WSR 07-01-114



[ Filed December 20, 2006, 10:34 a.m. ]

Original Notice.

Preproposal statement of inquiry was filed as WSR 06-17-026.

Title of Rule and Other Identifying Information: Chapter 260-28 WAC, Ownership, trainers, and employees.

Hearing Location(s): Auburn City Council Chambers, 25 West Main, Auburn, WA 98001, on February 9, 2007, at 9:30 a.m.

Date of Intended Adoption: February 9, 2007.

Submit Written Comments to: Robert J. Lopez, 6326 Martin Way, Suite 209, Olympia, WA 98516-5578, e-mail, fax (360) 459-6461, by February 6, 2007.

Assistance for Persons with Disabilities: Contact Patty Sorby by February 9, 2007, TTY (360) 459-6462.

Purpose of the Proposal and Its Anticipated Effects, Including Any Changes in Existing Rules: The purpose of the proposed amendments is the continued effort of the agency toward regulatory reform (Executive Order 97-02) and to write rules in clear language (Executive Order 05-03 and 06-02), and to adopt rules consistent with the national model horse racing rules whenever possible. In addition to minor changes to existing rules substantive changes are being proposed to the following sections: WAC 260-28-010, redefining the roles and responsibilities of an authorized agent; WAC 260-28-020, clarifying the rules related to stable names; WAC 260-28-080, redefining the rules of ownership by corporations, companies and other organizations; WAC 260-28-100, clarifies the requirements of the trainer when a new trainer is assigned; and WAC 260-28-130 and 260-28-235.

Reasons Supporting Proposal: Proposal has removed unnecessary and outdated language, rewritten rules in clear and concise language, and rules in the chapter are now consistent with national model horse racing rules.

Statutory Authority for Adoption: RCW 67.16.020.

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.

December 20, 2006

Robert J. Lopez

Deputy Executive Secretary


AMENDATORY SECTION(Amending Rules of racing, filed 4/21/61)

WAC 260-28-010   Authorized agent.   ((An authorized agent is an agent appointed by document signed by the owner before a notary public and lodged with the secretary. An agent so appointed will be recognized by the commission as having authority to handle any and all matters pertaining to the stable for which he is authorized to act, and the acts of such agent shall be deemed the acts of the owner, and owner accepts responsibility for his agent's acts. The term of the license shall expire December 31st of each year, unless the agent's appointment is revoked by the owner in writing or until revoked for cause by the commission.)) An authorized agent is a person appointed by an owner or by a stable to act as their agent. Before an authorized agent can act on behalf of the owner or the stable, the agent must be licensed by the commission as an authorized agent. All licensed authorized agents must also file a notarized document signed by the owner or stable manager with the commission verifying their authorization to act as authorized agent along with the scope of their duties. A trainer is not required to be an authorized agent in order to represent the owner in the matter of entries, nominations, scratches, and the employment of jockeys.

[Rules of racing, 32, filed 4/21/61.]

AMENDATORY SECTION(Amending WSR 04-24-019, filed 11/22/04, effective 12/23/04)

WAC 260-28-020   Stable names -- Registration fees and restrictions.   ((Each stable name must be duly registered with the commission.

(1) In applying to race under a stable name the applicant must disclose the identity or identities behind a stable name. If a partnership is involved in the identity behind a stable name, the rules covering partnerships must be complied with.

(2) Changes in identities must be reported immediately to and approval obtained from the commission.

(3) No person can use his real name for racing purposes so long as he has a registered one, without permission of the board of stewards.

(4) A trainer who is a licensed owner or part owner may use a stable name as owner or part owner. However, no trainer may be licensed as trainer other than in his legal name.

(5) Any person who has been registered under a stable name may, at any time, cancel it after he has given written notice to the commission.

(6) A stable name may be changed at any time by registering a new stable name and by paying the fee as required above.

(7) A person cannot register as his stable name one which has been registered by any other person with an association conducting a recognized meeting, or the Jockey Club (N.Y.) or with another racing authority.

(8) A person may not register as his stable name one which is the real name of any owner of race horses, nor one which is the real or assumed name of any prominent person not owning race horses.

