§ 4007.7. [(Reserved)] Geldings

Section 4105.13 of 9 NYCRR would be amended as follows:

§ 4105.13. Duties of the racing secretary.

It shall be the duty of the racing secretary to:

(a) [Receive and to keep safe the eligibility certificates of all horses competing at the race track or stabled on grounds owned or cared for by any licensed harness race association and to return same to the owner of a horse or his representative upon their departure from the grounds] Provide electronic access to the eligibility certificates and other horse ownership and registration records of the United States Trotting Association and Standardbred Canada.

Section 4106.1 of 9 NYCRR would be amended as follows:

§ 4106.1. Records.

No horse will be permitted to race unless an eligibility certificate or other certificate of registration, in current form, is on file with the United States Trotting Association or Standardbred Canada [the track conducting the race].

New section 4106.10 would be added to 9 NYCRR as follows:

1. Statutory authority: The New York State Gaming Commission (“Commission”) is authorized to promulgate this rule by Racing, Pari-Mutuel Wagering and Breeding Law (“Racing Law”) Sections 103(2), 104(1, 19) and 301.

Racing Law Section 103(2) provides that the Commission is responsible for the supervision, regulation and administration of all horse racing and pari-mutuel wagering activities. Racing Law Section 104(1) provides the Commission with general jurisdiction over all gaming activities within the State and over any person, corporation or association engaged in such activities. Section 104(19) of such law authorizes the Commission to promulgate any rules it deems necessary to carry out its responsibilities. Racing Law Section 301 provides the Commission with the power to supervise generally all harness race meetings in this state at which pari-mutuel betting is conducted and to adopt rules and regulations related to those activities.

2. Legislative objectives: To maintain the public confidence and trust in the credibility and integrity of legalized gaming activities and ensure that gaming is to be conducted in the most efficient, transparent and effective manner possible. To ensure all gaming activity conducted in this state will be of the highest integrity, credibility and quality and that the best interests of the public, both gaming and non-gaming, will be served.

3. Needs and benefits. This rulemaking is necessary to ensure that the betting public and persons who claim race horses are provided with timely information regarding the classification of a male race horse. The classification of a horse is included in a certificate of registration, which is made available to the racing secretary prior to entering a horse in a race.

There are three classifications for male horses: colt, ridgling and gelding. A colt is a male horse that has intact and unaltered genitalia. A ridgling is a male horse that has genitalia that have not naturally descended and are obscured. A gelding is a colt or ridgling that has had its genitalia removed surgically. A colt that is too high-strung and difficult to control may be gelded in order to improve its racing performance.

For that reason, the status of a colt is important to betting public in order to know if the horse was gelded after its last race because its performance may improve or slow down as a result of the surgery. This rule will ensure that the public is properly informed that the horse has undergone surgical alteration.

The status of a horse is also important to a person who claims a horse. When a horse is claimed, a person who has “claimed” the horse takes ownership of the horse after the conclusion of a race. The new owner may claim a horse whose status as a colt changed since the last race and he or she unexpectedly owns a gelding, which affects the value and future of the horse as a breeding stallion.

The Commission’s current rules do not explicitly require that a horse’s official documentation be updated to reflect any such alteration. The suggested rule proposal would require a trainer to report such alterations done on the grounds of the racetrack within 72 hours, and if the surgery were performed elsewhere, at the time of the next entry of the horse to race. The proposal sets forth the required contents of such reports, which would be recorded on the official registration certificate and horse identification record of the horse. Such reports would be made to a thoroughbred racing secretary and horse identifier, or to the official compilers of standardbred ownership information, the United States Trotting Association or Standardbred Canada.

The proposal also updates standardbred rules to recognize that racing secretaries now rely on electronic (internet) records on file with such organizations, rather than paper documentation.

4. Costs:

a. Costs to regulated parties for the implementation and continuing compliance with the rule: There are no costs to the regulated parties. Owners and trainers are already required to make reports to racing secretaries. This rule will actually reduce reporting costs by allowing for electronic access to eligibility certificates.

b. Costs to the agency, the State, and local governments for the implementation and continuation of the rule: No additional operating costs are anticipated.

c. Sources of cost evaluations: The Commission evaluated the impact of the new rule.

5. Local government mandates: The proposed amendment does not impose any new programs, services, duties or responsibilities upon any country, city, town, village school district, fire district or other special district.

6. Paperwork: There are no additional paperwork requirements. Certificates of registration were previously required. This rule establishes deadlines for filing.

7. Duplication: There are no relevant State programs or regulations that duplicate, overlap or conflict with the proposed amendment.

8. Alternatives: No other alternatives were considered.

9. Federal standards: The proposed amendment does not exceed any minimum standards imposed by the federal government.

10. Compliance schedule: Because this is a notification rule and doesn’t require any substantive changes to the registration process, this rule can be implemented immediately upon adoption.

A regulatory flexibility analysis for small business and local governments, a rural area flexibility analysis, and a job impact statement are not required for this rulemaking proposal because it will not adversely affect small businesses, local governments, rural areas or jobs.

This proposal concerns the timely notification to the public of the surgical alteration to a racehorse by submitting a certificate of registration to the racing secretary of a licensed racetrack or respective racing association prior to the entry of a horse in a race or 72 hours after the gelding procedure if the horse is located on the premises of a licensed racetrack. Owners and trainers are already required to submit such certification, but this will require that they submit a revised certificate to reflect that the horse has been altered from a colt or ridgling to a gelding. This rule will not have an adverse economic impact or reporting, record keeping or other compliance requirements on small businesses in rural or urban areas or on employment opportunities.