WSR 04-09-053

EMERGENCY RULES

HORSE RACING COMMISSION


[ Filed April 16, 2004, 9:38 a.m. ]

Date of Adoption: April 8, 2004.

Purpose: To clarify and provide for a process to be used by the stewards in making initial agency determinations of violations of agency rules and to provide standard guidelines for standard violations.

Citation of Existing Rules Affected by this Order: Amending WAC 260-24-510 Stewards.

Statutory Authority for Adoption: RCW 67.16.020.

Under RCW 34.05.350 the agency for good cause finds that immediate adoption, amendment, or repeal of a rule is necessary for the preservation of the public health, safety, or general welfare, and that observing the time requirements of notice and opportunity to comment upon adoption of a permanent rule would be contrary to the public interest.

Reasons for this Finding: On March 31, 2004, the governor signed into law SHB 2575 (fifty-eighth legislative session), which took effect immediately. SHB 2575 adds new sections to chapter 67.16 RCW, which (1) gives the board of stewards, upon making a determination that an individual or licensee has violated a commission rule, the authority to assess a fine, suspend or revoke persons license, or any combination of these penalties; and (2) requires the commission to adopt by rule standard penalties for rule violations. The immediate amendment of this rule is necessary for the preservation of the general welfare. Waiting until adoption of a permanent rule (scheduled for May 13, 2004) would be contrary to the public interest.

Number of Sections Adopted in Order to Comply with Federal Statute: New 0, Amended 0, Repealed 0; Federal Rules or Standards: New 0, Amended 0, Repealed 0; or Recently Enacted State Statutes: New 0, Amended 1, Repealed 0.

Number of Sections Adopted at Request of a Nongovernmental Entity: New 0, Amended 0, Repealed 0.

Number of Sections Adopted on the Agency's Own Initiative: New 0, Amended 0, Repealed 0.

Number of Sections Adopted in Order to Clarify, Streamline, or Reform Agency Procedures: New 0, Amended 0, Repealed 0.

Number of Sections Adopted Using Negotiated Rule Making: New 0, Amended 0, Repealed 0; Pilot Rule Making: New 0, Amended 0, Repealed 0; or Other Alternative Rule Making: New 0, Amended 0, Repealed 0.
Effective Date of Rule: Immediately.

April 15, 2004

R. M. Leichner

Executive Secretary

OTS-6905.5


AMENDATORY SECTION(Amending WSR 03-13-074, filed 6/13/03, effective 7/14/03)

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

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

(b) The stewards shall enforce ((these rules and the racing laws of this jurisdiction)) the rules of racing in chapters 260-12 through 260-84 WAC;

(c) The stewards' authority includes ((supervision)) 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;

(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 impositions of more severe penalties, if in their judgment the penalty should be more drastic.

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

(3) ((Disciplinary action:

(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 with a violation of these rules, to conduct hearings and to impose disciplinary action in accordance with these rules;

(c) The stewards may compel the attendance of witnesses and the submission of documents or potential evidence related to any investigation or hearing;

(d) The stewards may at any time inspect license documents, registration papers and other documents related to racing;

(e) The stewards shall have the power to administer oaths and examine witnesses;

(f) The stewards shall consult with the official veterinarian to determine the nature and seriousness of a laboratory finding or an alleged medication violation;

(g) The stewards may impose any of the following penalties on a licensee for a violation of these rules;

(i) Issue a reprimand;

(ii) Assess a fine;

(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;

(vi) Revoke a license; or

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

(h) The stewards may suspend a license for not more than one year per violation; or they may impose a fine not to exceed $2,500 per violation; or they may suspend and fine; or they may order that a person be ineligible for licensing. For violations covered by Chapter 260-70 [WAC] Medication, the stewards shall follow the penalty guidelines as set forth in WAC 260-70-690;

(i) A stewards' ruling shall not prevent the commission from imposing a more severe penalty;

(j) 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;

(k) Purses, prizes, awards and trophies shall be redistributed if the stewards or commission order a change in the official order of finish;

