WSR 05-04-084

PROPOSED RULES

HORSE RACING COMMISSION


[ Filed February 2, 2005, 8:03 a.m. ]

Original Notice.

Preproposal statement of inquiry was filed as WSR 04-04-023.

Title of Rule and Other Identifying Information: WAC 260-24-510 and 260-24-500.

Hearing Location(s): Auburn City Council Chambers, 25 West Main, Auburn, WA 98001, on March 10, 2005, at 9:30 a.m.

Date of Intended Adoption: March 10, 2005.

Submit Written Comments to: Robert J. Lopez, 6326 Martin Way, Suite 209, Olympia, WA 98516-5578, e-mail rlopez@whrc.state.wa.us, fax (360) 459-6461, by March 7, 2005.

Assistance for Persons with Disabilities: Contact Patty Sorby by March 7, 2005, TTY (360) 459-6462.

Purpose of the Proposal and Its Anticipated Effects, Including Any Changes in Existing Rules: To amend WAC 260-24-510, to clarify the authority of the stewards related to the following: (1) Limiting their authority to chapters 260-12 through 260-84 WAC, excluding chapters 260-49 and 260-75 WAC; (2) eliminating the ability of the stewards to interpret rules and to have authority over issues not specifically covered in Title 260 WAC; (3) clarifying that their authority over a race meet terminates at the direction of the executive secretary; (4) removing the penalty matrix from WAC 260-24-510 and moving it to chapter 260-84 WAC; (5) clarifying that the film list is a referral to the film analyst; (6) clarifying the reporting requirements of the stewards; (7) clarifying who may appoint a substitute steward; and (8) providing a process for an owner or trainer to challenge the decision of the board of stewards to place or maintain a horse on the stewards' list. The proposal also amends WAC 260-24-510, specifically subsection (9) to comply with the changes proposed in WAC 260-24-510 regarding substitute stewards.

Reasons Supporting Proposal: Limits the authority of the stewards, eliminates duties and responsibilities outside the authority of the stewards, and provides regulatory reform.

Statutory Authority for Adoption: RCW 67.16.020 and [67.16.]040.

Statute Being Implemented: None.

Rule is not necessitated by federal law, federal or state court decision.

Name of Proponent: Washington Horse Racing Commission, governmental.

Name of Agency Personnel Responsible for Drafting: Robert J. Lopez, 6326 Martin Way, Suite 209, Olympia, WA 98516-5578, (360) 459-6462; Implementation and Enforcement: Robert M. Leichner, 6326 Martin Way, Suite 209, Olympia, WA 98516-5578, (360) 459-6462.

No small business economic impact statement has been prepared under chapter 19.85 RCW. Not applicable.

A cost-benefit analysis is not required under RCW 34.05.328. Not applicable.

February 1, 2005

R. M. Leichner

Executive Secretary

OTS-7682.2


AMENDATORY SECTION(Amending WSR 04-17-082, filed 8/16/04, effective 9/16/04)

WAC 260-24-510   Stewards.   (1) General authority:

(a) The stewards for each ((meeting)) race meet shall be responsible to the executive secretary for the conduct of the race ((meeting)) meet and the initial agency determination of alleged rule violations in accordance with these rules;

(b) The stewards shall enforce the rules of racing in chapters 260-12 through 260-84 WAC, excluding chapters 260-49 and 260-75 WAC;

(c) The stewards' authority includes regulation of all racing officials, track management, licensed personnel, other persons responsible for the conduct of racing, and patrons, as necessary to insure compliance with these rules;

(d) All nominations, entries, declarations and scratches shall be ((conducted under the supervision of the stewards)) monitored by a steward;

(e) The stewards shall have authority to resolve conflicts or disputes related to violations of the rules of racing and to discipline violators in accordance with the provisions of these rules;

(f) The stewards shall take notice of any questionable conduct with or without complaint thereof;

(g) ((The stewards have the authority to interpret the rules and to decide all questions of racing not specifically covered by the rules;

(h) Should any case occur which may not be covered by these rules of racing, it shall be determined by the stewards of the race meeting in conformity with justice and in the best interest of racing; and)) The stewards of the meeting are hereby given authority to exercise their full power, recommending to the commission the imposition((s)) of more severe penalties((, if in their judgment the penalty should be more drastic)) if necessary.

