Codes Rules and Regulations of the
State of New York
9 Executive (E)
Chapter
1, Subchapter B : State Harness Racing Commission
Harness Rules
Part
4120
DRUGS PROHIBITED AND OTHER PROHIBITIONS
The terms and words used in this Part shall mean:
(a) Administer. Cause the introduction of a substance into the body of a horse.
(b) Laboratory. The official racing chemical detection laboratory designated by the board.
(c) Drug. Any substance or its metabolites which does not exist naturally in the untreated horse and which can have a pharmacological effect on a horse.
(d) Sample. Any body substance, including but not limited to blood or urine taken from a horse at the direction of the board or its officials for the purposes of analysis. A sample is a "pre- race" sample when it is taken before a race pursuant to the rules governing the pre-race testing program. A sample is a "post-race" sample when it is taken after a horse races pursuant to the rules governing the post-race testing program.
(e) Post-race positive test. A finding by the laboratory that a drug or other substance, the use of which is restricted by section 4120.2 of this Part, was present in the sample and was administered at a time and in a manner prohibited by this Part.
(f)
Pre-race positive test. A finding by the laboratory that a drug could be
present in the sample.
(g) Out-of-competition positive test. A finding by the laboratory that any of the prohibited substances described in Rule 4120.17 was present in the sample.
(h) Practicing veterinarian. A veterinarian who treats any race horse.
(i) The start of a racing program. The scheduled post-time of the first race of a program containing a race in which the horse is to compete.
4120.2.
Restricted use of drugs, medications and other substances.
Drugs and
medications are permitted to be used only in accordance with the following
provisions.
(a) The
following substances are permitted to be used at any time up to race time:
(1)
topical applications (such as antiseptics, ointments, salves, DMSO, leg rubs,
leg paints and liniments) which may contain antibiotics but do not contain benzocaine, steroids or other drugs; and
(2)
antibiotics, vitamins, electrolytes, and other food supplements as long as they
are administered orally and as long as they do not contain any other drug or by
their nature, exhibit drug-like actions or properties.
(b)
Eligibility for the administration of furosemide. (1)
The administration of furosemide is permissible to a
horse, which has qualified for its use by any of the following means:
(i) the horse has bled visibly during a race or a workout,
as determined by the association veterinarian; or
(ii) the
horse has bled during a race or workout, as determined by an attending
veterinarian based upon his/her clinical assessment of the horse which may or
may not include an endoscopic examination after the race or workout; or
(iii)
the horse has been qualified by the State veterinarian or a veterinarian
employed by the racetrack for the administration of furosemide
in another racing jurisdiction; or
(iv) the
horse has raced on furosemide in its last race in a
jurisdiction with rules substantially similar to New York State.
(2) If it
is determined that a horse has qualified pursuant to paragraph (1) of this
subdivision, and the owner or trainer elects to make the horse eligible for the
administration of furosemide, the horse shall be
placed on a list of horses that have bled, to be maintained by the association
veterinarian, and shall not be permitted to race for the following periods of
time:
(i) 1st time - 10 days after such episode of bleeding;
(ii) 2nd
time - 30 days after such episode of bleeding;
(iii) 3rd
time - 90 days after such episode of bleeding; and
(iv) 4th
time - one year after such episode of bleeding. Such list shall be made
available to the public for inspection.
(3)
Eligibility to race on furosemide. For a horse to be
eligible to race on furosemide, the trainer of that
horse must file satisfactory documentation of eligibility pursuant to this rule
with the association veterinarian on or before time of entry.
(4) Removal
from the furosemide list. A horse, which has been
eligible for the administration of furosemide, may be
removed from the list, upon authorization from the stewards.
(5)
Reinstatement to furosemide list. After removal from
the furosemide list, a horse may be reinstated for
the administration of furosemide if the horse again
meets the requirements set forth in paragraph (1) of this subdivision and such
horse shall not be permitted to race for the applicable time period set forth
in subparagraphs (2)(i) through (iv) of this
subdivision.
(6) Administration of furosemide. For the purposes of this rule, furosemide shall be administered only in the following manner:
A single
intravenous (IV) injection of no less than 150 milligrams (3cc) and no more
than 500 milligrams (10cc) on the grounds of a licensed or franchised racing
association or corporation during the time period from 4 to 4 1/2 hours before
the scheduled post time of the race in which the horse is to compete.
(7)
Ineligibility to start. Any horse, which is eligible for the administration of furosemide, must be present on the grounds of the racing
association or corporation no less than four hours prior to scheduled post time
of the race in which the horse is scheduled to compete. A horse, which is not
present, at least four hours prior to post time or which has not received the
administration of furosemide pursuant to this rule
shall be ineligible to start.
(c) The
following substances may be administered by any means until 24 hours before the
the scheduled post time of the race in which the horse is to compete:
(1)
antibiotics,
(2)
sulfa-expectorants,(e.g. sulfa-methoxypyridazine)
(3)
tetanus antitoxin,
(4) electrolytes, vitamins, and other food supplements and body nutrients not containing procaine or other drugs,
(5)
Omeprazole;
(6)
Cimetidine;
(7)
Ranatidine;
(8)
Sucralfate.
They may
not be administered by any means within 24 hours of the scheduled post time of
the race in which the horse is to compete. In this regard, substances
ingested by a horse shall be deemed administered at the time of eating and
drinking. It shall be part of the trainer's responsibility to prevent such
ingestion within such 24 hours.
(d) Either one, but no more than one, of the following two non-steroidal anti-inflammatory drugs may be administered by intravenous injection until 24 hours before the scheduled post time of the race in which the horse is to compete:
(1) flunixin
(2) phenylbutazone.
(e)
The following substances are permitted to be administered by any means until 48
hours before the scheduled post time of the race in which the horse is to
compete:
(1) aminophylline or theophylline;
(2)
arsenic solution (e.g., Fowlers Solution);
(3)
aspirin or sodium thiosalicylate;
(4) chymotrypsin (e.g., Kymar);
(5)
diuretics (e.g., furosemide, except as otherwise
provided pursuant to subdivision of this section, thiazide
derivatives;
(6)
epinephrine (adrenaline);
(7)
selenium/vitamin E (e.g., E-Se);
(8) griseofulvin (e.g., Fulvicin);
(9)
hormones and steroids (e.g., testosterone, progesterone, estrogens, chorionic gonadatropin, glucocorticoids ,
and anabolic steroids ), except in conjunction with joint aspiration as
restricted in subdivision (i) of this section;
(10) Hyaluronic Acid derivatives
(11) Immuno stimulants
(12)
iodine injection (e.g., Hypodermin, Harvey's Injectible Blister);
(13) methenamine (e.g., Urotropin);
(14) the
following nonsteroidal anti-inflammatory drugs
(NSAID's): Phenylbutazone (e.g., Butazolidin),
Flunixin (e.g., Banamine), meclofenamic acid (Arquel),
naproxen (e.g., Naprosyn, Equiproxen;),
Ketoprofen (e.g., Orudis);
(15) orgotein (e.g., Palosein);
(16) hydroxychloroquine sulfate (e.g., Rheaform);
(17) sarapin;
(18)
sulfonamide drugs (e.g., Sulfa); and
(19) biologics (e.g., bacterins, antitoxins except tetanus antitoxin).
They may not be administered within 48 hours of the scheduled post time of the race in which the horse is to compete, except that phenylbutazone or flunixin may be used in accordance with the specific authorization set forth in paragraph d of this rule.
In this
regard, substances ingested by a horse shall be deemed administered at the time
of eating and drinking. It shall be part of the trainer's responsibility to
prevent such ingestion within such 48 hours.
(f) The
following substances may be administered by any means until 72 hours before the
scheduled post time of the race in which the horse is to compete:
(1)
antihistamines;
(2) dantrolene;
(3) ketamine hydrochloride;
(4) methocarbamol (e.g., Robaxin);
(5) pentazocine (e.g., Talwin);
(6) pentoxifylline;
(7) trichloromethiazide;
(8) vermifuges (worm medicines), except phenothiazine
They
may not be administered within 72 hours of the scheduled post time of the race
in which the horse is to compete. In this regard, substances ingested by a
horse shall be deemed administered at the time of eating and drinking. It shall
be part of the trainer's responsibility to prevent such ingestion within such
72 hours.
(g)The
following substances are permitted to be administered by any means until 96 hours
before the scheduled post time of the race in which the horse is to compete:
(1) acepromazine;
(2) albuterol;
(3) atropine;
(4) butorphanol;
(5) clenbuterol;
(6) detomidine;
(7) dipyrone;
(8) glycopyrrolate;
(9) guaifenesin;
(10) hydroxyzine
(11) isoxsuprine;
(12) lidocaine;
(13) mepivicaine;
(14) phenytoin;
(15) pyrilamine;
(16) xylazine
They may
not be administered within 96 hours of the start of the scheduled post time of
the race in which the horse is to compete. In this regard, substances
ingested by a horse shall be deemed administered at the time of eating and
drinking. It shall be part of the trainer's responsibility to prevent such
ingestion within such 96 hours.
(h) No
other drugs or medications including procaine may be administered by any means
within one week of the scheduled post time of the race in which the horse is to
compete. In this regard, substances ingested by a horse shall be deemed
administered at the time of eating and drinking. It shall be part of the
trainer's responsibility to prevent such ingestion within such one-week period.
(i) In addition, a horse which has had a joint aspirated (in
conjunction with a steroid injection) may not race for at least five days
following such procedure, and whenever such procedure is performed, the trainer
shall notify the stewards of such fact, in writing, before the horse is entered
to race.
(j) The
listing, reference to, or denomination herein of any drug or other substance
does not constitute endorsement, or recommendation by the board for its use.
No person shall attempt to, or cause, solicit, request, or conspire with another or others to:
(a) use or possess any electrical device, "joint", "battery", electric prod, or any other electrical equipment or any mechanical or other appliance not generally accepted as regular racing equipment which can be used to stimulate, depress, goad, spur, retard or condition a horse during a race or during training. The use of ultrasonic, diathermy or other electro/medical equipment is permissible until 24 hours before the start of a racing program, and whirlpool until racetime. However, the judges may bar the possession or use of any specific equipment.
(b) freeze or ice or apply medicated packs to a horse's leg or legs within the paddock area;
(c) after a race, administer any substance except water to a horse designated for testing before the horse has been released by the board veterinarian; or
(d) administer a mixture of bicarbonate of soda and sugar in any of their forms in any manner to a horse within 24 hours of a racing program at which such horse is programmed to race. It shall be the trainer's responsibility to prevent such administration.
