any doubt as to the identity of a horse entered to be raced, the Horse Identifier shall so notify the Paddock Judge and the Stewards.
5.34 Valets:
5.34.1 Each Licensee shall employ a sufficient number of persons as Valets to attend each individual rider on a day's racing program. Such Valets shall be under the immediate supervision and control of the Clerk of Scales. No rider shall employ a Valet or be attended by any person other than the Valet assigned to him by the Clerk of Scales. Valets shall be responsible for the care and cleaning of his assigned rider's apparel and equipment, shall insure his rider has the proper equipment and colors for each race, shall present the proper equipment and attend the saddling of his rider's mount, and shall attend the weighing out of his rider. No Valet or other Jockey room attendant may place a wager for himself or another, directly or indirectly, on races run while he is serving as a Valet. Each Licensee shall provide uniform attire for Valets who shall wear same at all times while performing their duties within public view.
5.35 Horsemen's Bookkeeper:
5.35.1 Each Licensee shall maintain a separate bank account from which payments of all money owing to horsemen in regard to purses, stakes, rewards, claims and deposits shall be made. Withdrawals from this account shall at all times be subject to audit by the Commission.
5.35.2 All portions of purse money shall be made available to earners thereof forty-eight (48) hours after the result of the race in which such money was earned has been declared official, contingent upon receipt from the Official Chemists of the results of their testing of samples taken, except, however, when the Stewards shall order money withheld until final adjudication of a dispute determining which persons are entitled to such money in dispute.
5.36 Thoroughbred Racing Protective Bureau:
5.36.1 The Commission approves and commends the work of the Thoroughbred Racing Protective Bureau to safeguard Thoroughbred racing in the United States from illegal and improper influences and authorizes any Licensee under these Rules to utilize its services and facilities and to rely upon its investigations, reports and advice respecting security matters without incurring any liability to any person or entity for doing so.
4 DE Reg. 179 (7/1/00)
6.0 Owners
6.1 Registration Required:
6.1.1 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, 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 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.
6.2 Requirements for Owner's Registration:
6.2.1 In addition to satisfying the requirements applicable to Permittee, et al., imposed by Rule 2.0, in order to be eligible for registration as an Owner, a person also:
6.2.1.1 Must be an individual 18 years of age or older.
6.2.1.2 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.
6.2.1.3 Must own or have under lease a horse eligible to race and be prepared to prove such upon call of the Stewards.
6.2.1.4 Must not engage in any activity directly or indirectly involving the racing performance of horses on Licensee's grounds owned and trained by others.
6.2.1.4.1 The Commission or its designee, 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 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.
6.2.1.4.2 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.
6.2.1.5 All owners must first secure the services of a Trainer licensed by the Commission before any horse owned by the individual or a partnership may be entered to race at a meet licensed by the Commission.
6.3 Ownership Disclosure:
6.3.1 Registered Owners and Trainers shall be held jointly responsible for making a full disclosure of the entire ownership of each horse in their care.
6.3.2 Such disclosure shall identify in writing all individual persons who directly, or indirectly, through a lien, lease, partnership, corporate stockholding, syndication or other joint venture, hold any present or reversionary right, title or interest in and to such horse, and those individual persons who by virtue of any form of interest might exercise control over such horse or can benefit from the racing of such horse; the degree and type of such ownership held by each individual person shall be designated.
6.3.3 Such disclosure shall be made when registering each horse with the Racing Secretary upon arrival on Licensee's grounds, or at time of entry, whichever event occurs first, and shall be revised immediately upon any subsequent change in such ownership.
6.3.4 Such disclosure together with all written agreements and affidavits setting out oral agreements pertaining to the ownership of or rights in and to a horse shall be attached to the registration certificate for such horse and filed with the Racing Secretary who shall be responsible for the care and security of such papers while such horse is located on Licensee's grounds.
6.3.5 Such disclosure is made for the benefit of the public and all documents pertaining to the ownership or lease of a horse filed with the Racing Secretary shall be available for public inspection.