(2) The stewards' period of authority shall commence ((10)) ten days prior to the beginning of each race meet, or at such other time as is necessary in the opinion of the executive secretary, and shall terminate ((with the completion of their business pertaining to the meeting)) at the direction of the executive secretary. One ((of the three)) steward((s)) shall be designated as the presiding steward by the commission.

(3) Stewards ruling conference regarding violations of rules of racing:

(a) The stewards shall take notice of alleged misconduct or rule violations and initiate investigations into such matters.

(b) The stewards shall have authority to charge any licensee or other person with a violation of these rules, to make rulings and to impose penalties including the following:

(i) Issue a reprimand;

(ii) Assess a fine not to exceed $2,500.00, except as provided in WAC 260-70-690;

(iii) Require forfeiture or redistribution of purse or award, when specified by applicable rules;

(iv) Place a licensee on probation;

(v) Suspend a license or racing privileges for not more than one year per violation;

(vi) Revoke a license; or

(vii) Exclude from grounds under the jurisdiction of the commission.

(c) ((Except as provided in (d) of this subsection,)) The stewards' imposition of reprimands, fines and suspensions shall be based on the ((following penalty matrixes:)) penalty matrix in WAC 260-84-060.


((Class A & B Licensed Facilities
Violations within calendar year 1st Offense 2nd Offense 3rd Offense
Smoking in restricted areas WAC 260-20-030 $25 $50 $100
Tampering with a fire protection, prevention or suppression system or device WAC 260-20-030 $50 $100 $250 plus possible suspension
Disturbing the peace WAC 260-80-140 Warning - $200 and/or suspension Warning - $500 and/or suspension Suspension
Person performing duties for which they are not licensed WAC 260-36-010 $50 $100 $150
Unlicensed or improperly licensed personnel (trainer's responsibility) WAC 260-28-230 $500
Licensing - failure to divulge a felony WAC 260-36-120 $100 or possible denial of license
Licensing - failure to divulge a gross misdemeanor or misdemeanor WAC 260-36-120 Warning - $50
Licensing - providing false information on application

WAC 260-36-120

$50 - $250 or possible denial of license
Licensing - nonparticipation WAC 260-36-080 License canceled
Violation of any claiming rule in chapter 260-60 WAC $200 - $500 plus possible suspension
Use of improper, profane or indecent language to a racing official WAC 260-80-130 $50 $100 $250
Unsafe vehicle operation WAC 260-20-020 Warning - $50 $100 and recommend racing association revoke vehicle pass
Financial responsibility

WAC 260-28-030

Resolve 30 days or before the end of the meet (whichever is sooner) to resolve or suspension
Failure to appear - hearing WAC 260-24-510 Suspension pending appearance
Failure to honor riding engagements (call) - agents WAC 260-32-400 $75 $100 $200
Reporting incorrect weight - jockeys WAC 260-32-150 $50 $100 $200
Failure to appear for films - jockeys WAC 260-24-510 $50 $100 $200
Failure to fulfill riding engagement WAC 260-32-080 $100 $150 $200
Easing mount without cause WAC 260-52-040 $250 $250 and/or suspension $500 and/or suspension
Jockey failing to maintain straight course or careless riding WAC 260-52-040 Warning - $750 and/or suspension (riding days)
Jockey's misuse of whip WAC 260-52-040 Warning - $2500
Use of stimulating device (may include batteries) WAC 260-52-040 1 year suspension plus mandatory referral to commission for revocation
Possession of stimulating device (may include batteries) WAC 260-52-040, WAC 260-80-100 1 year suspension plus mandatory referral to commission for revocation
Offering or accepting a bribe in an attempt to influence the outcome of a race WAC 260-80-010 and 260-80-020 1 year suspension plus mandatory referral to commission for revocation
Entering ineligible horse WAC 260-80-030 $50 $100 $100
Arriving late to the paddock WAC 260-28-200 Warning - $50 Warning - $50 $50 - $100
Failure to have registration papers on file - resulting in a scratch WAC 260-40-090 $50 - $100 $100 $100
Failure to handle business properly - late equipment change, etc. WAC 260-44-010 Warning - $50 $100 $100
Insufficient workouts - resulting in scratch WAC 260-40-100 $50 - $100 $100 $100


