WSR 04-14-101

PROPOSED RULES

HORSE RACING COMMISSION


[ Filed July 6, 2004, 4:29 p.m. ]

Original Notice.

Preproposal statement of inquiry was filed as WSR 03-21-079.

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

Hearing Location(s): Auburn City Council Chambers, 25 West Main Street, Auburn, WA, on August 12, 2004, at 10:00 a.m.

Date of Intended Adoption: August 12, 2004.

Submit Written Comments to: Robert M. Leichner, Executive Secretary, Washington Horse Racing Commission, 6326 Martin Way, Suite 209, Olympia, WA 98516-5578, fax (360) 459-6461, by August 12, 2004.

Assistance for Persons with Disabilities: Contact Patty Sorby by August 11, 2004.

Purpose of the Proposal and Its Anticipated Effects, Including Any Changes in Existing Rules: 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.

Summary: To amend the current rule to make the steward responsible to the executive secretary for the conduct of each race meet, establishes that the stewards will make the initial agency determination of alleged rule violations, replaces the stewards hearing with a stewards ruling conference, adds a penalty matrix outlining standard penalties for common rule violations, including first, second and third violations within a calendar year, outlines the authority of the stewards and includes a process to appeal the actions of the board of stewards.

Explanation of Rule, its Purpose, and Anticipated Effects: WAC 260-24-510 Stewards, addresses the authority of the stewards and their responsibilities regarding te conduct of a race meet, the section is being amended to replace the stewards hearing process with the stewards ruling conference as part of the agency initial determination of alleged rule violations. The amendment also establishes standard penalties for common rule violations within a calendar year. If adopted this rule will simplify the agency's initial determination and provide easier access to appeal stewards' decisions and provide the licensees some expectation of the penalty if the alleged rule violation they are accused of is sustained.

Proposal Changes the Following Existing Rules: Makes the stewards responsible to the executive secretary for the conduct of a race meet, and to make the initial agency's determination of alleged rule violations. Outlines the authority of the board of stewards. Replaces the current stewards hearing process with the stewards ruling conference. Places into rule a penalty matrix for common rule violations. Establishes a process to appeal the findings and penalties of the stewards.

Reasons Supporting Proposal: With passage of SHB 2575 in the fifty-eighth legislative session, stewards are now granted authority to reprimand, fine, suspend, revoke or any combination persons violating the rules of racing. The legislation also requires the agency to establish in rule a standard penalty matrix.

Statutory Authority for Adoption: RCW 67.16.020.

Statute Being Implemented: SHB 2575.

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

Agency Comments or Recommendations, if any, as to Statutory Language, Implementation, Enforcement, and Fiscal Matters: Implements portions of SHB 2575.

Name of Proponent: Washington Horse Racing Commission, governmental.

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

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

RCW 34.05.328 does not apply to this rule adoption.

July 6, 2004

R. M. Leichner

Executive Secretary

OTS-6905.7


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 of each race meet, 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 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
Attempting to manipulate the outcome of a race WAC 260-80-025 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
Attempting to manipulate outcome of a race WAC 260-80-025 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, 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 a jockey on a film list 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) 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) Failure to appear for a ruling conference shall be considered a violation of the rules of racing for which penalties may be imposed.

(k) 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) At the ruling conference, the stewards shall allow the licensee to make a statement regarding the alleged violation.

(m) 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' options, which shall include:

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

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

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

(o) 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 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.

(p) "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.

(q) 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)) 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 may, during the ((meeting)) meet, 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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