4120.4.
Trainer's responsibility.
A trainer shall be responsible at all times for the condition of all horses trained by him. No trainer shall start or permit a horse in his custody, care or control to be started if he knows, or he might have known cause to believe, that the horse has received any drug or other restricted substance that could result in a positive test. The trainer shall be held responsible for any positive test unless he can show by substantial evidence that neither he nor any employee nor agent was responsible for the administration of the drug or other restricted substance. Every trainer must guard each horse trained by him in such manner and for such period of time prior to racing the horse so as to prevent any person whether or not employed by or connected with the owner or trainer from administering any drug or other restricted substance to such horse contrary to this Part.
A horse, in respect to which there has been any violation of the prohibitions contained in this Part, or from which a sample has resulted in a positive test, may be disqualified from the race and from any share of the purse in the race and such share shall be redistributed among the remaining horses in the race entitled to same. Nothing contained herein shall in any way affect the pari- mutuel distribution which shall be deemed final and unappealable upon the declaring of the race "official" by the judges at the conclusion of the race.
4120.6.
Possession of hypodermic equipment and controlled substances.
(a) No person other than a board veterinarian, track veterinarian or a practicing veterinarian licensed by the board shall have or possess in or upon the premises of a licensed harness race track, including premises which he occupies or has a right to occupy, or shall have or possess in his personal property or effects upon such premises the following:
(1) any equipment which may be used for hypodermic injection or other infusion into a horse or any vial, bottle, or cartridge designed and usable for such purposes; or
(2) any controlled substance, listed in schedule I through IV of the United States Code, title 21 (Food and Drugs) section 812, or any drug which has not been approved for use in the horse by the Federal Food and Drug Administration. Not included in this prohibition are liniments, antiseptics, ointments, leg paints, washes and other products commonly used in the daily care of horses.
(b) Subdivision (a) of this section shall not apply to any person who may have in his possession a controlled substance or hypodermic syringe for which he has obtained prior written permission from the judges to possess and use for his own personal health pursuant to prescription of a physician.
(c) All bottles and other containers kept in or about any tack room or elsewhere on the premises of a racing association shall bear a label stating plainly the contents thereof, including the name of each active ingredient; provided, however, that this section shall not apply if each container bears either a veterinarian's label or a regular prescription label with a pharmacist's name and address, prescription number and the name of the prescribing veterinarian.
(d) Each track is required to use all reasonable efforts to prevent and detect violations of this section. Each track, the board and the judges or their designees shall have the right to enter into or upon the buildings, stables, rooms, motor vehicles or other places within the grounds of such track to examine the same and to inspect and examine the personal property and effects of any person within such places; and every person who has been granted a license by the board, by accepting his license, does consent to such search including a personal search and to the seizure of any drugs or hypodermic syringes, hypodermic needles or other devices and if the board shall find that any person has refused to permit any such search or seizure it may impose such punishment as may be appropriate.
(e) A report shall be made to the Bureau of Narcotics of the Department of the Treasury of the United States of all cases in which it is reported to the board that narcotics or other controlled substances have been detected in a specimen from any horse; and if any veterinarian or physician has been involved therein, a similar report shall be made to the New York State Education Department.
4120.7.
Drug detection facilities.
(a) Each track operator shall provide such facilities, appurtenances and equipment for drug detection programs, or other related activities as the board may specify.
(b) No person shall enter or be present at any time in any enclosure set aside by direction of the board for the taking and examination of samples from horses except the staff immediately in charge of such work, the board, its chairman and members, its staff, the judges, the custodians of the horse, or such other persons as may be authorized by this Part.
4120.8.
Drug detection programs.
Programs for the detection of the presence of drugs in horses programmed to race shall be conducted at each track unless otherwise ordered by the board.
(a) Pre-race testing. (1) Blood or other samples shall be taken from every horse programmed to race, prior to the race in which it is programmed, at a time and in a location specified by the board or its representative.
(2) The trainer or his representative shall accompany the horse at the prescribed time and to the prescribed location, and shall manage the horse as directed. Willful failure to be present at, or a refusal to allow, the taking of any such sample, or any act or threat to impede or prevent or otherwise interfere therewith shall constitute a violation of this rule and shall subject the person or persons guilty thereof to punishment as may be appropriate.
(3) Blood samples will be taken by the State veterinarian or, under his supervision, by a graduate veterinarian.
(4) A horse shall not race if it has not been tested in accordance with the provisions of this section.
(5) Whenever a laboratory test indicates the presence of a drug, restricted substance, or a foreign substance the identity of which cannot be established in a sample taken from a horse, the judges shall scratch the horse and take such further action as they deem necessary.
(6) Unless specifically permitted in writing by the presiding judge, a horse, once the pre- race test sample is taken, shall not be transported from the grounds except to be transported to the racecourse where it is scheduled to race if such racecourse is not part of the grounds where the test sample is taken.
(b) Post-race testing. (1) The winner and at least one other horse designated by the judges shall be sent to the testing facility immediately after each race.
(2) Blood, urine, and such other samples as may be required shall be attempted to be taken from the designated horse at a time and in an enclosure specified by the board or its representative, until such horse is released by the board veterinarian.
(3) The trainer or his representative shall accompany the horse at the prescribed time and to the prescribed location, and shall manage the horse as directed. Willful failure to be present at, or a refusal to cooperate in the taking of any such sample, or any act or threat to impede or prevent or otherwise interfere therewith shall subject the person or persons guilty thereof to such punishment as may be appropriate.
(4) Blood samples will be taken by the board veterinarian or, under his supervision, by a graduate veterinarian. Urine samples shall be gathered by a board inspector.
(5) Where deemed necessary to obtaining a urine sample by the board veterinarian, a horse may be permitted to return to its stable prior to release if accompanied by a board inspector.
(c) (1) The judges may require at any time that any horse be sent to the testing enclosure for the taking of such specimens of blood, urine or other materials as shall be directed, as well as for an examination for "sponging" and such other examination as shall be directed.
(2) The board veterinarian may also, when so directed by the judges, require the taking of any or all of the foregoing specimens from any horse stabled at a track during a meeting.
(d) The judges, board veterinarians or their designees may take, for analysis, samples of any medicine or other materials which may be found in stables or elsewhere on race tracks or in the possession of any person connected with racing.
4120.9.
Records of veterinarian.
(a) Every licensed practicing veterinarian shall keep a written record of his practice concerning horses participating at pari-mutuel harness race meets in this State whether performed at a licensed harness track or elsewhere which shall disclose:
(1) the name of the horse treated;
(2) the nature of the horse's ailment;
(3) the type of treatment prescribed and performed for the horse; and
(4) the date and time of such treatment.
(b) Every such veterinarian shall produce such written records when requested by an official of the board. In addition he shall instruct the trainer of the necessity to submit the report required by section 4120.2(e) of this Part relating to joint aspiration.
(c) Before a licensed veterinarian administers or prescribes any drug or restricted substance for a horse, he shall ascertain by reasonable inquiry whether the horse has been entered to race at any track and if the horse has been entered he shall not administer or prescribe any drug or restricted substance within the time or in a manner restricted by this Part. If the horse has not been entered to race, but the administration is of a drug which is not permitted to be administered within 72 hours of a racing program, or longer, he shall so inform the trainer of the fact and of the time applicable. If, however, an emergency exists involving the life or health of the horse, he may proceed to treat or prescribe for the horse, but shall report the matter as promptly as practicable to the board veterinarian or judges at the pertinent track.
(d) The attending veterinarian shall complete and submit daily a form prescribed by the board which will contain each horse entered to race on that day and treated by him with furosemide. The form shall also contain the following information:
(1) name of the track;
(2) name of the trainer;
(3) description of the horse;
(4) tattoo number; and
(5) the dose, route and time of administration. The form must be signed by the attending veterinarian and filed at a location designated by the board.
4120.10
Erythropoietin and Darbepoietin
(a) A finding by the laboratory that the antibody of erythropoietin or darbepoietin was present in the sample taken from a horse shall establish that the horse is unfit to race in any subsequent race, subject to the provisions of paragraph b. Such horse shall be placed on the stewards’s list.
(b) Any horse that has been the subject of a
finding by the laboratory that the antibody of erythropoietin or darbepoietin was present in the sample taken from that
horse shall not be entered or allowed to race in any subsequent race until the
horse has tested negative for the antibodies of erythropoietin or darbepoietin in a test conducted by the laboratory.
(c)
Notwithstanding any inconsistent provision of this Part, a horse shall
not be subject to disqualification from the race and from any share of the
purse in the race and the trainer of the horse shall not be subject to
application of trainer’s responsibility based upon the finding by the
laboratory that the antibody of erythropoietin or darbepoietin
was present in the sample taken from that horse.
4120.11.
Reserpine and Fluphenazine
(a) Notwithstanding any inconsistent provision
of this Part, a finding by the laboratory that the drug reserpine
or the drug fluphenazine was present in the sample
taken from a horse shall result in the disqualification of the horse from the
race and from any share of the purse in the race.
(b)
The trainer of a horse which has been the subject of a finding by the
laboratory that the drug reserpine or the drug fluphenazine was present in the sample taken from that
horse shall not be subject to application of trainer’s responsibility based
solely upon the finding by the laboratory that the drug reserpine
or the drug fluphenazine was present in the sample.
4120.12.
Anabolic
Steroids
(a) The use of one of four approved anabolic steroids shall be permitted under the following conditions:
(1) Not to exceed the following permitted urine or plasma threshold concentrations:
i. 16β-hydroxystanozolol (metabolite of stanozolol (Winstrol)) – 1 ng/ml in urine
ii Boldenone (Equipoise) In male horses other than geldings, including free boldenone and boldenone liberated from its conjugates - 15 ng/ml in urine
iii Nandrolone – 1 ng/ml in urine
iv Testosterone
(1) In geldings—20 ng/ml in urine
(2) In fillies and mares—55 ng/ml in urine
(2) Any other anabolic steroids are prohibited to be administered.
(3) The presence of more than one of the four approved anabolic steroids above the approved thresholds is not permitted.
(4) Post-race urine or plasma samples collected from intact males must be identified to the laboratory.