Class C Licensed Facilities
Violation within calendar year 1st Offense 2nd Offense 3rd Offense
Smoking in restricted areas

WAC 260-20-030

$25 $50 $100
Tampering with a fire protection, prevention or suppression system or device WAC 260-20-030 $50 $100 $250 plus possible suspension
Disturbing the peace WAC 260-80-140 Warning - $100 and/or suspension $250 and/or suspension Suspension
Person performing duties for which they are not licensed WAC 260-36-010 $50 $100 $150
Unlicensed or improperly licensed personnel (trainer's responsibility) WAC 260-28-230 $100
Licensing - failure to divulge a felony WAC 260-36-120 $100 or possible denial of license
Licensing failure to divulge a misdemeanor or gross misdemeanor WAC 260-36-120 Warning - $25
Licensing - providing false information on application WAC 260-36-120 $50 - $250 or possible denial of license
Licensing - nonparticipation

WAC 260-36-080

License canceled
Violation of any claiming rule in chapter 260-60 WAC $100 - $250 plus possible suspension
Use of improper, profane or indecent language to a racing official WAC 260-80-130 $50 $100 $250
Unsafe vehicle operation WAC 260-20-020 Warning - $50
Financial responsibility WAC 260-28-030 Resolve 30 days or before the end of the fall meet (whichever is sooner) to resolve or suspension
Failure to appear - hearing WAC 260-24-510 Suspension pending appearance
Failure to honor riding engagements (call) - agents WAC 260-32-400 $25 $50 $100
Reporting incorrect weight - jockeys WAC 260-32-150 $25 $50 $100
Failure to appear for films - jockeys WAC 260-24-510 $25 $50 $100
Failure to fulfill riding engagement WAC 260-32-080 $50 $100 $200
Easing mount without cause WAC 260-52-040 $100 $200 and/or suspension $400 and/or suspension
Jockey failing to maintain straight course or careless riding WAC 260-52-040 Warning - $750 and/or suspension (riding days)
Jockey's misuse of whip WAC 260-52-040 Warning - $2500
Use of stimulating device (may include batteries) WAC 260-52-040 1 year suspension plus mandatory referral to commission for revocation
Possession of stimulating device (may include batteries) WAC 260-52-040, WAC 260-80-100 1 year suspension plus mandatory referral to commission for revocation
Offering or accepting a bribe in an attempt to influence the outcome of a race WAC 260-80-010 and 260-80-020 1 year suspension plus mandatory referral to commission for revocation
Entering ineligible horse WAC 260-80-030 $25 $50 $50
Arriving late to the paddock WAC 260-28-200 Warning - $25 $50 $50
Failure to have registration papers on file - resulting in a scratch WAC 260-40-090 $50 $100 $100
Failure to handle business properly - late equipment change, etc. WAC 260-44-010 Warning - $50 $50 $50


Class A, B & C Licensed Facilities
Violation within calendar year 1st Offense 2nd Offense 3rd Offense
Failure to pay or default on L&I payment WAC 260-28-220 Suspension until paid plus $25 for each quarter payment is late
Failure to maintain employee L&I records for grooms and assistant trainers (trainer's responsibility) WAC 260-28-230 Warning - $50
Unlicensed person on the backside WAC 260-20-040 Report violation to the racing association))

For any other violation not specifically listed ((above)) in WAC 260-84-060, the stewards shall have discretion to impose the penalties as provided in (b) of this subsection. ((For violations considered minor, the fine can be up to $500 and/or suspension for up to sixty days. Fines for violations considered major can be up to $2,500 and/or suspension up to one year.))