(l) All fines imposed by the stewards shall be paid to the commission within 48 hours after the ruling is issued, unless otherwise ordered.)) 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 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:


Class A & B Licensed Facilities
Violations within calendar year 1st Offense 2nd Offense 3rd Offense
Smoking in the barn $25 $50 $100
Tampering with a smoke detector $50 $100 $250 plus possible suspension
Vehement verbal quarrel or use of profanity or abusive language towards another person $100 $250 Suspension
Physical fight or altercation $100 and/or probation $250 plus suspension
Licensing - failure to divulge a felony $100 plus possible denial of license
Licensing - failure to divulge a misdemeanor Warning - $50 $50
Licensing - nonparticipation License canceled
Violation of any claiming rule in chapter 260-60 WAC (Return of horse and payment of bills) $200-$500 plus possible suspension
Use of profanity or abusive language $50 $100 $250
Failure to follow instructions of security or a racing official $25 $50 $100 plus possible suspension
Unsafe vehicle operation $50 $100 and recommend racing association revoke vehicle pass
Financial responsibility 30 days or before the end of the meet (whichever is sooner) to resolve or suspension
Failure to appear - hearing Suspension pending appearance
Failure to honor call - agents $75 $100 $200
Reporting incorrect weight - jockeys $50 $100 $200
Failure to appear for films - jockeys $50 $100 $200
Failure to fulfill riding engagement after entries $100 $150 $200
Easing mount without cause $250 $400 plus suspension
Jockey failing to maintain straight course - no disqualification Warning - $250 $250 - $500 $500 - $1000
Jockey failing to maintain straight course - disqualification 3 days or $2500 (jockey's option) 3 day suspension 6 day suspension
Jockey disqualification Warning - $250 $250 - $500 $500 - $1000
Jockey who is aggressor in physical altercation - public area or jockeys quarters $200 $500 plus possible suspension $1000 plus suspension
Jockey who participates in physical altercation - public area or jockeys quarters Warning - $100 Warning - $150 Warning - $500
Jockey's misuse of whip Warning - $2500
Use of stimulating device (may include batteries) 1 year suspension plus mandatory referral to commission for revocation
Possession of stimulating device (may include batteries) 1 year suspension
Attempting to manipulate outcome of a race 1 year suspension plus mandatory referral to commission for revocation
Entering ineligible horse $100
Arriving late to receiving barn Warning - $50 Warning - $50 $50 - $100
Failure to follow instructions in the paddock $50 $100 $100
Failure to have foal papers on file - resulting in a scratch $100 $100 $100
Failure to handle business properly - late equipment change, etc. $50 $100 $100
Insufficient workouts - resulting in scratch $100 $100 $100
Class C Licensed Facilities
Violation within calendar year 1st Offense 2nd Offense 3rd Offense
Smoking in the barn $25 $50 $100
Tampering with a smoke detector $50 $100 $250 plus possible suspension
Vehement verbal quarrel or use of profanity or abusive language towards another person $50 $100 Suspension
Physical fight or altercation $100 plus possible probation $250 plus suspension
Licensing - failure to divulge a felony $100 plus possible denial of license
Licensing - failure to divulge a misdemeanor or gross misdemeanor Warning - $25 $50
Licensing - nonparticipation License canceled
Violation of any claiming rule in chapter 260-60 WAC (Return of horse and payment of bills) $100 - $250 plus possible suspension
Use of profanity or abusive language $50 $100
Failure to follow instructions of security or a racing official $25 $50 $100 plus possible suspension
Unsafe vehicle operation $50
Financial responsibility 30 days or before the end of the fall meet (whichever is sooner) to resolve or suspension
Failure to appear - hearing Suspension pending appearance
Failure to honor call - agents $25 $50 $100
Reporting incorrect weight - jockeys $25 $50 $100
Failure to appear for films - jockeys $25 $50 $100
Failure to fulfill riding engagement after entries $50 $100 $200
Easing mount without cause $100 $200/Suspension
Failure to maintain straight course - no disqualification Warning - $250 $250 - $500 $500 - $1000
Failure to maintain straight course - disqualification 3 day suspension or $1000 (jockey's option) 3 day suspension 6 day suspension
Jockey disqualification Warning - $250 $250 - $500 $500 - $1000
Jockey who is aggressor in physical altercation - public area or jockeys quarters $100 $250 plus possible suspension $500 plus suspension
Jockey who participates in physical altercation - public area or jockeys quarters Warning - $50 Warning - $100 Warning - $250
Jockey's misuse of whip Warning - $2500
Use of stimulating device (may include batteries) 1 year suspension plus mandatory referral to commission for revocation
Possession of stimulating device (may include batteries) 1 year suspension
Attempting to manipulate outcome of a race 1 year suspension plus mandatory referral to commission for revocation
Entering ineligible horse $25 $50 $50
Failure to follow instructions in the paddock $25 $50 $50
Failure to have foal papers on file - resulting in a scratch $50 $50 $50
Failure to handle business properly - late equipment change, etc. $50 $100 $100
Insufficient workouts - resulting in scratch $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 Suspension until paid plus $25 for each quarter payment is late
Unlicensed or improperly licensed personnel (trainer's responsibility) L&I premium plus $100 L&I premium plus $500 L&I premium plus $500
Licensed personnel but not in groom slot (trainer's responsibility) L&I premium plus $100 L&I premium plus $500 L&I premium plus $500
Unlicensed person on the backside Report violation to the racing association