(5) Any horse to which an anabolic steroid has been administered in order to assist in the recovery from an illness or injury may be placed on the veterinarian’s list in order to monitor the concentration of the drug in urine. Once the concentration is below the designated threshold the horse is eligible to be removed from the list.
(b) A violation of this section shall be considered a positive test within the meaning of Part 4120.
4120.13 TCO2 Blood Gas Testing Program
(a) The board may obtain pre-race blood samples from horses for subsequent testing for total carbon dioxide level (TCO2). The board may also obtain post-race blood samples from horses for subsequent testing for TCO2, after a minimum one-hour standing at rest period for the horse after its race. It shall be a violation of this rule where the horse’s TCO2 level equals or exceeds thirty-seven (37) millimoles per liter or, for horses administered furosemide pursuant to Rule 4120.2(b)(6), thirty-nine (39) millimoles per liter.
(b) It shall be an affirmative defense that the horse’s physiologically
normal TCO2 level was not exceeded. To demonstrate a horse's physiologically
normal TCO2, its owner or trainer must comply with the following
procedure. The owner or trainer must, in
writing to the judges within three calendar days of receiving notice of the
horse's TCO2 test result, contend that the horse's reported TCO2 level is
physiologically normal and request that the horse be held in guarded
quarantine. If so, the racetrack
operator shall make available a guarded quarantine for a time determined by the
presiding judge, not to exceed 72 hours, at the sole expense of the requesting
licensee. During the quarantine, the
horse shall be retested periodically, and although the horse shall not race, it
may be exercised and trained at times prescribed by the racetrack operator
provided this does not interfere with monitoring, sampling, and testing the
horse. The presiding judge shall then
determine whether the horse's pre-race TCO2 level was physiologically normal
for it. The presiding judge may also
require, at least 45 days later, that the horse re-establish its normal TCO2
level with another guarded quarantine to be made available at the sole expense of
the racetrack operator.
(c) Any guarded quarantine provided by the racetrack operator shall
ensure that, at a minimum:
1) Such horse shall be under direct surveillance
by at least one guard at all times;
2) Access to the horse shall be restricted to
licensed persons who are directly affiliated with such horse, judges, or
employees of the New York State Racing and Wagering Board, all of whom shall
provide their respective track identification badge or Board-issued photo
identification card prior to entry;
3) A written or electronic log of all persons
who have had access to the horse shall be maintained by the guard, indicating
the name and license number or track identification badge number of the person,
the date and time of the visit (including time in and out of the restricted
area), the nature and purpose of the visit, a description of any and all
equipment, paraphernalia, tack, medications, or feed brought to the horse, and
all activity observed by the guard during the visit; and
4) The racetrack operator shall maintain such
written or electronic logs of guarded quarantine activity for a minimum period
of 90 days after the conclusion of the applicable guarded quarantine period.
(d) The penalty for violations of this rule shall be not less than (i) for a first violation, a 60-day license suspension and
one-thousand dollar ($1000) fine; (ii) for a second violation, a 75-day license
suspension and two-thousand five-hundred dollar ($2500) fine; and (iii) for
additional violations, a one-year suspension and five-thousand dollar ($5000)
fine together with a referral to the board for further action including a
possible license revocation. Where
independent evidence shows that the horse was treated within 24 hours of its
race by means not permitted by section 4120.2 of this subtitle, however, every
license suspension shall be for at least two years. Every suspension shall include denial of the
privileges of the grounds.
(e) For a violation
of this rule, a horse shall be disqualified, any purse monies shall be
forfeited and redistributed pursuant to Rule 4120.5, and pre-race detention
shall be imposed.
(a) A horse that tests in violation of Rule 4120.13 shall be placed
under pre-race detention, without regard to whether the horse is transferred to
a new trainer, for a period of six (6) months from the date of violation. If during the detention period a horse again
tests in violation of Rule 4120.13, then the detention period shall be extended
as the judges shall deem appropriate. The racetrack operator sponsoring the
race shall make such pre-race detention available, at the sole expense of the
trainer, for at least six (6) hours before the start of the race program and as
required by the judges. Where a claimed
horse is found to have excess TCO2, the costs of a pre-race detention shall be
the responsibility of the party requesting detention.
(b) All horses of a trainer who has violated Rule 4120.13 more than
once in the preceding 12 months shall be placed under pre-race detention,
without regard to whether the horses are transferred to a new trainer, for a
period of eight (8) months from the date of the most recent violation. The
racetrack operator sponsoring the race shall make such pre-race detention
available, at the sole expense of the trainer, for at least six (6) hours
before the start of the race program and as required by the judges. If during a
detention period a trainer violates Rule 4120.13, then the detention period
shall be extended for such time as the judges deem appropriate.
4120.15 TCO2 testing: punishment for
failure to cooperate
It shall be a violation of Rule 4119.7 for any person
subject to the jurisdiction of the Board to fail to cooperate with the blood
gas testing program.
4120.16 Use and disposal of hypodermic syringes and needles.
To
ensure drug testing accuracy, all hypodermic syringes and needles may be used
only once by a track or practicing veterinarian. The collection, security
and disposal of the used syringes and needles are the responsibility of a track
or practicing veterinarian.
4120.17 Out-of-Competition Testing.
(a) Any horse on the grounds of a racetrack under the jurisdiction of the Board or stabled off track grounds is subject to testing without advance notice for blood doping, gene doping, protein and peptide-based drugs, including toxins and venoms, and other drugs and substances while under the care or control of a trainer or owner licensed by the Board.
(b) Horses to
be tested shall be selected at the discretion of the State judges or any Board
representative. Horses to be tested shall be selected from among
those anticipated to compete at
(c) The State judges or any Board representative may
require any horse of a licensed trainer or owner to be brought to a track under
the jurisdiction of the Board for out-of-competition testing when that horse is
stabled out-of-state at a site located within a radius not greater than 100
miles from a
(d) A Board veterinarian or any licensed veterinarian authorized by the State judges or any Board representative may at any time take a urine or blood sample from a horse for out-of-competition testing.
(e) Prohibited substances are:
(1) blood doping agents including, but not limited to, erythropoietin (EPO), darbepoetin, Oxyglobin, Hemopure, Aranesp, or any substance that abnormally enhances the oxygenation of body tissues;
(2) gene doping agents or the nontherapeutic use of genes, genetic elements, and/or cells that have the capacity to enhance athletic performance or produce analgesia;
(3) protein and peptide-based drugs, including toxins and venoms.
(f) The presence of any substance at anytime described in subsections (1),(2) or (3) of subdivision (e) is a
violation of this rule for which the horse may be declared ineligible to participate until the horse has tested negative for the identified substance, and for which the trainer shall be responsible pursuant to Board Rule 4120.4.
(g) The trainer, owner, and/or their designees and any licensed racing corporation shall cooperate with the Board and its representatives/designees by:
(1) assisting in the immediate location and identification of the horse selected for out-of-competition testing;
(2) providing a stall or safe location to collect the samples;
(3) assisting in properly procuring the samples; and
(4) obeying any instruction necessary to accomplish the provisions of this rule.
The failure or refusal to cooperate in the above by any licensee or other person shall subject the licensee or person to penalties, including license suspension or revocation, the imposition of a fine and exclusion from tracks or facilities subject to the jurisdiction of the Board.
(h) Any horse which is not made available for testing as directed, including the failure to grant access on a timely basis, shall in the absence of acceptable mitigating circumstances, be ineligible to participate in racing for one hundred twenty days.
(i) In the absence of extraordinary mitigating circumstances, a minimum penalty of a ten (10) year suspension will be assessed for any violation set forth in subdivision (f).
(j) An application to the Board for an occupational license shall be deemed to constitute consent for access to any off-track premises on which horses owned and/or trained by the individual applicant are stabled. The applicant shall take any steps necessary to authorize access by Board representatives to such off-track premises.
Part 4121
PROTESTS AND APPEALS
Protests may be made only by an owner, manager, trainer or driver of one of the contending horses, at any time before the winnings are paid over, and shall be reduced to writing and sworn to before a judge of the meeting, and shall contain at least one specific charge which, if true, would prevent the horse from winning or competing in the race.
4121.2.
Procedure after protest.
The judges shall investigate each protest and where appropriate shall summon the parties thereto and examine them. In the event that the parties to the horses being protested refuse to appear or be examined the horse shall be scratched or disqualified and all entrance fees forfeited.
4121.3.
Disposition of protest.
(a) Where a protest is made prior to a race, and the judges find satisfactory evidence to warrant excluding a horse, such horse shall be scratched unless the owner thereof in good faith requests that the horse start under protest and waives any right of reimbursement against the track under section 4121.20 of this Part, in the event the commission should thereafter make a determination allowing said protest. Such request shall be granted by the judges except where permitting said horse to compete would be contrary to the public interest.
(b) Where a protest is made prior to or after the race and the horse protested has started the judges shall notify the track to withhold payment of the portion of the purse affected pending determination by the commission.
Any person found guilty of protesting a horse falsely and without cause or merely with intent to embarrass a race, shall be punished as provided by this Subchapter.
(a) All decisions and rulings of the judges, or other officers of the commission may be appealed to the commission for review if the licensee files a notice of appeal with the track steward or presiding judge, upon the forms provided by the commission within 10 days after notice of such decision or ruling.
(b) The commission will notify the licensee or other persons of the time and place of the hearing at which time the commission will hear the appeal.
(c) The commission after hearing the licensee may vacate, modify or increase any penalty imposed by the judges or other officers of the commission.
(d) All penalties imposed by the judges or other officers of the commission upon any person charged shall continue in full force and effect until the determination of the commission is rendered, unless otherwise directed in writing by the commission.
(e) Nothing herein contained shall effect the distribution of the pari-mutuel pools at tracks where pari-mutuel wagering is conducted, when such distribution is made upon the official placing at conclusion of the heat or dash.
(f) In case of an appeal or protest, the purse money affected will be retained by the track subject to the direction of the commission.
Part
4122
PARI-MUTUEL WAGERING
Harness racing associations licensed by the commission to conduct harness racing meets with pari-mutuel betting shall use vending machines for the sale of pari-mutuel tickets unless otherwise authorized by the commission.
For the purpose of pari-mutuel betting, every heat shall be a separate and distinct race.
4122.3.
Sale of pari-mutuel tickets.
(a) Only one method of selling pari-mutuel tickets shall be used for the sale of tickets on individual heats or races during any racing day.