(d) ((Circumstances which may be considered for the purpose of mitigation or aggravation of any penalty shall include, but are not limited to, the following:

(i) The impact of the offense on the integrity of the parimutuel industry;

(ii) The danger to human and/or equine safety;

(iii) The number of prior violations of the rules of racing or violations of racing rules in other jurisdictions; and/or

(iv) The deterrent effect of the penalty imposed.

(e) For violations covered by chapter 260-70 WAC, Medication, the stewards shall follow the penalty guidelines as set forth in WAC 260-70-690.

(f))) The stewards may ((place)) direct a jockey ((on a film list)) to the film analyst whenever a jockey is involved in questionable, unsafe or potentially dangerous riding. Jockeys referred to the film analyst ((or stewards)) shall appear when directed. Failure to appear when directed shall be considered a violation of the rules of racing for which penalties may be imposed.

(((g) The stewards may refer any matter to the commission and may include recommendations for disposition. The absence of a stewards' referral shall not preclude commission action in any matter. A stewards' ruling shall not prevent the commission from imposing a more severe penalty.

(h))) (e) The stewards shall have the authority to conduct a ruling conference, and the authority to:

(i) Direct the attendance of witnesses and commission employees;

(ii) Direct the submission of documents, reports or other potential evidence;

(iii) Inspect license documents, registration papers and other documents related to racing or the rule violation;

(iv) Question witnesses; and

(v) Consider all relevant evidence.

(i) The stewards shall serve notice of a conference to person(s) alleged to have committed a violation, which shall contain the following information:

(i) A statement of the time and place the conference will be held;

(ii) A reference to the particular sections of the WAC involved;

(iii) A short and plain statement of the alleged violation; and

(iv) A statement that if the person does not appear, the ruling will be made in his/her absence, and that failure to appear will be considered a separate violation of the rules of racing.

(((j))) (f) Failure to appear for a ruling conference shall be considered a violation of the rules of racing for which penalties may be imposed.

(((k))) (g) It is the duty and obligation of every licensee to make full disclosure to the board of stewards of any knowledge he/she possesses of a violation of any rule of racing. No person may refuse to respond to questions before the stewards on any relevant matter within the authority of the stewards, except in the proper exercise of a legal privilege, nor shall any person respond falsely before the stewards.

(((l))) (h) At the ruling conference, the stewards shall allow the ((licensee)) person alleged to have committed a violation to make a statement regarding the alleged violation.

(((m))) (i) All ruling conferences shall be recorded.

(((n))) (j) Every ruling by the stewards must be served in writing on the person(s) found in violation within five days and shall include:

(i) Time and place the ruling was made;

(ii) Statement of rules violated;

(iii) Details of the violation;

(iv) Penalties to be imposed;

(v) Procedure for requesting a hearing before the commission to challenge the ruling; and

(vi) Plain statement of ((licensees')) the options of the person found in violation, which shall include:

(A) Accepting the penalty imposed by the stewards; or

(B) Requesting a hearing before the commission challenging the stewards' ((determination)) ruling within seven days.

(((o))) (k) The stewards' ruling shall be posted and a copy provided to the racing association.

(((p))) (l) If a person does not file a request for hearing before the commission within seven days or in the format required by chapter ((260-88)) 260-08 WAC, then the person is deemed to have waived his or her right to a hearing before the commission. After seven days, if a request for hearing before the commission has not been filed, the stewards' penalty shall be imposed.

(((q))) (m) "Service" of the notice of ruling conference or a stewards' ruling shall be by either personal service ((on the licensee)) to the person or by depositing the notice of ruling conference or stewards' ruling into the mail to the ((licensee's)) person's last known address in which case service is complete upon deposit in the U.S. mail.