(9) A stable name shall be plainly distinguishable from that of another duly registered stable name.

(10) No stable name shall be used if in the judgment of the stewards it is being used for advertising purposes.

(11) Any combination of more than three owners will be required to race under a stable name.)) Licensed owners and lessees may adopt a stable name subject to the approval of the stewards.

(1) Any combination of four or more owners are required to race under a stable name.

(2) The applicant must identify all persons using the stable name. Changes must be reported immediately to the stewards.

(3) Application for a stable name must include a designation of a managing owner and an address. Receipt of any correspondence, notice or order at such address will constitute official notice to all persons involved in the ownership of such horse.

(4) All persons with an ownership interest in the stable name must comply with all rules regarding licensing of owners.

(5) A person who has registered a stable name may cancel it upon written notice to the stewards.

(6) The stewards will not approve a stable name that has been registered by any other person with any association conducting a recognized race meeting.

(7) No stable name may be used, if in the judgment of the stewards, it is being used for advertising purposes.

(8) A stable name must be clearly distinguishable from other stable names.

[Statutory Authority: RCW 67.16.020. 04-24-019, 260-28-020, filed 11/22/04, effective 12/23/04. Statutory Authority: RCW 67.16.020 and 67.16.040. 80-01-034 (Order 79-06), 260-28-020, filed 12/17/79; Order 71-9, 260-28-020, filed 6/2/71; Rules of racing, 31, filed 3/11/65; subsection (4) amended, filed 8/26/65; 31, filed 4/21/61.]

AMENDATORY SECTION(Amending WSR 03-07-056, filed 3/14/03, effective 4/14/03)

WAC 260-28-030   Financial responsibility.   (1) ((No licensee shall)) A licensee may not willfully fail or refuse to pay money due for services, supplies, or fees connected with his or her operations as a licensee. ((No licensee shall)) A licensee may not falsely deny such an amount due or the validity of a complaint on such an amount due for the purpose of hindering, delaying, or defrauding the person to whom the amount is due.

(2) A financial responsibility complaint against a licensee must be in writing, signed by the complainant, and accompanied by documentation of the services, supplies or fees alleged to have been provided, or by a judgment from a civil court that has been issued within two years of the date of the complaint.

(3) Any licensee failing to make restitution as a result of a complaint where the amount owed is undisputed or judgment may be subject to disciplinary action, including a license suspension.

(4) The stewards will consider for disciplinary action only those financial responsibility complaints that meet the following criteria:

(a) The complaint involves services, supplies or fees that are directly related to the licensee's Washington racetrack and training operations; and

(b) The debt or cause of action originated in Washington, or the civil court judgment was issued in Washington, within two years of the date the complaint is filed.

(5) In determining whether to act on a financial responsibility complaint, the stewards may consider the number of financial responsibility complaints made by the complainant against the same licensee within a two-year period immediately preceding the current complaint.

(6) ((No)) A licensee ((shall)) may not write, issue, make or present any check in payment for any license fee, fine, nomination or entry fee or other fees, or for any service or supplies when the licensee knows or should reasonably know that the check will be refused for payment by the bank upon which it is written, or that the account upon which the check is written does not contain sufficient funds for payment of the check, or that the check is written on a closed or nonexistent account. The fact that such a check is returned to the payee by the bank as refused is ((a)) grounds for ((a)) license suspension pending satisfactory redemption of the returned check.

[Statutory Authority: RCW 67.16.040. 03-07-056, 260-28-030, filed 3/14/03, effective 4/14/03; Rules of racing, 27, filed 4/21/61.]

AMENDATORY SECTION(Amending Order 82-05, filed 6/25/82)

WAC 260-28-050   Colors -- Registration and fees.   (1) Racing colors must be registered, and authority for their use ((sanctioned)) approved by a steward. ((Such registration shall)) Approval will be made annually((, upon issuance of an)) when the owner's license is approved.

(2) Colors registered with any racing commission or with the Jockey Club ((of New York shall be respected)) will be honored in Washington and only the registrant ((shall)) will be permitted to use them.