(b) No pari-mutuel tickets shall be sold except through regular ticket windows properly designated by signs showing type of tickets sold at that particular window, except that tickets may be issued by automated ticket machines, or bets may be sold by designated couriers, according to procedures approved by the board.
(c) No pari-mutuel selling windows shall be closed nor shall the sale of pari-mutuel tickets be limited or restricted in any way for the purpose of impeding public participation in any wagering pool.
No pari-mutuel tickets shall be sold for any pool more than one hour 15 minutes before post time of the first pari-mutuel race of the day.
Bookmaking or betting other than pari-mutuel betting is strictly prohibited.
No licensed association or corporation shall permit any person who is actually and apparently under 18 years of age to bet at a race meeting conducted by it.
4122.7.
Time for wagering to close.
All wagering shall stop as soon as the word "go" shall be given either by record or by voice of the starter. Where vending machines for the sale of pari-mutuel tickets are used, they shall be electrically locked by the presiding judge from the judges' stand.
4122.8.
No wagering after close.
When the sale of pari-mutuel tickets has closed, it shall remain closed until after the race or heat has finished.
4122.9.
Denomination of pari-mutuel tickets.
(a) [Reserved]
(b) [Repealed]
The method
of selling pari-mutuel tickets shall be approved by the Harness Racing
Commission and the State Tax Commission. No employee of a licensed track
assigned to or working in the pari-mutuel department shall accept a wager from
any person except through the track’s pari-mutuel windows and in the regular
course of business. No employee of the pari-mutuel department of any licensed
corporation or association shall be permitted to bet during those periods of
any day which such person is actually working in such capacity.
4122.11.
Notice to pari-mutuel manager before wagering opens.
The manager of the pari-mutuel department shall be properly and timely advised by the presiding judge, prior to the beginning of wagering on each race, of the horses that will compete in the race and any driver changes from those listed in the official program.
4122.12.
Limited wagering fields.
(a) If less than six interests qualify horses to start in a race, the manager of the pari-mutuel department, with the consent of the representative of the Harness Racing Commission, shall be permitted to prohibit show wagering on that race.
(b) If less than five interests qualify horses to start in a race, the said manager, with the consent of the representative of the Harness Racing Commission, shall be permitted to prohibit both place and show wagering on that race.
(c) If less than three interests qualify horses to start in a race, the said manager, with the consent of the representative of the Harness Racing Commission, shall be permitted to prohibit wagering on the race.
(d) The said manager, with the consent of the representative of the Harness Racing Commission, may prohibit wagering on any particular horse or entry in any race. Such consent shall be sought by the manager of the pari-mutuel department from the representative of the Harness Racing Commission after the entries are closed on the day previous to that on which the heat or races in which exclusions are desired are to be conducted. Such exclusions if consented to by the representative of the Harness Racing Commission shall be clearly indicated on the program or score card and horses excluded shall be numbered so as to in no way infer that they are coupled in "the field." Horses once excluded from the betting shall remain excluded during the day or race in which they are scheduled to start.
4122.13.
Coupled entries wagering.
A wager on any horse coupled as an entry shall be a wager on all horses coupled in such entry.
When more horses representing separate interests are started in a race than the number of post positions on the infield tote board, all horses in excess of a number of interests one less than the total number of post positions on the infield tote board shall be grouped in the betting as the field.
(a) Payments due on all wagers shall be made in conformity with well established practice of the pari-mutuel system. The practice is to work in dollars and not in the number of tickets. Money wagered on winning tickets is returned in full plus the profits. In all cases of a winning mutuel pool, each association must redistribute not less than $ 1.05 on each one dollar wager and $ 2.10 on each two dollar wager.
(b) Payments on all winning pari-mutuel tickets and tickets refundable according to rules shall be made only on presentation and surrender of appropriate ticket. Mutilated tickets and those whose validity are questioned shall be submitted to the New York State Tax Commission for inspection.
(c) In the discretion of management or by direction of the board, payments may be made by cash or check to the holder of a winning pari-mutuel ticket from whom identification may be required.
4122.16.
Official result of race to be reported and effect thereof.
At the end of each race, the judges shall determine the proper order of finish and upon such determination having been made the public shall be so informed by the word "official" being lighted on the tote board in the infield of the track or upon failure of such device by public announcement. Upon the lighting of such word "official" or upon its public announcement, the result of the race for pari-mutuel purposes shall be final and no appeal therefrom shall be allowed. Any ruling of the judges or of the Harness Racing Commission with regard to the award of purse money made after the sign "official" has been purposely displayed shall have no bearing on the mutuel payoff. The judges shall advise the manager of the pari-mutuel department and the representative of the State Tax Commission and the Harness Racing Commission in writing of the official placement of the horses. When no mechanical or electrical indication of the official finish of the race is used between the judges and the mutuel department, no payoff shall be made until receipt of such written notice.
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4122.17.
Payment where no wagering on a position.
(a) If there is no money wagered on the winner to win, the win pool shall be refunded.
(b) If no money has been wagered to place on a horse which is placed first or second in a race, the place pool for that race shall be apportioned among the holders of the place tickets on the other horse which was placed first or second.
(c) If no money has been wagered to show on a horse which has placed first, second or third in a race, the show pool in that race shall be apportioned among the holders of show tickets on the other horses which are placed first, second or third in that race.
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4122.18.
Dead heats and coupled entries.
(a) If two horses finish in a dead heat for first place, the money in the win mutuel pool is divided between the two dead-heaters as in a place pool.
(b) If two horses finish in a dead heat for second place, the division is made as follows: there shall be allotted to the pool of the winner of the race one half of the place pool, and the two dead- heaters one half each of the remaining half of the place pool.
(c) Coupled entries and fields. If two horses coupled in the betting as an entry or the field finish first and second, first and third or second and third, the division of the net show pool shall be as follows: two thirds of the net show pool shall be allotted to the pool of the entry and the balance one-third to the other horse.
(d) In the event that one horse of the entry or the field finishes first or second and the other part of the entry or field finishes in a dead heat for third with another horse, the division of the net show pool shall be as follows: one half of the net show pool shall be allotted to the pool of the entry, one-third to the horse finishing first or second, and one-sixth to the horse finishing in the dead heat with the entry for third.
(e) If the entry or field horses should finish first, second and third, the entire money in each pool goes to the entry or field tickets, no other tickets participating.
4122.19.
Incomplete finishes.
(a) When only two horses finish a race the show pool, if any, shall be distributed the same as in a place pool.
(b) When only one horse finishes a race the place and show pools, if any, shall be distributed the same as in a win pool.
(c) In any race in which no horses finish, all money wagered on the race shall be refunded.
4122.20.
Payoff errors.
(b) In the event of an error in calculations of payoff prices which results in an underpayment to the public and payments have been made to the public, the amount of the underpayments made before a correction is posted shall transfer as directed by the presiding judge to the corresponding pool or pools of a subsequent race or races.
4122.21.
Time to present winning tickets.
(a) All winning pari-mutuel tickets must be presented for payment or refund before April 1st of the year following the year of their purchase and failure to present any such ticket within the prescribed period of time shall constitute a waiver of the right to refund or to participate in the award or dividend.
(b) Each association or corporation shall cause the substance of this rule to be imprinted upon each pari-mutuel ticket, in words approved by the board.
Unless otherwise authorized by the commission, one daily double only shall be permitted during a single racing program.
4122.23.
Daily double terms.
In order to win a daily double, it is necessary for the purchaser of a daily double ticket to select the winners of each of the two races specified for the double. If either of his selections fail to win, his contract is void, except as hereafter provided.
4122.24.
Daily double: failure to select a winner and race cancellations; dead heats;
scratches.
(a) If no daily double ticket is sold designating the winner of the first race, or the first race is cancelled or declared "no race", the daily double shall be declared off and the gross pool refunded.
(b) If no daily double ticket is sold combining the winners of the first and second races, or the second race is cancelled or declared "no race", the net pool shall be distributed to holders of tickets designating the winner of the first race, as in a win pool and the daily double shall terminate.
(c) In the event of a dead heat in either or both daily double races, holders of daily double tickets combining winners in both such races shall be entitled to a distribution calculated as in a win pool dead heat.
(d) If a horse is scratched from the first or second daily double races before the running of the first daily double race, all daily double tickets selecting the horse scratched shall be refunded and the money deducted from the gross pool.
(e) Should any horse be scratched or be declared a nonstarter in the second half of the daily double after the first half of the daily double has been raced, all tickets combining the scratched horse with the winner of the first half shall become consolation tickets and shall be paid at a price per dollar bet determined as follows: the net daily double pool (the gross daily double pool less tax) shall be divided by the total purchase price of all daily double tickets designating the winner of the first half of the daily double and the quotient obtained shall constitute the price to be paid. The total amount payable on consolation tickets shall be deducted from the net daily double pool.
4122.25.
Refunds and exchanges.
Whenever a horse is scratched or declared a nonstarter, and a refund is required under these rules, the tickets previously issued designating such horse shall be refunded or, at the option of the holder, may be exchanged for another selection of the same denomination in the same pool provided the track has an operating facility for such an exchange and conditions and circumstances, including available time remaining before the start, make an exchange feasible in the judgment of management. Refunds and exchanges shall be made at locations designated for the purposes by management and convenient for the public.
In all cases when a horse has been excused by the judges after wagering has started but before the horses shall have actually started, all money wagered on the horse so excused shall be deducted from the pool and refunded.
4122.27.
Coupled entry scratch.
If, after wagering has begun on a race, a horse, programmed to start as part of a coupled entry or field is scratched in such race, all betting upon such coupled entry or field shall cease and all money theretofore wagered upon such coupled entry or field shall be refunded. Notwithstanding the termination of betting upon all horses which are part of such coupled entry or field, the horse or horses in such coupled entry or field which are not scratched shall start in such race as nonbetting interests for the purse and the finish of such horses in the race shall be disregarded for pari-mutuel purposes. Such circumstances shall be announced by public address and explained to the public at the time of such action and thereafter as may be necessary to adequately inform the public.
In the case of a race being declared off or postponed to another day by the judges after the wagering has begun, all money wagered in that race shall be refunded.
The officers and employees of the licensed harness racing association shall promptly give the State Tax Commission and the Harness Racing Commission such information as they may request from time to time and shall freely and fully cooperate with them in every way.
4122.30.
Report of unpaid tickets.