6.3.6 The Stewards shall review the ownership of each horse entered to race and insure that each registration certificate is properly endorsed by the transferor to the present Owner. For racing purposes, the Stewards may determine the validity of all leases, transfers, and agreements pertaining to the ownership of a horse and may call for adequate evidence of ownership at any time. The Stewards may declare any horse ineligible to race if the ownership or control of such horse is in question.
6.4 Joint Ownership:
6.4.1 No more than four individual persons may be registered as Owners of a single horse.
6.4.2 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.
6.4.3 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.
6.4.4 The Commission 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.
6.5 Leases:
6.5.1 Horses may be raced under lease provided the lease agreement is annexed to the horse's registration certificate and is approved by the Stewards. The validity of a lease for the purposes of racing a horse in Delaware may be suspended temporarily or voided by the Stewards at any time. No lease may be approved by the Stewards for racing purposes unless:
6.5.1.1 Lessee is registered as an Owner;
6.5.1.2 Each of the signatures of the lessors and lessees on the lease agreement is subscribed and sworn to before a notary public;
6.5.1.3 Term of the lease is for no less than one year, unless sooner terminated by claim or retirement of the subject horse;
6.5.1.4 Conditions of the lease specify, as to parties to the lease, whether the subject horse can be entered in a race to be claimed. If agreeable to lessor that the subject horse may be entered to be claimed, conditions of the lease must specify the minimum price for which the subject horse can be entered and identify the name of the recipient of the claiming price;
6.5.1.5 Conditions of the lease specify that, upon a claim of the subject horse, the lease shall terminate and all rights in and to such horse shall pass to claimant as a bona fide purchaser;
6.5.1.6 After reviewing the full ownership of such leased horses, the interests of all persons involved in such lease, and the terms and conditions of such lease, the Stewards in their discretion find that such lease:
6.5.1.6.1 Completely divests lessors or sublessors of further control or direction of the racing performance of such horse while under lease; and
6.5.1.6.2 The resultant program listing of lessee would not mislead the betting public by reason of the absence in the program listing of the name of a person or persons possessing a beneficial interest in such leased horse.
6.6 Racing Colors:
6.6.1 Owners shall be responsible for designing and providing individual racing colors, consisting of jackets and caps of distinctive color and pattern to be worn by Jockeys during a race, such racing colors to be registered with the Licensee or its Registrar.
6.6.2 Racing colors must be registered annually, the application therefor to accompany application for an Owner's registration.
6.6.3 Registration of racing colors shall be at the discretion of Licensee. Disputes as to rights to particular racing colors shall be determined by the Commission. Licensee or its Registrar may refuse to accept for registration racing colors which:
6.6.3.1 Are not readily distinguishable by color and pattern from racing colors currently registered with Licensee or with the Jockey Club; and
6.6.3.2 Include advertising, promotional, or cartoon symbols or words or which, in the opinion of the Commission, are not in keeping with the traditions of the Turf.
6.6.3.3 No horse may be raced in racing colors other than those registered in the name of the horse's Owner without special permission of the Stewards. If an Owner races two or more horses in the same race, jackets shall be identical while caps shall be varied in color or design. Any deviation from registered colors granted by the Stewards shall be immediately announced.
6.6.3.4 Owners and Trainers shall be jointly responsible for the condition of racing colors, insuring that they are neat, clean and in good repair and that an adequate number of sets of racing colors are placed in the care of the Clerk of Scales.
6.6.3.5 The Clerk of Scales and the Valet serving a Jockey shall be jointly responsible for having the correct jacket and cap on each rider when leaving the Jockey room for the paddock.
6.6.3.6 Racing colors are not assignable and registration thereof may be cancelled upon the death of an Owner or upon the revocation or suspension of his Owner's registration.
6.7 Unauthorized Employees:
6.7.1 No Owner or Trainer may employ or contract with a person who holds no permit or authorization to perform an activity on Licensee's grounds for which a permit or authorization is required. An Owner shall immediately notify the Racing Secretary upon change of Trainer during a race meeting.
6.8 Authorized Agent:
6.8.1 A registered Owner may, as a principal, authorize any person, as an agent, to act in such Owner's behalf in all matters pertaining to racing in this State and ownership of horses on Licensee's grounds, as provided by these Rules, infra. A registered Owner, as a principal, shall be jointly liable and responsible with his Authorized Agent for all acts and omissions of such Authorized Agent, serving in such Owner's behalf in a racing matter, until written notification from such Owner revoking such agency is received by Licensee or its Registrar.