(3) No person ((shall)) may start a horse in racing colors other than those registered in his ((own or assumed))/her name((, but a temporary change from the recorded)) or stable name. A temporary change of racing colors ((may)) must first be ((approved by the stewards)) authorized by the jockey room supervisor.

(4) Any disputes ((between claimants to the right of particular)) related to racing colors ((shall)) will be decided by the stewards.

(((5) Any temporary change from the recorded colors of the owner must be approved by the stewards and posted by the clerk of the scales on the notice board.))

[Statutory Authority: RCW 61.16.020 and 67.16.040. 82-14-012 (Order 82-05), 260-28-050, filed 6/25/82; Rules of racing, 64, filed 4/21/61.]

AMENDATORY SECTION(Amending Rules of racing, filed 4/21/61)

WAC 260-28-060   Engagements and transfer ((of same)).   (1) When a horse is claimed ((out of a claiming race)), any nominations previously made to a stake or any breed association sponsored race for the horse((s engagements are included)) will remain valid.

(2) ((Subscriptions and all)) Nominations, entries or rights of entry ((are)) remain valid when a horse is sold ((with his engagements duly transferred; in duly registered partnerships when subscriptions, entries and rights of entries survive in the remaining partners; and when entries under the decedent's subscription has been made previous to the decedent's death by the transfer of the right of entry)) or claimed, except when the horse is transferred to a person whose license is suspended or who is otherwise disqualified to race or enter the horse, then the nomination will be void as of the date of the transfer.

(3) ((Subscriptions and all entries or rights of entry under them become void on the death of a subscriber, except in case of duly registered partnerships or except subject to the sanction of the stewards, when the personal representative of an estate shall in writing, request that the benefits of such accrue to the estate of the decedent subscriber for the privilege of transfer, and shall agree to assume any and all obligations incident to the original entries.)) The death of a nominator to a stake race will not render void any nomination, entry, or right of entry. All rights, privileges and obligations will attach to the legal heir of the decedent or the new owner of the horse.

(4) ((In case of any transfer of a horse with its engagements, such horse will not be eligible to start in any stakes, unless at the usual time of the running of the stakes, or prior thereto, the transfer of the horse and its engagements shall be exhibited when demanded to the racing secretary.

(5) Should)) If a horse ((be)) is sold ((with his engagements, or any part of them,)) or claimed the seller cannot ((strike)) withdraw the horse ((out of any such)) from any engagements.

[Rules of racing, 88 through 92, filed 4/21/61.]

AMENDATORY SECTION(Amending Rules of racing, filed 4/21/61)

WAC 260-28-070   Ownerships to be filed with commission and racing secretary.   ((All ownerships in a horse, except a trainer's percentage of his winnings, shall be filed with the racing secretary, before the horse shall start, as also shall every change in ownership thereafter during the meeting.)) Before a horse may start, all persons with an ownership interest in the horse must be disclosed to the commission and racing secretary.

(1) A trainer's entitlement to a percentage of a horse's winnings is not considered an ownership interest.

(2) If ownership changes during the race meet, the new owner must notify the commission.

[Rules of racing, 107, filed 4/21/61.]

AMENDATORY SECTION(Amending Order 75-1, filed 2/18/75)

WAC 260-28-080   ((Corporate ownership and leases.)) Ownership by corporations, companies, or other organizations.   ((No license as an owner shall be granted to a corporation or to the lessee or lessees of any corporation unless such corporation shall have no more than ten stockholders or members each of whom shall be the registered and beneficial owner of stock or membership in such corporation; nor shall any corporation having more than ten such stockholders have the power to lease for racing purposes to any natural person or persons or partnership any horse owned or controlled by it. Each stockholder must file an application for an owner's license: Provided, That the commission, through its board of stewards, may waive the requirement of ten or less stockholders and permit a corporation which has up to twenty-five stockholders to be licensed if all of the stockholders have sufficient local connections so that the process of checking applications is not unduly burdensome.