An itemized record of all unpaid winning mutuel tickets shall be prepared and a complete record thereof, including total forwarded to the State Harness Racing Commission and the State Tax Commission within five days after the last day of any racing meeting.
4122.31.
Report if no totalizator.
The licensed harness racing association, if operating a mutuel system without the totalizator, shall, in taking off total of mutuel ticket sales, prepare an additional carbon copy thereof at the same time of making and furnish the same to the representative of the State Harness Racing Commission and the State Tax Commission before the calculations for mutuel prices to be paid shall have been made.
Complete and detailed records of each race containing the actual payoff on each horse shall be filed with the State Harness Racing Commission at the end of each day.
4122.33.
Report of attendance and handle.
The licensed harness racing association shall supply daily to the State Harness Racing Commission a report of the following: handle of each race, total daily handle and attendance.
4122.34.
Test of mutuel equipment.
All tracks shall have a test, by actual operation, of the pari-mutuel equipment before the opening of each meeting, which shall be approved by a representative of this commission and of the State Tax Commission.
4122.35.
Display of public information.
Each track licensee shall cause to be erected a sign or board upon which shall be displayed the approximate straight odds on each horse in any race; the total amount wagered upon each horse in each pool; the value of a $ 2 winning mutuel ticket, straight, place or show on the first three horses in any race; the elapsed time of the race; the value of a $ 2 winning daily double or twin double ticket, if a daily double or twin double be conducted; and any other information that the State Harness Racing Commission may deem necessary for the guidance of the general public. All machines and equipment used for pari-mutuel betting or for the display of the foregoing information must be approved by the State Harness Racing Commission and the State Tax Commission before being used, but neither commission shall require the installation of any particular make of mechanical or electrical equipment.
A list of the personnel of the pari-mutuel department shall be submitted to the State Harness Racing Commission for its approval. Such list shall indicate the residence of each employee and also state whether he has been a citizen of the United States of America and a resident of the State of New York for the two years immediately prior to the commencement of his employment. A copy of the pari-mutuel department payroll shall be submitted each week to the State Harness Racing Commission and such payroll shall be accompanied by a statement sworn to by the manager of the pari-mutuel department or an official of the licensed harness racing association stating that at least 85 percent of such employees each day have been citizens of the United States of America and residents of the State of New York for at least two years immediately prior to the commencement of their employment.
All licensed harness racing associations conducting pari-mutuel racing shall submit to the commission, within 24 hours after a scheduled day's racing, a complete set of such pari-mutuel forms and data as have been used in the calculations and totals of pari-mutuel wagering.
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(a) When consistent with the public interest and the best interests of racing generally, with permission of the board, the track operator may offer parlay betting as a service to the betting public.
(b) The
parlay is not a pari-mutuel pool, but is a series of bets combining betting
entries in win, place, show or proposition pools in each of two or more
separate races in chronological order. The initial amount bet constitutes the
bet on the first betting entry in the first parlay race (leg); if successful,
the payoff from winning the first leg (to the lowest penny) is then bet on the
betting entry designated in the second leg; if again successful, and if the
parlay continues, the payoff from winning the second leg is then bet (to the
lowest penny) in the third leg; etc.
(c) A
parlay bet may combine any of the races on the program and must combine at
least two and not over eight races. Bets are limited to win, place,
show or proposition pool types for which a corresponding pool is conducted on
the race selected. The races in a parlay must be chronological but need not be
consecutive nor combine the same type pool. The parlay shall be designated on
one pari-mutuel ticket which may also evidence other parlay bets combining the
same races. A parlay bet ticket must contain all win, place or show bets
without any proposition bets or all proposition bets without any win, place or
show bets.
(d) A parlay bet may not combine bets in the same race or earlier races (so-called reverse bets) nor on races on other programs.
(e) While payoffs inserted as bets in subsequent races are broken to the lowest penny (unlike regular payoffs), payoffs to the parlay bettor shall be broken to the lowest dime. Resulting parlay breakage shall be reported separately and added to regular breakage at the end of the program for the purpose of taxation and distribution.
(f) Parlay payoffs will be so inserted as bets in subsequent pools by the track operator that the amount of such bets, including their effect on the betting odds, will be displayed as soon as possible after the initial change of the morning line display. (Bet totals in such pools shall be displayed in truncated fashion, to the lowest dollar.)
(g) If any taxing authority requires the withholding of any portion of a winning parlay payoff prior to the completion of all bets in the parlay, such parlay shall thereupon terminate at such point and be payable to the ticket holder without further completion, selections in future races being voided. Such consequence shall be publicly announced and prominently displayed by the track operator who shall inform the public by explanation and examples of the operation of this subdivision before the start of the racing program.
(h) Parlay wagers may be cancelled by the ticket holder, in accordance with track policy on cancellations, only prior to the start of the first parlay race in which a parlay selection starts. Thereafter, the parlay must either be completed or be terminated by operation of these rules in order to be entitled to a payoff. The holder of the parlay ticket shall not have the option to cash in such bet prior to completion after a designated parlay entry actually starts in a race.
(i) If a race, pool or betting entry in a parlay is scratched (which includes an entry being declared a nonstarter for betting purposes, or a race or pool being declared "off") the parlay shall be constituted by the remaining legs; if there are no remaining legs, the parlay terminates.
(j) A bet on a coupled entry or field is considered a bet on the remaining part of such coupled entry or field in the event any part of such entry or field starts for pari-mutuel purposes in accordance with section 4122.27 of this Part. Parlay tickets incorporating an entry or field in which a scratch occurs are refundable only in accordance with subdivision (h) of this section.
(k) Copies of this section shall be made available to the public by the track operator.
(a) The exacta is a form of pari-mutuel wagering. Each bettor selects, in order, the first and second place finisher in the designated exacta race. The exacta pool shall be held entirely separate from all other pools and is in no way a part of the daily double, twin double, or straight, place or show pools.
(b) [Repealed]
(c) Races in which exacta pools shall be conducted shall be approved by the commission and shall be clearly designated in the racing program.
(d) The design of exacta tickets shall be clearly and immediately distinguishable from other pari-mutuel tickets.
(e) Winning combination. The numbers of the first two horses as made official shall be the winning combination except that where more than one of such horses is part of a coupled entry or field with another of such horses only the best finisher of such horses shall be counted in the winning combination for payoff, and the horse or horses not in such coupled entry or field finishing the same, or, if applicable, next finishing, shall be the other part of the winning exacta combination. For example, if two horses in a coupled entry (or field):
(1) finish first and second, or in a dead heat for first, the winning combination will be the number of such entry or field and the number of the third finishing horse not part of such entry or field;
(2) finish first and in a dead heat for second, the winning combination will be the number of such entry or field and the number of the horse dead heated for second who is not part of such coupled entry or field;
(3) finish in a three-horse dead heat for win with another horse not part of such entry or field, the winning combination will be the number of such entry and the number of the horse not part of such entry.
(f) Failure to select a winning combination. If no exacta ticket is sold combining the winner and second place horse in order, the net pool shall be distributed to holders of exacta tickets designating the winner to win. In the event one horse only finishes and is declared winner, the net pool shall be distributed to holders of exacta tickets designating the winner to win.
(g) Dead heat. (1) In the event of a dead heat for win, the net pool shall be distributed to each combination of winners separately as in a win pool dead heat.
(2) In the event of a dead heat for second, the pool shall be divided as in a win pool dead heat among exacta tickets combining the winner with each second place horse.
(h) In the event fewer than four betting interests start, the exacta shall be declared off and the gross pool refunded.
(i) This rule shall be prominently displayed throughout the betting area of each track conducting the exacta and printed copies of this rule shall be distributed to patrons upon request by the track.
(a) The triple (or other approved name) is a form of pari-mutuel wagering. Each bettor selects, in order, the first, second and third placed horses in the designated triple race. The triple pool shall be held entirely separate from all other pools, and is not part of a daily double, exacta or other wagering pool.
(b) [Repealed]
(c) Races in which triple pools shall be conducted shall be approved by the commission and shall be clearly designated in the program.
(d) The design of triple tickets shall be clearly and immediately distinguishable from other pari-mutuel tickets.
(e) Scratch. If a horse is scratched or declared a nonstarter, no further triple tickets may be issued designating such horse, and all triple tickets previously issued designating such horse shall be refunded and the money deducted from the gross pool.
(f) Failure to select a winning combination, short finishes. (1) If there is a failure to select, in order, the first three horses, payoff shall be made on triple tickets selecting the first two horses in order; failure to select the first two horses, payoff to triple tickets selecting the winner to win; failure to select the winner to win shall cause a refund of all triple tickets.
(2) If less than three horses finish, payoff shall be made on tickets selecting the actual finishing horses in order, ignoring the balance of the selection.
(g) Dead heats. In the event of a dead heat or dead heats, all triple tickets selecting the correct order of finish, counting a horse in a dead heat as finishing in either position dead-heated, shall be winning tickets, and distribution shall be made in accordance with established pari- mutuel practice relative to dead heats.
(h) Coupled entries and fields are permitted in trifecta races. In such races no wagers may be accepted or issued (including "wheel" or "box" type bets) which couple the same coupled entry or the same field in the same combination.
(i) This rule shall be prominently displayed throughout the betting area of each track conducting the triple and printed copies of this rule shall be distributed by the track to patrons upon request.
(j) At its option, the track conducting a triple pool race may accept nine horses to start in such race. In the event fewer than six horses start, the trifecta shall be declared off and the gross pool refunded. With the approval of the judges, a track may schedule exacta wagering in place of triple wagering, if time permits.
4122.42.
Quinella.
(a) The quinella is a form of pari-mutuel wagering. Each bettor selects two horses to place first and second in the designated quinella race, the order of placing of the said two horses being immaterial. The quinella is not a parlay and this pool shall be held entirely separate from all other pools, and is in no way a part of the daily double, exacta, triple, superfecta, straight, place or show pools.
(b) [Repealed]
(c) Races in which quinella pools are to be conducted shall be approved by the commission and shall be clearly designated in the racing program.
(d) The design of quinella tickets shall be clearly and immediately distinguishable from other pari-mutuel tickets.
(e) Scratch. If a horse is scratched or declared a nonstarter, no further tickets may be issued designating such horse, and all tickets previously issued designating such horse shall be refunded and the money deducted from the gross pool.
(f) Failure to select a winning combination. If no ticket is sold on a winning combination in a quinella pool, the net pool shall be apportioned among those holding tickets designating the horse placing first with any other horse and those holding tickets designating the horse placing second with any other horse, in the same manner in which a place pool is calculated.