6.9 Suspension:
6.9.1 In the event the registration of an Owner is suspended or revoked, all horses owned wholly or in part by such Owner shall not be permitted to race during such suspension unless such horses are irrevocably transferred to a registered Owner and such transfer is approved by the Stewards as completely and permanently divesting such suspended former Owner of control of or benefit from the subsequent racing of such horses.
6.10 Partnerships:
6.10.1 Partnerships must be registered with Licensee or its Registrar. Partnership papers shall set forth the following:
6.10.1.1 The name and address of every person having an interest in the horse or horses involved;
6.10.1.2 The relative proportion of such interests;
6.10.1.3 To whom the winnings are payable;
6.10.1.4 In whose name the horse or horses shall run;
6.10.1.5 With whom the power of entry and declaration rests;
6.10.1.6 The terms of any contingency, lease or any other arrangement; and
6.10.1.7 The names of the horse or horses involved. Any partner transacting business on behalf of a partnership must own an interest therein at least equal to that owned by any other partner. All partnership registrations must be signed by all of the partners or by their authorized agent.
6.10.1.8 Any alteration in a recorded partnership must be reported in writing to Licensee or its Registrar and signed by all the partners or their authorized agent. All the parties in a partnership and each of them shall be jointly and severally liable for all stakes, fees and other obligations.
6.11 Duty to Pay Accounts:
6.11.1 Owners having unpaid jockey or other fees at the close of a race meeting shall be billed by Licensee within twenty (20) days of the close of the race meet with a duplicate copy of the bill to the Trainer. Such accounts shall be paid within thirty (30) days from billing date. At the expiration of the thirty (30) day period, it shall be the duty of Licensee to notify the Racing Commission or the Stewards, in writing, of all delinquent accounts, at which time all Owners with outstanding accounts will be suspended until such fees are paid. (Also, see Rule 11.12).
4 DE Reg. 174 (7/1/00)
5 DE Reg. 1694 (3/1/02)
7 DE Reg. 766 (12/1/03)
7.0 Trainers
7.1 Registration Required:
7.1.1 No horse may be raced in this State unless the Trainer thereof has been granted a current Trainer's registration by the Commission.
7.2 Requirements for Trainer's Registration:
7.2.1 In addition to satisfying the requirements applicable to Permittees, et al., imposed by Rule 2.0, in order to be eligible for registration as a Trainer, a person:
7.2.1.1 Must be an individual 18 years or older; no Trainer may be licensed to train under an assumed or stable name;
7.2.1.2 Must be qualified by experience or competence to care for and train race horses;
7.2.1.3 Must have in his charge a horse eligible to race;
7.2.1.4 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.
7.2.1.4.1 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 8.3.
7.2.1.4.2 The Commission 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 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.
7.3 Duties and Responsibilities:
7.3.1 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:
7.3.2 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.
7.3.3 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.
7.3.4 Shall register with the Racing Secretary all horses in his charge in the manner required by Rule 6.3. 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 7.3.7.
7.3.5 Shall bear the absolute responsibility to report bleeders from other jurisdictions to the Commission's Veterinarian or Stewards, on official forms from that state, prior to entry.
7.3.6 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.
7.3.7 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.
7.3.8 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.
7.3.9 May attend the taking and testing of a saliva, urine or blood sample from a horse in his charge by Commission's Veterinarian and/or Chemist, or may delegate one of his employees holding an authorization or permit to do so.
7.3.10 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.
7.3.11 Shall promptly report to the Commission's Veterinarian any sickness or death of any horse in his charge.
7.4 Restrictions on Ownership:
7.4.1 No registered Trainer shall have any interest, by ownership or lease, in the racing or breeding qualities of a horse for which he is not the Trainer at any race meeting at which such Trainer is in charge of a racing stable.