For any other violation not specifically listed above, 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 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.

(g) Authority to conduct stewards' ruling conference:

(i) The stewards shall have the authority to:

(A) Conduct a ruling conference;

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

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

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

(E) Question witnesses; and

(F) Consider all relevant evidence.

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

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

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

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

(D) 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.

(iii) Failure to appear as required in (f)(i) and (ii) of this subsection shall be considered a violation of the rules of racing for which penalties may be imposed.

(iv) 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.

(v) The stewards shall allow the licensee to make a statement regarding the alleged violation.

(h) 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 appeal to the commission; and

(vi) Plain statement of licensees' options, which shall include:

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

(B) Appealing the stewards' determination within twenty days.

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

(j) If a person does not file an appeal with the commission within twenty days or in the format required by chapter 260-88 WAC, then the person is deemed to have waived his or her right to appeal. After twenty days, if an appeal has not been filed, the stewards' penalty shall be imposed.

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

(l) If the stewards determine that a licensee'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 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 from 3 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 may, during the meeting, appoint a substitute subject to the confirmation of the commission.

(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. The report shall contain the name of the racetrack, the date, the weather and track conditions, claims, inquiries, objections and hearings and any unusual circumstances or conditions. The report shall be signed by each steward and be filed with the commission;

(b) Not later than seven days after the last day of a race meeting, the presiding steward shall submit to the commission 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.

(((10) When the stewards feel that a rule, other than a rule of the race, has been violated by any person, the procedure shall be as follows:

(a) He or she shall be summoned to a hearing before the stewards, called for that purpose;

(b) Adequate notice of said hearing shall be given to the summoned party. The stewards' decision as to what is adequate notice shall be final;

(c) No penalty shall be imposed until such hearing;

(d) Nonappearance of the summoned party after adequate notice shall be construed as a waiver of right to hearing before the stewards;

(e) No special announcement of the hearing or of the alleged infraction of rules shall be made until after said hearing. Immediately after a hearing, provided the matter is settled, the stewards shall transmit their findings in a stewards ruling to the commission and to the party in question. Thereafter, if a penalty is imposed for the infraction of the rules but only in the case of penalty, the commission may make a public statement.

(11) Nothing in this rule shall prohibit the stewards from taking necessary action to prevent or avoid the immediate danger to the public health, safety or welfare or the integrity of racing.))

[Statutory Authority: RCW 67.16.020. 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.]

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