(g) Dead heat. In case of a dead heat between two horses for the first place, that combination shall be the winner of the quinella pool. In cases of a dead heat for first place involving more than two horses, the net pool shall be calculated and distributed to holders of tickets combining any two dead-heated horses as in a win pool dead heat.
(h) In case of a dead heat between two horses for second place, the pool shall be figured as a "place pool", the holders of tickets combining the winning horse and one of the two horses placing second participating in the payoff.
(i) In case of a dead heat for second place and no tickets are sold on one of the two winning combinations, the entire net pool shall be calculated as a win pool and distributed to those holding tickets on the other winning combination.
(j) If no tickets combine the winning horse with either of the place horses in the dead heat, the pool shall be apportioned among those holding tickets designating the first place horse and any other horse, and those holding tickets designating a second place horse with any other horse, as in a place pool in which a dead heat for place occurs.
(k) If no ticket is sold that would require distribution of a quinella pool to a winner as defined in this section, the track shall make a complete and full refund of the quinella pool.
(l) In the event fewer than four betting interests start, the quinella pool shall be declared off and the gross pool refunded.
(m) This rule shall be prominently displayed throughout the betting area of each track conducting the quinella and printed copies of this rule shall be distributed by the track to patrons upon request.
(n) Winning combination. The numbers of the first two horses as made official shall be the winning combination regardless of their respective order of finish, except that where more than one of such horses is part of a coupled entry or field with another of such horses, only the one best finisher of such horses shall be counted in the winning combination for payoff, and the horse or horses not in such coupled entry or field finishing the same, or, if applicable, next finishing, shall be the other part of the winning quinella combination. For example, if two horses in a coupled entry (or field):
(1) finish first and second, or in a dead heat for first, the winning combination will be the number of such entry or field and the number of the third finishing horse not part of such entry or field;
(2) finish first and in a dead heat for second, the winning combination will be the number of such entry or field and the number of the other horse dead-heated for second who is not part of such coupled entry or field;
(3) finish in a three-horse dead heat for win with another horse not part of such entry or field, the winning combination will be the number of such entry and the number of the horse not part of such entry.
A track may deduct from the wages of a pari-mutuel employee monies owed as a result of such employee's going short on any particular racing day. The term short as used in this section shall mean any loss to the harness racing association arising from amounts missing from funds in the possession, custody or control or under the supervision of any pari-mutuel employee or employees in the course of the performance of his or their duties in the mutuel department of the harness racing association.
4122.44.
Payments to the Agriculture and New York State Horse Breeding Development Fund.
Every corporation or association shall pay to the Agriculture and New York State Horse Breeding Development Fund the percentage of the pari-mutuel pool as required by law when the payments of State taxes are due to the State Tax Commission.
The rules in this section shall govern all super exotic pari-mutuel pools conducted by a licensed harness track operator.
(a) Wagering tickets. A super exotic pari-mutuel pool known as the "pick-seven," "pick- eight," "pick-nine," "pick-ten" or such other name as may be approved by the board, is authorized to be conducted by a harness track operator upon the outcome of seven, eight, nine or ten consecutive pari-mutuel races to be contested at its track on the same racing program. Such pool shall be separate and distinct from all other pari-mutuel pools conducted at such track. Wagers in such pool shall be represented by pari-mutuel tickets immediately distinguishable from pari-mutuel tickets issued in other pools. A wager, which shall select a winner for each designated race, shall be included on the same pari-mutuel ticket which shall be issued prior to the start of the first designated super exotic race. Races designated for the super exotic pool shall be clearly described as such in the official program.
(b) Winners and carry-overs. In general, after deductions for cancellations, refunds and statutory take-out, the resulting super exotic net pool shall be distributed, less breaks, to the holders of tickets selecting winners of all designated races in the pool. Should there be no wager selecting winners of all designated races, then, at the option of the track operator, established before the first such pool of the meeting is conducted, a stated percentage of not less than 25 percent nor more than 75 percent of the net pool shall be distributed, less breaks, to the holders of tickets selecting the winners of the most super exotic races and the balance of the net pool shall be carried over and added to and distributed with the net pool of the next subsequent super exotic pool in which a wager correctly selects the winners of all designated super exotic races. The number of races designated for the super exotic pool shall not be changed during a meeting until a wager has correctly selected the winner of every designated race of a super exotic pool or until there has been an intermediate distribution.
(c) Added payments to winners. In addition to the net pool and any carry-overs distributable when a wager correctly selects winners of all designated races of a super exotic pool, there shall be distributed by the track operator from its own funds, upon such occurrence, any amounts it has advertised that it will add to the total distribution, or any amounts necessary to yield an advertised guaranteed total distribution.
(d) Intermediate distributions. Prior to the last two weeks of a licensed race meeting, a date and program approved by the board may be announced by the track operator when (provided no one thereafter has correctly selected the winners of all designated races of a super exotic pool through such program) accumulated carry-overs in an amount announced by the track operator will be added to the established percentage of the net pool distributable to wagers selecting the winners of the most races of the super exotic pool conducted on such program. The balance of undistributed carry-overs above such announced amount, plus any carry-over from such program, shall in turn carry-over for distribution with subsequent super exotic pools conducted by such track operator. An intermediate distribution may also be directed at any time, upon three days' notice by the board, of such portion or all of the accumulated carry-over money as may be directed by the board.
(e) Final distribution. The board shall select a date and program during the final week of the licensed race meeting of a track operator when there shall be a final distribution of all accumulated carry-overs together with the entire net pool of the super exotic pool conducted during such program to the holders of wagers selecting the winners of the most super exotic races contested during such program. Thereafter no super exotic pools will be conducted at such meeting. In the event that all super exotic races on the program designated for final distribution are cancelled, and no further programs are conducted at the meeting, the board shall require that a super exotic pool be conducted on the first program of the next subsequent race meeting conducted at such track by such track operator to provide for final distribution for such prior meeting. The board may also order a final distribution for an earlier time in its discretion.
(f) Dead heats. Each horse in a dead heat for win shall be considered the winner, and no allocations among wagers shall be made as a result thereof, unlike the practice in a pari-mutuel win pool. The payoff price per dollar shall be the same for all winning wagers.
(g) Scratched horses and nonstarters. At any time after wagering begins on the pool should an entire betting entry or field be scratched or declared a nonstarter in any super exotic race, no further tickets selecting such betting entry or field shall be issued, and wagers upon such betting entry or field, for purposes of the super exotic pool, shall be deemed wagers upon the betting entry or field upon which the most wagers have been registered in the win pool at the track at the close of win pool betting for such race (designated horse). (In the event of a money tie, the tied betting entry or field with the lowest program number shall be designated.) Wagers remaining in the pool upon horses which may have been scratched will, in the case of multiple betting entries or fields be deemed wagers upon the horses remaining in such entries or fields, and in the case of single betting entries be deemed wagers upon the designated horse in the race affected by the scratch. Should the balance of a betting entry or field race as a nonbetting starter for purposes of other pari-mutuel pools, as provided in section 4122.27 of this Part, wagers upon such entry or field shall be deemed wagers upon the designated horse for such race. Should a programmed starter be scratched or declared a nonstarter prior to the start of the first leg, the betting operator shall be authorized to refund any tickets designating betting entries affected thereby prior to such first leg.
(h) Race cancellations. Except for pools in which an intermediate or final distribution is to be made, should one or more super exotic races be cancelled, no carry-overs from prior super exotic pools, advertised guaranteed amounts nor advertised added amounts will be distributed to winners in such super exotic pool and that program's entire net pool only shall be distributed, less breaks, to holders of wagers upon the winners of all super exotic races contested for such pool. Should no wager select the winners of all super exotic races contested, the established percentage of that net pool shall be distributed, less breaks, to the holders of wagers upon the winners of the most super exotic races contested and the balance shall be carried over as elsewhere provided in this section, for subsequent distribution.
(i) Seed money or insurance allocation. Two percent of the total super exotic pool shall be held apart by the track operator from the take-out of each super exotic pool to reimburse such track operator for the cost of any insurance it may secure to guarantee minimum distributions to winners of such pools, or to reimburse a track operator for funds it expends for added money or guaranteed minimum distributions to winners of such pools. Any accumulation of such two percent allocations not necessary to reimburse a track for expenditures actually incurred for such purposes shall be added to the amounts distributable in the pool designated for final distribution for the year.
(j) Posting of winning combinations. Every wagering combination entitled to a payoff shall be posted publicly by the track operator together with the payoff price therefor.
(k) Trust funds. Carry-over monies shall be held in a separate account in trust by track operators for the benefit of participants in super exotic pools until distributed.
(l) No reduction in guaranteed distributions. Added monies or guaranteed minimum distributions advertised by a track operator shall not be reduced for subsequent super exotic pools until a wager correctly selects winners of all designated races of a super exotic pool, or a final distribution occurs, whichever is first. Advertised added monies or minimum distributions shall not apply to intermediate or final distributions unless a wager correctly selects winners of all designated races of the super exotic. A guaranteed minimum distribution or guaranteed added money amount, once advertised, may not be reduced and shall continue to be guaranteed by the track operator for every super exotic pool for the balance of the meeting.
(m) Betting information. Unless otherwise ordered by the board, information concerning combinations wagered upon or not wagered upon in a super exotic pool shall not be disclosed by the tote operator or otherwise, until all races of a super exotic pool have been contested and declared official. The operation of the totalizator equipment and reports generated thereby as well as the communication of any information concerning such pool shall be subject to the strict supervision of the board.
(n) Nontransferability. Super exotic tickets shall be nontransferable and violations of this subdivision may lead to confiscation and cancellation of such tickets in addition to other disciplinary action.
(o) Unforeseen circumstances. Should circumstances occur which are not foreseen in this section, questions arising thereby shall be resolved in accordance with general pari-mutuel practice in the judgment of the presiding judge. Decisions regarding distribution of super exotic pools will be final and unappealable.
(p) Posting of rules. These rules shall be posted in the public area of the track by the track operator and copies thereof shall be made available to the public by the track operator.
(a) The pick four (or other approved name) is a form of pari-mutuel wagering conducted on four races specifically designated as pick four races by the board. Each bettor selects, in order, the first placed horse in each of the four races designated and advertised by the track as pick four races, in the race order so designated by the board.