7.5 Horses Suspended:
7.5.1 All horses in the charge of a Trainer whose registration has been revoked or suspended shall not be permitted to race during the period of such Trainer's suspension. Upon application by the Owners of such suspended horses, the Stewards may approve the bona fide transfer of such horses to the care of another registered Trainer and, upon such approved transfer, such horses may be entered to race.
7.6 Assistant Trainer:
7.6.1 A registered Owner or registered Trainer may employ an Assistant Trainer. Such Assistant Trainer must obtain an authorization from the Commission 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.
4 DE Reg. 179 (7/1/00)
8.0 Jockeys and Apprentice Jockeys
8.1 Probationary Mounts:
8.1.1 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:
8.1.2 Such person has had at least one year of service with a racing stable and currently holds a permit issued by the Commission for a recognized activity in racing;
8.1.3 A registered Trainer certifies in writing to the Stewards that such person has demonstrated sufficient horsemanship to be permitted such probationary mounts;
8.1.4 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;
8.1.5 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.
8.2 Qualification for Permit:
8.2.1 In addition to satisfying the requirements applicable to Permittees, et al., imposed by Part 2 of these Rules, in order to be eligible to have an authorization or permit issued to him as a Jockey or Apprentice Jockey, a person also:
8.2.2 Must be an individual 16 years of age or older;
8.2.3 Must utilize in his or her application his or her legal name only so that such may be listed in the daily race program;
8.2.4 Must have served at least one year with a racing stable;
8.2.5 Must have ridden in at least two races; and
8.2.6 Must, when required by the Stewards, provide a medical affidavit certifying he or she is physically and mentally capable of performing the activities and duties of a Jockey.
8.3 Amateur or Provisional Jockey:
8.3.1 An amateur wishing to ride in races on even terms with professional riders, but without accepting fees or gratuities therefor, must be approved by the Stewards as to competency of horsemanship, may be granted a Jockey's authorization or permit, and such amateur status must be duly noted on the daily race program. A registered Owner or registered Trainer, upon approval by the Stewards, may be issued a provisional Jockey's authorization or permit to ride his or her own horse or horse registered in his or her care as Trainer.
8.4 Apprentice Allowance:
8.4.1 An apprentice jockey may claim the following weight allowances in all overnight races except stakes and handicaps:
8.4.1.1 A ten pound allowance beginning with the first mount and continuing until the apprentice has ridden five winners.
8.4.1.2 A seven pound allowance until the apprentice has ridden an additional 35 winners.
8.4.1.3 If an apprentice has ridden a total of 40 winners prior to the end of a period of one year from the date of riding his or her fifth winner, he or she shall have an allowance of five pounds until the end of that year.
8.4.1.4 If after one year from the date of the fifth winning mount, the apprentice jockey has not ridden 40 winners, the applicable weight allowance shall continue for more than one year or until the 40th winner, whichever comes first. An apprentice may in no event claim a weight allowance for more than two years from the date of the fifth winning mount, unless an extension has been granted pursuant to this Rule.
8.4.1.5 After the completion of the weight allowances as defined in this Rule, a contracted apprentice may for one year claim three pounds when riding horses owned or trained by his or her original contract employer, provided his or her contract has not been transferred or sold since his or her first winner. Such original contract employer shall be deemed the party to the contract who was the employer at the time of the apprentice jockey's first winner.
8.4.1.6 An apprentice jockey may enter into a contract with a registered owner or registered trainer qualified under Rule 8.5 for a period not to exceed five years. Such contracts must be approved by the stewards and filed with the licensee or its registrar. Such contracts shall be binding in all respects on the signers thereof. An apprentice who is not contracted may be given an apprentice jockey certificate on a form furnished by the licensee or its registrar.
8.4.1.7 After the completion of the weight allowances defined in this Rule, such rider must obtain a jockey license before accepting subsequent mounts.
8.4.1.8 The Commission may extend the weight allowance of an apprentice jockey when, in the discretion of the Commission, an apprentice jockey is unable to continue riding due to:
8.4.1.8.1 Physical disablement or illness;
8.4.1.8.2 Military service;
8.4.1.8.3 Attendance in an institution of secondary or higher education;
8.4.1.8.4 Restriction on racing;
8.4.1.8.5 Other valid reasons.
8.4.1.9 To qualify for an extension, an apprentice jockey shall have been rendered unable to ride for a period of not less than seven (7) consecutive days during the period in which the apprentice was entitled to an apprentice weight allowance. Under exceptional circumstances, total days lost collectively will be given consideration.
