§ 4006.7. Safety helmet required.

(a) Every [jockey, apprentice jockey and other rider, whether in a race or when exercising or ponying a thoroughbred horse,] person working in the gate crew or mounted on horseback on the grounds of a racetrack shall wear a properly fastened safety helmet [of a type approved in writing by the stewards. No change shall be made in any such helmet without the approval of the stewards]. The gate crew means the starter and assistant starter and any person who handles a horse for the starter or assistant starter at the starting gate.

(1) American Society for Testing and Materials, ASTM F1163-04a or F1163-15, Standard Specification for Protective Headgear Used in Horse Sports and Horseback Riding;

(2) European Norm, EN 1384:1996, Helmets for Equestrian Activities;

(3) British Standards Institute Product Approval Specification, PAS 015:2011, Specification for Helmets for Equestrian Activities;

(4) Interim European Standard, VG1 01.040: 2014-12 (with or without BSI Kitemark), Equestrian helmets;

(5) Australian Standards/New Zealand Standards, AS/NZS 3838:2006, Helmets for horse riding and horse-related activities;

(6) Australian Racing Board Helmet Safety Standard, ARB HS 2012;

(7) Snell Memorial Foundation (Snell) Equestrian Helmet Standard E2001 or E2016; or

(8) L'Union Technique de l'Automobile du Motocycle et du Cycle (UTAC) or CRITT Sport Loisirs (CRITT) 04/2015 standards.

Section 4006.8 of 9 NYCRR would be amended as follows:

§ 4006.8. Safety vests.

(a) Every person mounted on [No jockey, apprentice jockey, or exercise rider, pony person or outrider shall participate in any race, train, exercise, or pony any] horseback on [such] the grounds [conducted by any association or corporation licensed or franchised by the commission to conduct thoroughbred race meetings unless he or she wears a] of a racetrack shall wear a properly fastened safety vest.

(b) [Such safety vest] Each safety vest shall weigh no more than [two] four pounds and [shall be designed to] provide a minimum level of shock absorbing protection to the upper body[,] as evidenced by a label [with at least a rating of British Equestrian Trade Association (BETA) [2000/2009 Level 1] indicating compliance with one or more of the following product standards or with a standard that in the judgment of the [stewards] executive director of the commission or his or her designee is comparable or superior:

(1) British Equestrian Trade Association (BETA) Standard for Body and Shoulder Protectors for Equestrian Use, BETA 2009 Level 1;

(2) European Norm, EN 13158:2009 Level 1, Protective Clothing for equestrian use; or

(3) American Society for Testing and Materials, ASTM F2681-08 or F1937-04, Standard Specification for Body Protectors Used in Horse Sports and Horseback Riding.

1. STATUTORY AUTHORITY: The New York State Gaming Commission (“Commission”) is authorized to promulgate these rules pursuant to Racing Pari-Mutuel Wagering and Breeding Law sections 103(2) and 104(1, 19).

Under Section 103(2), the Commission is responsible to supervise, regulate, and administer all horse racing and pari-mutuel wagering activities in the State.

Subdivision (1) of Section 104 confers upon the Commission general jurisdiction over all such gaming activities within the State and over the corporations, associations and persons engaged in such activities.

Subdivision (19) of Section 104 authorizes the Commission to promulgate any rules and regulations that it deems necessary to carry out its responsibilities.

2. LEGISLATIVE OBJECTIVES: To enhance the integrity and safety of Thoroughbred racing.

3. NEEDS AND BENEFITS: This rulemaking will update the requirements for safety helmets and vests on the grounds of Thoroughbred tracks.

Section 4006.7 of 9 NYCRR currently requires jockeys, pony riders and other riders on the grounds of a Thoroughbred track to wear a helmet, approved by the Stewards, when racing, exercising or ponying a horse. The proposal will instead specify the applicable, current equine product standards, at least one of which a helmet must meet, and permit compliance with revised versions of such standards unless the Commission determines that any such change shall not be accepted. The proposal extends the requirement to wear such a helmet any person who is mounted on a horse or working in the starting gate crew on such tracks and will also require that the helmet be properly fastened.