(((r))) (n) If the stewards determine that a ((licensee's)) person's actions constitute an immediate, substantial danger to human and/or equine health, safety, or welfare, the stewards may enter a ruling summarily suspending the license and/or eject from the grounds pending a ruling conference before the board of stewards. A summary suspension takes effect immediately on issuance of the ruling. If the stewards suspend a license under this subsection, the licensee is entitled to a ruling conference before the board of stewards, not later than five days after the license was summarily suspended. The licensee may waive his/her right to a ruling conference before the board of stewards on the summary suspension.

(4) Protests, objections and complaints. The stewards shall cause an investigation to be conducted and shall render a decision in every protest, objection and complaint made to them. ((They shall maintain a record of all protests, objections and complaints. The stewards shall file daily with the commission a copy of each protest, objection or complaint and any related ruling.)) The stewards are vested with the power to determine the extent of disqualification in case of fouls. They may place the offending horse behind such horses as in their judgment it interfered with, or they may place it last.

(5) Stewards' presence:

(a) On each racing day at least one steward shall be on duty at the track beginning three hours prior to first race post time. The full board of stewards shall sit in regular session to exercise their authority and perform the duties imposed on them by the rules of racing;

(b) Three stewards shall be present in the stewards' stand during the running of each race. In case of emergency, the ((stewards)) executive secretary may((, during the meet,)) appoint a substitute ((subject to the confirmation of the commission)) steward.

(6) Order of finish for parimutuel wagering:

(a) The stewards shall determine the official order of finish for each race in accordance with these rules of racing;

(b) The decision of the stewards as to the official order of finish, including the disqualification of a horse or horses as a result of any event occurring during the running of the race, shall be final for purposes of distribution of the parimutuel wagering pool.

(7) The stewards have the authority to cancel wagering on an individual betting interest or on an entire race and also have the authority to cancel a parimutuel pool for a race or races, if such action is necessary to protect the integrity of parimutuel wagering.

(8) Records and reports:

(a) The stewards shall prepare a ((daily report, detailing their actions and observations made during each day's race program)) weekly report of their regulatory activities. The report shall contain the name of the racetrack, the date, the weather and track conditions, claims, inquiries, protests, objections ((and hearings and any unusual circumstances or conditions)), complaints and conferences. The report shall be ((signed by each steward and be)) filed with ((the commission)) and approved by the executive secretary;

(b) Not later than seven days after the last day of a race meeting, the presiding steward shall submit to the ((commission)) executive secretary a written report regarding the race meeting. The report shall contain:

(i) The stewards' observations and comments regarding the conduct of the race meeting, the overall conditions of the association grounds during the race meeting; and

(ii) Any recommendations for improvement by the association or action by the commission.

(9) Stewards' list:

(a) The stewards shall maintain a stewards' list of the horses which are ineligible to be entered in a race because of poor or inconsistent performance or behavior on the racetrack that may endanger the health or safety of other participants in racing;

(b) The stewards may place a horse on the stewards' list when there exists a question as to the exact identification or ownership of said horse;

(c) A horse which has been placed on the stewards' list because of inconsistent performance or behavior, may be removed from the stewards' list when, in the opinion of the stewards, the horse can satisfactorily perform competitively in a race without endangering the health or safety of other participants in racing;

(d) A horse which has been placed on the stewards' list because of questions as to the exact identification or ownership of said horse, may be removed from the stewards' list when, in the opinion of the stewards, proof of exact identification and/or ownership has been established.

(e) An owner or trainer who disagrees with the stewards' decision of placing or maintaining a horse on the stewards' list may request and be granted a stewards' ruling conference to challenge the decision of the stewards.

[Statutory Authority: RCW 67.16.020. 04-17-082, 260-24-510, filed 8/16/04, effective 9/16/04; 03-13-074, 260-24-510, filed 6/13/03, effective 7/14/03. Statutory Authority: RCW 67.16.040. 98-01-145, 260-24-510, filed 12/19/97, effective 1/19/98.]