(b) The pick four is not a parlay and has no connection with nor relation to the other betting pools for the respective races. The pick four pool shall be held entirely separate from all other pools and is no part of a daily double, exacta, quinella, triple, superfecta or other wagering pool.
(c) Resale of pick four tickets from one individual to another is prohibited, shall be grounds for ejection, and may be deemed illegal gambling.
(d) Races in which pick four pools shall be conducted shall be clearly designated in the program and racing cards issued by the corporation.
(e) The design of the pick four tickets shall be clearly and immediately distinguishable from other pari-mutuel tickets.
(f) Scratched horses and nonstarters. At any time after wagering begins on the pick four pool, should an entire betting entry or field be scratched or declared a nonstarter in any pick four race, no further tickets selecting such betting entry or field shall be issued, and wagers upon such betting entry or field, for purposes of the pick four pool, shall be deemed wagers upon the betting entry or field (designated horse) upon which the most wagering money has been registered at the track in the win pool at the close of win pool betting for such race. (In the event of a money tie, the tied betting entry or field with the lowest program number shall be designated.) Wagers in the pick four pool upon an entry or field of horses from which a starter or starters may have been scratched will, in the case of such entry or field, be deemed wagers upon the horse or horses remaining in such entry or field; except at tracks with totalizator capability to record wagers selecting a coupled entry (or field) and wagers selecting any individual constituent horses therein (merging such wagers for odds display and payoff purposes), in which case, the wagers upon scratched constituent horses will be deemed wagers upon the "designated horse" in such race. In case no starter remains representing any betting entry or field, wagers upon such entry or field shall be deemed wagers upon the "designated horse" in the race affected by the scratch. Should the balance of a betting entry or field race as a nonbetting starter for purposes of other pari-mutuel pools, as provided in section 4122.27 of this Part, wagers upon such entry or field shall be deemed wagers upon the "designated horse" for such race. Should a programmed starter be scratched or declared a nonstarter in any pick-four race prior to the start of the first leg, the betting operator shall be authorized to refund any tickets designating betting entries affected thereby prior to such first leg.
(g) Failure to select a winning combination. (1) If no pick four ticket is sold combining the winners of the four pick four races, all pick four tickets designating three winners shall be considered winning tickets and the net pool distributed equally to holders of said tickets.
(2) If no pick four ticket is sold combining the winners of three such races, all pick four tickets designating two winners shall be considered winning tickets and the net pool distributed equally to holders of said tickets.
(3) If no pick four ticket is sold combining the winners of two such races, all pick four tickets designating one winner shall be considered winning tickets and the net pool distributed equally to holders of said tickets.
(4) If no pick four ticket is sold designating any winner to win in the designated pick four races, the pick four shall be declared off and the gross pool refunded.
(5) If any of the designated races are cancelled or declared "no race," the pick four will be determined by the winners of the remaining race or races.
(h) Dead heats. In the event of a dead heat for win in any or all pick four races, all pick four tickets designating either horse to win in said race or races shall be eligible for participation in the remaining pick four races, and the net pool shall be equally distributed to the winners, that is, the net pool will be divided by the total amount represented by all winning tickets and the resulting price, per dollar, and after breakage, shall be the payoff price, which shall be uniform for any winning combination.
(i) In the event of occurrences not encompassed within the explicit provisions of this section, distribution shall be formulated on the basis of established pari-mutuel practice and in accordance with the distribution philosophy set forth in this section; provided, nevertheless, that if full distribution of the pool is made on the basis of outstanding tickets, the method of formulation announced by the track, and upon which basis payments have been made, shall be deemed conclusively correct and not subject to review.
(j) Copies of this section shall be made available free of charge by the track to the public in the public betting area of the track.
(A) Generally. When consistent with the public interest and the best interests of racing generally, the board may approve a request from a track operator to offer proposition wagering betting as a service to the betting public.
(B) Proposition wager defined. A proposition wager is a pari-mutuel wager based on the results of a live horse race or series of horse races. The wager requires the selection of a betting interest which finishes ahead of the other betting interests in official placing regardless of the official placing of the other betting interests in the race.
(c) Prior approval. No racing association or corporation licensed by the board participating in proposition wagering may offer any proposition wager without the prior approval of the board. A request in writing for such approval shall be made no less than two (2) weeks prior to the desired date of implementation, and must include the type of wager desired, the procedures for designating specific races, the date on which the wager shall be available, the takeout, the method of informing bettors of the probable odds for the wager, scratches, the distribution of pool and other items specified in this Section. Subsequent to the receipt of approval to offer the proposition wager, the racing association or corporation licensed by the board shall identify and seek further approval from the board, or its representatives, not less than twenty four (24) hours prior to the race or races subject to the wager, of the names of the betting interests on which the wagers are to be made for that race date and shall assign a program number to each betting interest. The races in which those betting interests are entered shall also be identified.
(D) Calculation and posting of odds. The calculation of approximate odds for any proposition wager shall be completed, and the approximate odds posted, as soon as practicable after the close of the specific wager pool. The final odds shall be calculated and posted as soon as practicable after the event, or last of a series of events, which are the subject of the wager is declared official.
(E) Types of proposition wagering authorized. The board establishes the following proposition wagering offerings:
1) Head to head horse wager.
(a) Head to head horse wager defined. A head to head horse wager requires the identification by a racing association or corporation licensed by the board of two (2) separate betting interests competing in a single race. The wager requires the selection of the betting interest which finishes ahead of the other betting interest in official placing. The matching of contestants for the head to head wager should be limited to horse versus horse. The head to head wager on a horse versus horse may be offered only on horses competing in races that award purses of two hundred fifty thousand dollars ($250,000.00) or more.
(b) Identification of betting interests. None of the betting interests identified that are the subject of a proposition wager shall be part of a coupled entry or mutuel field, nor shall any betting interest have a shared identity of trainer or owner. The wager and competing betting interests for each such race shall be prominently displayed in the official program of the racing association or corporation licensed by the board on the day of the race or races subject to the wager.
(c) Close of pool. The pool for each race subject to the wager shall close at the same time all regular, multiple and exotic pari-mutuel wagering pools for said race close.
(d) Calculation and distribution. The proposition wager for each race is a separate pari-mutuel pool. The calculation and distribution of the pool shall be the same as the calculation of the win pool as set forth in 4122.15 of these rules. However, because the proposition wager takeout amounts differ from the win pool, the distribution shall be based on the takeout rate allowances for proposition wagers as set forth in the New York State Racing Wagering Pari-Mutuel and Breeding Law § 909 and as approved by the board. The net head to head pool shall be distributed as a single price pool to holders of winning wagers based upon the official order of finish.
(e) Dead heat. In the event of a dead heat involving both identified betting interests, the wager is declared cancelled, and the gross pool refunded.
(f) Scratch or non-starter. In the event of the scratch of either or both identified betting interests or the declaration by the judges of either or both betting interests to be a non-starter(s), the wager is declared cancelled, and the gross pool refunded.
(g) Failure to finish. In the event that both identified betting interests fail to finish the race, the wager is declared cancelled, and the gross pool refunded.
(h) Cancellation of race. In the event the race is cancelled, or the judges declared the race a “no-contest”, the wager is declared cancelled, and the gross pool refunded.
2) Head to head to head horse wager.
(a) Head to head to head horse wager defined. A head to head to head horse wager requires the identification by a racing association or corporation licensed by the board of three (3) separate betting interests competing in a single race. The wager requires the selection of the betting interest which finishes ahead of the other betting interests in official placing regardless of the official placing of the other betting interests in the race. The matching of contestants for the head to head to head wager should be limited to horse versus horse versus horse. The head to head to head wager on a horse versus a horse versus a horse may be offered on horses competing in races that award purses of two hundred fifty thousand dollars ($250,000.00) or more.
(b) Identification of betting interests. None of the betting interests that are the subject of a proposition wager shall be part of a coupled entry or mutuel field, nor shall any betting interest have a shared identity of trainer or owner. The wager and competing betting interests for each such race shall be prominently displayed in the official program of the racing association or corporation licensed by the board on the day of the race or races subject to the wager.
(c) Close of pool. The pool for each race subject to the wager shall close at the same time all regular, multiple and exotic pari-mutuel wagering pools for said race close.
(d) Calculation and distribution. The proposition wager for each race is a separate pari-mutuel pool. The calculation and distribution of the pool shall be the same as the calculation of the win pool as set forth in Section 4122.18 of these rules. However, because the proposition wager takeout amounts differ from the win pool, the distribution shall be based on the takeout rate allowances for proposition wagers as set forth in the New York State Racing Wagering Pari-Mutuel and Breeding Law § 909 and as approved by the board. The net head to head to head pool shall be distributed as a single price pool to holders of winning wagers based upon the official order of finish.
(e) Dead heat. In the event of a single dead heat involving all of the identified betting interests, the wager is declared cancelled, and the gross pool refunded. In the event of a dead heat involving two (2) of the betting interests which officially place ahead of the third betting interest, then the two betting interests involved in any such dead heat shall each be declared the winner for purposes of pool distribution. The calculation and distribution of the pool shall be the same as the calculation of the place pool as set forth in Section 4122.18 of these rules. However, because the proposition wager takeout amounts differ from the place pool, the distribution shall be based on the takeout rate allowances for proposition wagers set forth in the New York State Racing Wagering Pari-Mutuel and Breeding Law § 909 and as approved by the board.
(f) Failure to finish. In the event that all three (3) identified betting interests fail to finish the race, the wager is declared cancelled, and the gross pool refunded. In the event that two (2) of the three (3) identified betting interests fail to finish the race, then the sole identified betting interest finishing the race shall be considered the winner of the wager for the purposes of pool distribution.
(g) Scratch or non-starter. In the event of the scratch of all three identified betting interests or the declaration by the judges of all identified betting interests to be non-starters, the wager is declared cancelled, and the gross pool refunded. In the event of the scratch or declaration as a non-starter of any two (2) of the identified betting interests, leaving only one identified betting interest remaining in the race, the wager is declared cancelled, and the gross pool refunded. In the event of the scratch or declaration as a non-starter of any one (1) of the identified betting interests, leaving two (2) identified betting interests remaining in the race, the portion of the gross pool allocated to the scratched or non-starting entry shall be refunded, and the wager shall be otherwise contested according to the rules of this section governing the head to head horse wager.
Cancellation of race. In the event the race is cancelled, or the judges declared the race a “no-contest”, the wager is declared cancelled, and the gross pool refunded.