8.4.1.10 The Commission currently licensing apprentice jockeys shall have the authority to grant an extension to an eligible applicant, but only after the apprentice has produced documentation verifying time lost as defined by this Rule.
8.4.1.11 An apprentice may petition one of the jurisdictions in which he or she is licensed and riding for an extension of the time for claiming apprentice weight allowances, and the apprentice shall be bound by the decision of the jurisdiction so petitioned.
Revised 10/31/96.
8.5 Rider Contracts:
8.5.1 All contracts between an employer or Trainer and employee rider are subject to the rules of racing. All riding contracts for terms longer than 30 days, as well as any amendments thereto, or cancellations or transfer thereof, must be in writing with the signatures of the parties thereto notarized, be approved by the Stewards and filed with Licensee or his Registrar. The Stewards may approve a riding contract and permit parties thereto to participate in racing at Licensee's premises if they find that:
8.5.2 The contract employer is a registered Owner or registered Trainer who owns or trains at least three horses eligible to race at the time of execution of such contract;
8.5.3 The contract employer possesses such character, ability, facilities and financial responsibility as may be conducive to the development of a competent race rider;
8.5.4 Such contracts for Apprentice Jockeys provide for fair remuneration, adequate medical care and an option equally available to both employer and Apprentice Jockey to cancel such contract after two years from the date of execution.
8.6 Restrictions as to Contract Riders:
8.6.1 No rider may:
8.6.1.1 Ride any horse not owned or trained by his or her contract employer in a race against a horse owned or trained by his or her contract employer;
8.6.1.2 Ride or agree to ride any horse in a race without the consent of his or her contract employer;
8.6.1.3 Share any money earned from riding with his or her contract employer;
8.6.1.4 Repealed: 10/31/96.
8.7 Calls and Engagements:
8.7.1 Any rider not so prohibited by prior contract may agree to give first or second call on his or her race-riding services to any registered Owner or Trainer. Such agreements, if for terms of more than 30 days, must be in writing, approved by the Stewards and filed with the Licensee or its Registrar. Any rider employed by a racing stable on a regular salaried basis may not ride against the stable which so employs him or her. No Owner or Trainer shall employ or engage a rider to prevent him or her from riding another horse.
8.8 Jockey Fee:
8.8.1 The fee to a Jockey in all races shall be, in the absence of special agreement, as follows:
Winning Second Third Losing
Purse Mount Mount Mount Mount
$5,000 to 10% of Win $65 $50 $45
9,900 Purse
$10,000 to 10% of Win 5% 5% $50
14,900 Purse
$15,000 to 10% of Win 5% 5% $55
24,900 Purse
$25,000 to 10% of Win 5% 5% $65
49,900 Purse
$50,000 to 10% of Win 5% 5% $80
99,900 Purse
$100,000 10% of Win 5% 5% $105
and up Purse
8.8.2 A jockey fee shall be considered earned by a rider when he or she is weighed out by the Clerk of Scales, except when:
8.8.2.1 A rider does not weigh out and ride in a race for which he or she has been engaged because an Owner or Trainer engaged more than one rider for the same race; in such case, the Owner or Trainer shall pay an appropriate fee to each rider engaged for such race.
8.8.2.2 Such rider capable of riding elects to take himself or herself off the mount without, in the opinion of the Stewards, proper cause therefor.
8.8.2.3 Such rider is replaced by the Stewards with a substitute rider for a reason other than a physical injury suffered by such rider during the time between weighing out and start of the race.
8.9 Duty to Fulfill Engagements:
8.9.1 Every rider shall fulfill his or her duly scheduled riding engagements unless excused by the Stewards. No rider shall be forced to ride a horse he or she believes to be unsound nor over a racing strip he or she believes to be unsafe, but if the Stewards find a rider's refusal to fulfill a riding engagement is based on a personal belief unwarranted by the facts and circumstances, such rider may be subject to disciplinary action.