All the stockholders or members of a corporation which owns or leases horses for racing purposes in the state of Washington and also all such corporations shall make and file with the commission as and when requested by it, a report or reports containing such information as the commission may specify; and upon refusal or failure to file such report or reports the commission may refuse a license to any lessee or lessees of such corporation or may revoke any such license which it may have granted.)) (1) If the legal owner of any horse is a corporation, company, or other organization, each shareholder or member must be licensed.

(2) Each corporation, company, or other organization must disclose to the commission all shareholders or members of the organization.

(3) Corporations, companies, or other organizations must submit an application for a stable license.

[Order 75-1, 260-28-080, filed 2/18/75; Rules of racing, 107(a), filed 4/21/61.]

WAC 260-28-085   Leases.   A horse may be raced under a lease if a completed breed registry or other notarized lease form is attached to the certificate of registration and on file with the commission. The lessee must be licensed as the horse owner. If the legal owner of the horse is ineligible for licensing, the lessee will not be licensed.


AMENDATORY SECTION(Amending Rules of racing, filed 4/21/61)

WAC 260-28-100   Change of trainers.   If an owner changes trainers, he/she must notify the racing commission ((and require)) within seventy-two hours. This form must be signed by the new trainer ((to sign his name on said owner's registration)) acknowledging that he/she accepts responsibility for the horse or horses, and by the previous trainer to release any obligations in connection with the horse or horses.

[Rules of racing, 178, filed 4/21/61.]

AMENDATORY SECTION(Amending Rules of racing, filed 4/21/61)

WAC 260-28-110   Employment of jockey to prevent riding.   ((No)) An owner ((shall)) or trainer may not employ a jockey for the purpose of preventing ((him)) the jockey from riding in any race.

[Rules of racing, 179, filed 4/21/61.]

AMENDATORY SECTION(Amending Rules of racing, filed 4/21/61)

WAC 260-28-120   Bribes and gratuities.   ((No)) An owner ((shall)) or trainer may not accept, directly or indirectly, any bribe, gift or gratuity in any form which might influence the result of any race, ((or tend to do so)) or which was intended to influence the result of any race.

[Rules of racing, 180, filed 4/21/61.]

AMENDATORY SECTION(Amending Rules of racing, filed 4/21/61)

WAC 260-28-130   May not employ ((nonlicensed)) unlicensed veterinarian(( -- Report of certain illnesses and treatments)).   ((No owner or trainer or their representative, shall employ a veterinarian who is not licensed as such by the state board of veterinary examiners. Licensed)) Owners and trainers will only employ veterinarians who are properly licensed by the Washington state department of health and the commission. Racing associations ((shall)) will use all reasonable efforts to prevent ((nonlicensed)) unlicensed veterinarians from practicing on their ((premises)) grounds. ((Every such veterinarian who shall prescribe or use any medication or treatment which contains a drug or drugs which he has reason to believe are of such character as would affect the racing condition of a horse in a race, shall at the time of prescribing or use deliver to the trainer of the horse under treatment a written statement, setting forth the date, the name of the horse and of the owner, and the name of said drug or drugs so prescribed or used. A copy of this statement shall also be delivered to the board of stewards. Any illness with unusual symptoms shall immediately be reported by the trainer or attending veterinarian to the stewards.))

[Rules of racing, 181, filed 4/21/61.]

AMENDATORY SECTION(Amending Rules of racing, filed 4/21/61)

WAC 260-28-200   Trainer -- Paddock duties.   (1) A trainer ((shall)) must have his or her horse in the paddock at the time appointed.

(2) A trainer ((shall)) must attend his or her horse in the paddock, and ((shall)) must be present to ((supervise his saddling)) saddle the horse, unless he/she has obtained the permission of a steward to send another licensed trainer as a substitute.

[Rules of racing, 282, 283, filed 4/21/61.]

AMENDATORY SECTION(Amending Order 4, filed 12/24/69)

WAC 260-28-210   Trainer -- Substitute for absent trainer.   If a trainer ((is to)) will be absent from the track where his or her horses are participating in races, ((he)) the trainer must first obtain a licensed trainer to substitute for him or her during ((his)) the trainer's absence. ((Such a)) The substitute trainer must be approved by ((the board of stewards upon forms approved by the racing commission)) a steward prior to the original trainer's absence. The original trainer ((is)) remains the absolute insurer of ((the)) any horses he or she has entered. ((The)) Once a substitute trainer has been approved by a steward, the substitute trainer will then become the absolute insurer of any additional horses he or she may enter.