3) Marketing and advertising headings.
Subject to the prior approval of board, the racing association or corporation licensed by the board participating in proposition wagering may use different names for the type of proposition wagering authorized which differ from the headings defined by the board for each type of wager for the purposes of marketing or advertising.
(a) Board approval. An association or corporation must obtain written approval from the board for the initial scheduling or specific performances of Grand Slam races or any other name used to characterize this bet type, and identify the pari-mutuel pool and any required distribution percentages. Changes to the approved Grand Slam format, or suspension of previously approved Grand Slam wagering, require prior written approval from the board.
(b) Grand Slam Pools. (1) The Grand Slam requires selection of the official first, second or third-place finisher in each of the first three races in a series of four designated Grand Slam races in a single day. A completed winning Grand Slam wager requires the selection of the official first place finisher in the fourth and final event in this same series of races. The Grand Slam wager is classified as an exotic bet and is subject to the prevailing exotic takeout rate set forth in section 318 of the Racing Pari-Mutuel Wagering and Breeding Law (between twenty to thirty per centum of total deposits in pools resulting from on-track exotic bets and selected by an association or corporation and approved by the board).
(2) The Grand Slam pool shall be apportioned under the following method:
(i) The net Grand Slam pool shall be distributed from a single betting pool to participants who selected the first, second or third-place finisher in the first three races of a series of four Grand Slam races completing a winning wager with the selection of the first place finisher in the fourth and final Grand Slam event in this same series, based upon the official order of finish.
(ii) If there are no winning wagers taking into account all four segments of the Grand Slam wager, then the pool shall be distributed as a single betting pool to those who selected the first place finisher in the fourth and final Grand Slam event in this series of races along with the greatest number of first, second or third-place finishes each of which had an accompanying Show pari-mutuel payout, in each of the first three races in the series of four designated Grand Slam races. All results are based upon the official order of finish for each race.
(3.) If there is a dead heat for first in any of the Grand Slam segments involving:
(i) Official program numbered horses representing the same betting interest, then the Grand Slam pool shall be distributed as if no dead heat occurred.
(ii) Official program numbered horses representing two or more betting interests, then the Grand Slam pool shall be distributed from a single betting pool with a winning wager including each betting interest participating in the dead heat provided each entrant has a pari-mutuel show payout within its race.
(4.) If there is a dead heat for second and/or third in any of the first three races in a series of four designated Grand Slam contests involving:
(i) Horses representing the same betting interest, then the Grand Slam pool shall be distributed as if no dead heat occurred.
(ii) Horses representing two or more betting interests, then the Grand Slam pool shall be distributed from a single betting pool with a winning wager including the betting interest which finished first or any betting interest involved in the dead heat for second or third providing the horse has a show pari-mutuel payout.
(5.) Should a betting interest in any of the Grand Slam contests be scratched:
(i) The actual favorite, as evidenced by total amounts wagered in the Win pool at the host association for the contest at the close of wagering on that contest, shall be substituted for the scratched betting interest for all purposes, including pool calculations. In the event that the Win pool total for two or more favorites is identical, the substitute selection shall be the betting interest with the greatest amount of money in the place pool. The totalizator shall produce reports showing each of the wagering combinations with substituted betting interests which became winners as a result of the substitution, in addition to the normal winning combination.
(ii) Should a scratch or scratches occur in any of the first three races in a series of four designated Grand Slam contests and subsequently show wagering is cancelled due to an insufficient number of remaining betting interests, this race for winning Grand Slam wagering purposes would include the win and place horse only.
(6.) If at least two contests included as part of a Grand Slam wager are canceled or declared "no contest,” then the Grand Slam pool shall be canceled and all Grand Slam wagers for the individual performance shall be refunded.
(7.) If at least one race included as part of a Grand Slam wager is canceled or declared "no contest", but not more than the number specified in subsection 6 of this rule, then the net pool shall be distributed from a single betting pool to those bettors whose selections finished first, second or third in the greatest number of Grand Slam contests in the first three races in a series of four designated Grand Slam contests. In determining a pari-mutuel distribution under this section, a finish of first in the final and fourth designated Grand Slam contest race for the performance in question shall have the same weight as a finish of first, second or third in the greatest number of Grand Slam contests in the first three races in a series of four designated Grand Slam contests.
(8.) Providing information to any person regarding covered combinations, amounts wagered on specific combinations, number of tickets sold, or number of live tickets remaining prior to the third segment of the wager being made official is strictly prohibited. This shall not prohibit necessary communication between totalizator and pari-mutuel department employees for processing of pool data.
4122.49
Additional authorized wagers
In
addition to the types of wagers authorized by this Part, an association or
corporation may, with the prior permission of the board, offer any type of
pari-mutuel wagering as defined by chapter 9, Pari-Mutuel Wagering, Uniform Rules of Racing, as adopted and
published in December, 1996 by the Association of Racing Commissioners
International at 2343 Alexandria Drive, Suite 200, Lexington, KY 40504-3276.
This is available for public inspection at the New York State Racing and
Wagering Board located at 1 Broadway Center, Suite 600, Schenectady, NY
12305-2553 or 86 Chambers Street, Suite 201, New York, NY 10007, both addresses
and at the Department of State, 41 State Street, Albany, NY.
PART
4123
VOLUNTARY EXCLUSION FROM RACETRACKS AND
RESTRICTION ON TELEPHONE ACCOUNT WAGERING
4123.1 Self-exclusion; restriction on telephone account wagering
(a) Each racing association or corporation shall establish a system by which a person may voluntarily exclude himself or herself from entering the premises of the race track.
(b) Each racing association or corporation which maintains telephone betting accounts for wagering on races shall establish procedures that are designed to permit an account holder to voluntarily place limits on the amount of his or her wagers. This restriction may be calculated on a daily or weekly basis.
(c) A self-excluded person or an account holder who has placed restrictions on his or her account may remove such exclusion or restrictions upon request made to the racing association or corporation, however no request from a person to remove any self-exclusion or limit placed on account wagers shall be effective until seven days after it has been received by the racing association or corporation.
4123.2 Self-exclusion from racetrack; self-imposed restriction on telephone account wagering.
1 (a) Each racing association or corporation shall create a list of self-excluded persons and shall post information explaining how an individual may add his or her name to the list.
(b) An individual’s name may be added to the list of self-excluded persons if the individual has notified the racing association or corporation in writing or in person of his or her pledge not to visit a race track by filing an application for placement on the racing association’s or corporation’s list of self-excluded persons. The application shall be designed to include a removable label or "tear-off" with information concerning the availability of services to assist compulsive gamblers.
(c) An application for self-exclusion shall include all of the following information about the individual who is applying:
(1) Full name and all aliases;
(2) Physical description including height, weight, hair and eye color, skin color, and any other noticeable physical characteristics;
(3) Current home address;
(4) Social security number;
(5) Date of birth.
(6) Statement that the individual is seeking self-exclusion;
(7) A photograph suitable for the racing association or corporation to use to identify the individual.
(d) An individual’s name shall be placed on the list of self-excluded persons after all of the following have occurred:
(1) The individual has submitted an application to be placed on the racing association’s or corporation’s list of self-excluded persons.
(2) The signature of a racing association or corporation employee authorized to accept such request, indicating that the signature of the person on the request for removal from the self-exclusion list appears to agree with that contained on his or her identification credentials and that any photograph or physical description of the person appears to agree with his or her actual appearance or identification credentials.
(3) The individual has signed an affidavit in which he or she affirms that he or she wishes to be placed on the list of self-excluded persons;
(4) The individual signs a form releasing the State of New York and the racing association or corporation from any injury the individual suffers as a consequence of placing his or her name on the list of self-excluded persons.
(e) Each racing association or corporation shall file with the board no later than thirty days after the effective date of this Part a plan for implementing subdivision one of this rule and for disseminating the information contained in the applications for placement on the list of self-excluded persons. The plan shall be designed to safeguard the confidentiality of the information but shall include dissemination to all of the following:
(1) The racing association or corporation managerial employee who has responsibility over the entire wagering operations; and
(2) All security and surveillance personnel.
(f) A racing association or corporation shall not offer coupons, market its services, or send advertisements to, or otherwise solicit the patronage of, those persons whose names are on the list of self-excluded persons.
(g) The racing association or corporation shall keep a record of each individual whose name is on the list of self-excluded persons. If a racing association or corporation identifies a person on the premises of their racetrack, the racing association or corporation shall, after confirming that the individual has filed an affidavit under this section, immediately remove the individual from the race track.
(h) A request for removal from the self-exclusion list shall include:
(1) The identifying information specified in (c)(1 through 5), above;
(2) The signature of the person requesting removal from the self-exclusion list indicating acknowledgment of the following statement: "I certify that the information that I have provided above is true and accurate. I am aware that my signature below constitutes a revocation of my previous request for self-exclusion, and I authorize the racing association or corporation to reinstate my wagering privileges at their race track."; and
(3) The signature of a racing association or corporation employee authorized to accept such request, indicating that the signature of the person on the request for removal from the self-exclusion list appears to agree with that contained on his or her previously filed identification credentials and that any photograph or physical description of the person appears to agree with that information filed previously or actual appearance if the request for removal is made in person.
(4) No request from a person to remove himself or herself from any self-exclusion list shall be effective until seven days after it has been received by the racing association or corporation.
(i) This rule does not create any right or cause of action on behalf of the individual whose name is placed on the list of self-excluded persons against the State of New York, the board or a racing association or corporation.
4123.3 Voluntary restrictions on telephone account wagering.
(a) Any holder of an account authorized pursuant to section one thousand twelve of the Racing, Pari-Mutuel Wagering and Breeding Law may voluntarily place limits on the amount of his or her wagers. This restriction may be calculated on a daily or weekly basis.
(1) Each racing association or corporation which maintains telephone betting accounts for wagering on races shall establish procedures that are designed to deny wagering privileges beyond a daily or weekly threshold set by the account holder;
(2) Any holder of an account voluntarily restricted may have such restrictions removed or modified upon written or in person request to the racing association or corporation. No request from a person to remove any limit placed on account wagers shall be effective until seven days after it has been received by the racing association or corporation.
(b) Each racing association or corporation which maintains telephone betting accounts for wagering on races shall file with the board no later than thirty days after the effective date of this Part a copy of its procedures established pursuant to subdivision two of this rule.