Section 4006.8 currently requires jockeys, pony and other riders on the grounds of a Thoroughbred track to wear a safety vest that complies with British Equestrian Trade Association (BETA) 2000/2009 Level 1, or a standard that in the judgment of the stewards is comparable, when racing, exercising or ponying a horse. The proposal will require 2009 Level 1 and replace the judgment of the stewards with other acceptable product standards. The vest must meet at least one of these standards, and the proposal will permit compliance with revised versions of such standards unless the Commission determines that any such change shall not be accepted. The proposal will extend the requirement to wear such a vest to any person mounted on a horse on such tracks. The proposal would increase the permitted vest weight from two to four pounds, consistent with newer product standards, and would require that the vest be properly fastened.

The proposed amendments are based on a report from Marsh Risk Consulting that was commissioned by The Jockey Injury Compensation Fund to assess operational risks in New York Thoroughbred racing and input from the stewards at New York State tracks, The Jockey Guild, and the New York Thoroughbred Horsemen’s Association (NYTHA).

4. COSTS:

(a) Costs to the regulated parties for the implementation of and continuing compliance with these rules: Most jockeys and exercise riders are already using helmets and vests that meet the newer, approved industry standards. The other persons (e.g., trainers) whom the amendments would require on the grounds of a track to wear such helmets and vests are already using them.

The only costs will be the cost to replace helmets or vests that are outdated and do not meet at least one of the newer industry product standards. The riders with outdated equipment at NYRA race meetings, where the horsemen’s organization is offering $150 to assist riders to purchase new equipment, is estimated by the stewards to be about 50 to 100 persons. The jockeys and trainers at Finger Lakes Race Track (FLRT), the other Thoroughbred track in New York, have the newer equipment. FLRT is contributing $100 to help pay for a new vest, and the stewards estimate that 10 persons (exercise riders) do not have newer helmets or vests. The average cost for an approved helmet and vest is $500 ($300 and $200, respectively). This cost ranges, respectively, from $100 and $160 for less comfortable models to $1000 and $550 for advanced products.

There will be no new costs for the outriders and starting gate crews, who are employed by the Thoroughbred tracks, because the tracks have already upgraded their employees’ equipment to the new safety standards. The amendments would not add other mandated costs to the existing rules.

(b) Costs to the regulating agency, the State, and local governments for the implementation of and continued administration of the rule: There will be no costs to local governments because they do not regulate pari-mutuel racing activities. There will be no new costs to the Gaming Commission, which already monitors that proper equipment is used. All races are viewed by the stewards who can see what equipment is being used by the gate crew and the persons mounted on horses. The state steward is also able to conduct inspections of the equipment of all such persons, including when training, whose equipment can be readily produced and examined.

(c) The information, including the source or sources of such information, and methodology upon which the cost analysis is based: The average cost of compliant helmets and vests is known from the recent program conducted by horsemen’s organizations to assist all riders to update their equipment. The range of costs is known through an internet search of available products online.

5. LOCAL GOVERNMENT: None. The Commission is the only governmental entity authorized to regulate pari-mutuel horse racing activities.

6. PAPERWORK: There will be no additional paperwork.

7. DUPLICATION: None.

8. ALTERNATIVES: The Commission considered not amending its current rules. Adopting this proposal, however, provides an assurance to insurance providers that the stewards are requiring helmets and vests that meet current product standards in the industry, that any person mounted on a horse on the grounds of a Thoroughbred track will be wearing such a helmet and vest, and that the starting gate crew will be wearing such helmets.

9. FEDERAL STANDARDS: None.

10. COMPLIANCE SCHEDULE: Once adopted, the rule can be implemented as soon as it is published in the State Register.

This proposal does not require a Regulatory Flexibility Analysis for Small Businesses, and Local Governments, Rural Area Flexibility Statement or Job Impact Statement since the amendment conforms the Commission’s equipment rule for safety helmets and vests to what a majority of jockeys, pony and other riders, and safety gate crews are already using at the New York State Thoroughbred tracks. In addition, this rule does not affect small business, local governments, jobs or rural areas. Further, this proposal will not impose an adverse economic impact or reporting, record keeping or other compliance requirements on small businesses in rural or urban areas nor on employment opportunities. Due to the straightforward nature of the rulemaking, there is no need for the development of a small business regulation guide to assist in compliance. These provisions are clear as to what the permissible equipment is and what is necessary to comply with the rule.