[Order 4, 260-28-210, filed 12/24/69; Rules of racing, 284, filed 4/21/61.]

AMENDATORY SECTION(Amending Rules of racing, filed 4/21/61)

WAC 260-28-220   Trainer -- Duty to register horses with racing secretary.   Each trainer ((shall)) must register with the racing secretary all the horses in his or her charge, giving the name, age, sex, breeding and ownership of each horse.

[Rules of racing, 285, filed 4/21/61.]

AMENDATORY SECTION(Amending WSR 06-07-067, filed 3/10/06, effective 4/10/06)

WAC 260-28-230   Trainer -- Duty to register personnel -- Safety equipment.   A trainer ((shall be)) is required to notify the commission of the name((s)) of every person in the trainer's employ and ((be)) is responsible to ensure that all the trainer's employees are properly licensed by the commission before being allowed to work. If a trainer releases any employee from employment, the trainer ((shall)) must notify the stewards within forty-eight hours.

A trainer ((shall also be responsible to)) must ensure that all the trainer's employees wear a safety helmet and safety vest while on horseback, in compliance with WAC 260-12-180.

[Statutory Authority: RCW 67.16.020 and 67.16.040. 06-07-067, 260-28-230, filed 3/10/06, effective 4/10/06. Statutory Authority: RCW 67.16.040. 00-06-072, 260-28-230, filed 3/1/00, effective 4/1/00. Rules of racing, 286, filed 4/21/61.]

AMENDATORY SECTION(Amending Rules of racing, filed 5/4/66)

WAC 260-28-235   Trainer -- Duty to provide employees financial relief from injury.   ((As a proper means of financial relief from injury, the Washington horse racing commission requires as a condition to issuance of a license that the applicant file proof of compliance with one of the following coverages:

(1) That the trainer cover his employees under state industrial insurance through the Washington state department of labor and industries.

(2) Trainers obtain coverage from private insurance carrier duly licensed to do business in the state of Washington, and approved by the Washington horse racing commission.

(3) Posting of surety bond with sureties to be approved by the commission, in such amount as designated by the Washington horse racing commission.)) At the time of submitting a license application, all trainers must pay the industrial insurance premium assessment required by RCW 67.16.300 and 51.16.210 for each person in their employment.

[Rules of racing, 425, filed 5/4/66.]

AMENDATORY SECTION(Amending Rules of racing, filed 4/21/61)

WAC 260-28-240   Trainer -- Restriction as to horses owned by disqualified person.   A trainer ((shall)) may not have in his or her charge or under his or her supervision any horse owned, in whole or in part, by a disqualified person.

[Rules of racing, 287, filed 4/21/61.]

AMENDATORY SECTION(Amending Rules of racing, filed 4/21/61)

WAC 260-28-280   Trainer -- Reporting sickness of horse.   A trainer ((shall see to it that a report is made promptly to the racing secretary and track veterinarian of any and all sickness of his horse or horses)) must immediately report any sickness or illness of any of his or her horses to an official veterinarian.

[Rules of racing, 291, filed 4/21/61.]


     The following sections of the Washington Administrative Code are repealed:
WAC 260-28-040 Feed and supplies may be bought at open market.
WAC 260-28-090 Owner to register horses with racing secretary.
WAC 260-28-150 Registration of stable personnel.
WAC 260-28-160 Partnerships.
WAC 260-28-170 Duty to name jockey upon making entry.
WAC 260-28-180 Trainer -- Insurer of condition of horse.
WAC 260-28-190 Trainer -- Authority to represent owner.
WAC 260-28-250 Trainer -- Bribery prohibited.
WAC 260-28-260 Trainer -- Removing horses from grounds.
WAC 260-28-270 Trainer -- Employing jockey to prevent riding.

Washington State Code Reviser's Office