Reviser's note: The typographical error in the above section occurred in the copy filed by the agency and appears in the Register pursuant to the requirements of RCW 34.08.040.

OTS-7745.2


AMENDATORY SECTION(Amending WSR 98-01-145, filed 12/19/97, effective 1/19/98)

WAC 260-24-500   Racing officials.   (1) Officials at a race meeting include the following:

(a) Stewards;

(b) Racing secretary;

(c) Horsemen's bookkeeper;

(d) Mutuel manager;

(e) Official veterinarian(s);

(f) Horse identifier;

(g) Paddock judge;

(h) Starter;

(i) Security director, association;

(j) Commission security inspector(s);

(k) Commission auditor;

(l) Clerk of scales;

(m) Jockey room supervisor;

(n) Film analyst;

(o) Clocker(s);

(p) Race timer;

(q) Paddock plater;

(r) Mutuel inspector;

(s) Outrider(s);

(t) Any other person designated by the commission.

(2) The commission officials of a race meeting shall be designated prior to each race meeting and those commission officials shall be compensated by the commission.

The association officials of a race meeting shall include but are not limited to: Racing secretary, mutuel manager, starter, horsemen's bookkeeper, association security director, jockey room supervisor and outrider(s).

(3) Eligibility:

(a) To qualify as a racing official, the appointee shall be;

(i) Of good character and reputation;

(ii) Familiar with the duties of the position and with the commission's rules of racing;

(iii) Mentally and physically able to perform the duties of the job; and

(iv) In good standing and not under suspension or ineligible in any racing jurisdiction.

(b) To qualify for appointment as a steward the appointee shall be an Association of Racing Commissioners International-accredited steward and be in good standing with all Association of Racing Commissioners International member jurisdictions, unless the appointee has been appointed as a substitute steward as provided in WAC 260-24-510. The commission may waive this accreditation requirement for Class C race meetings.

(4) The commission, in its sole discretion, may determine the eligibility of a racing official and, in its sole discretion, may approve or disapprove any such official for licensing.

(5) While serving in an official capacity, racing officials and their assistants shall not:

(a) Participate in the sale or purchase, or ownership of any horse racing at the meeting; unless disclosed in advance and approved by the board of stewards;

(b) Sell or solicit horse insurance on any horse racing at the meeting;

(c) Be licensed in any other capacity without permission of the commission, or in case of an emergency, the permission of the stewards;

(d) Wager on the outcome of any race for which parimutuel wagering is conducted under the jurisdiction of the commission; or

(e) Consume or be under the influence of alcohol or any prohibited substances while performing official duties.

(6) Racing officials and their assistants shall immediately report to the stewards every observed violation of these rules.

(7) Complaints against officials:

(a) Complaints against any steward shall be made in writing to the commission and signed by the complainant;

(b) Any complaint against a racing official other than a steward shall be made to the stewards in writing and signed by the complainant. All such complaints shall be reported to the commission by the stewards, together with a report of the action taken or the recommendation of the stewards;

(c) A racing official may be held responsible by the stewards or the commission for the actions of their assistants;

(8) Appointment:

(a) A person shall not be appointed to more than one racing official position at a meeting unless specifically approved by the commission;

(b) The commission shall appoint or approve its officials for each race meeting, the officials shall perform the duties as outlined herein and such other duties as are necessary as determined by the commission or its executive secretary.

(9) Where an emergency vacancy exists among racing officials, the ((stewards)) executive secretary or the association, ((with the stewards' approval,)) shall fill the vacancy immediately. Such appointment shall be reported to the commission and shall be effective until the vacancy is filled in accordance with these rules.

(10) Should any steward be absent at race time, and no approved alternate steward be available, the remaining stewards shall appoint a substitute for the absent steward. If a substitute steward is appointed, the commission and the association shall be notified by the stewards.

[Statutory Authority: RCW 67.16.040. 98-01-145, 260-24-500, filed 12/19/97, effective 1/19/98.]

Washington State Code Reviser's Office