8.10 Presence in Jockey Room:
8.10.1 Each rider who has been engaged to ride in a race shall be physically present in the Jockey room no later than one hour prior to post time for the first race on the day he or she is scheduled to ride, unless excused by the Stewards or the Clerk of Scales and, upon arrival, shall report to the Clerk of Scales his or her engagements. In the event a rider fails for any reason to arrive in the Jockey room prior to one hour before post time of a race in which he or she is scheduled to ride, the Clerk of Scales shall so advise the Stewards who thereupon may name a substitute rider, in which case they shall cause an announcement to be made of any such rider substitution prior to the opening of wagering on such race.
8.10.2 Each rider reporting to the Jockey room shall remain in the Jockey room until he or she has fulfilled all his riding engagements for the day, except to ride in a race or to view the running of a race from a location approved by the Stewards. Such rider shall have no contact or communication with any person outside the Jockey room other than an Owner or Trainer for whom he or she is riding, or a racing official, or a representative of Licensee, until such rider has fulfilled all his or her riding engagements for the day.
8.10.3 Licensee shall take measures designed to exclude from the Jockey room all persons, except riders scheduled to ride on the day's program, Valets, authorized attendants, Racing Officials, representatives of Licensee and persons having special permission from the Stewards to enter the Jockey room.
8.10.4 Any rider intending to discontinue riding at a race meeting prior to its conclusion shall so notify the stewards not later than after fulfilling his or her final riding engagement of the day he or she intends to depart.
8.11 Weighing Out:
8.11.1 Each rider engaged to ride in a race shall report to the Clerk of Scales for weighing out not more than one hour and not less than 15 minutes before post time for each race in which he or she is engaged to ride and to report their weight and overweight, if any, at a time designated by the Stewards.
8.11.2 No rider shall pass the scale with more than one pound overweight, without the consent of the Owner or Trainer of the horse he or she is engaged to ride. In no event shall a rider pass the scale with more than five pounds overweight.
8.11.3 No horse shall be disqualified because of overweight carried.
8.11.4 Whip, blinkers, number cloth, bridle and rider's safety helmet and rider's safety vest (with a minimum British rating of #5) shall not be included in a rider's weight.
Revised: 10/20/93
8.12 Wagering:
8.12.1 No rider shall place a wager, or cause a wager to be placed on his behalf, or accept any ticket or winnings from a wager on any race, except on his or her own mount to win, or a combination wager on his or her own mount to win, place and show, and except through the Owner or Trainer of the horse he or she is riding. Such Owner or Trainer placing wagers for his rider shall maintain a precise and complete record of all such wagers and such record shall be available for examination by the Stewards at all times.
8.13 Attire:
8.13.1 Upon leaving the Jockey room to ride in any race, each rider shall be neat and clean in appearance and wear the traditional Jockey costume with all jacket buttons and catches fastened. Except with the approval of the Stewards, each Jockey shall wear the cap and jacket racing colors registered in the name of the Owner of the horse he or she is to ride, white or light breeches, top boots, safety helmet approved by the Commission, safety vest approved by the Commission and a number on his or her right shoulder corresponding to his or her mount's number as shown on the saddle cloth and daily race program. The Clerk of Scales and attending Valet shall be held jointly responsible with a rider for his or her neat and clean appearance and proper attire.
Revised: 10/20/93
8.14 Viewing Films or Tapes of Race
8.14.1 Every rider shall be responsible for checking the film list posted by the Stewards in the Jockey room the day after riding in a race, the posting of same to be considered as notice to all riders whose names are listed thereon to present themselves at the time designated by the Stewards to view the patrol films or video tape of races. Any rider may be accompanied by a representative of the Jockey organization of which he or she is a member in viewing such films or, with the Stewards' permission, be represented at such viewing by his or her designated representatives.
4 DE Reg. 174 (7/1/00)
4 DE Reg. 1131 (1/1/01)
9.0 Agents, Authorized and Jockey
9.1 Agency Permitted:
9.1.1 Any registered Owner or Jockey or Apprentice Jockey holding a permit issued by the Commission may, as a principal, authorize another person as an a