810 KAR | Title 810 KAR — Public Protection Cabinet - Kentucky Horse Racing Commission

Chapter 1 Thoroughbred Racing

810 KAR 001:001 Definitions ro 810 KAR Chapter 1 {#sec-810-kar-001-001 omnilex-key=us-ky-regs-official--title-810--810 KAR 001:001}

Section 1. Not available

History

RELATES TO: Not available
STATUTORY AUTHORITY: Not available
NECESSITY, FUNCTION, AND CONFORMITY: Not available

Chapter 2 General

810 KAR 2:001 Definitions for 810 KAR Chapter 2 {#sec-810-kar-2-001 omnilex-key=us-ky-regs-official--title-810--810 KAR 2:001}

Section 1. Definitions.

(1) "Age" means the number of years since a horse was foaled, reckoned as if the horse was foaled on January 1 of the year in which the horse was foaled.

(2) "Arrears" means sums due by a licensee as reflected by his or her account with the horsemen's bookkeeper, including subscriptions, jockey fees, driver fees, forfeitures, and any default incident to KAR Title 810.

(3) "Association" is defined by KRS 230.210(5).

(4) "Authorized agent" means in flat racing a person currently licensed as an agent for a licensed owner, jockey, or jockey apprentice by virtue of notarized appointment of agency filed with the corporation.

(5) "Claiming race" means a race in which ownership of a horse participating in the race can be transferred in conformity with 810 KAR 4:050 and 810 KAR 5:030.

(6) "Closing" means the time published by the association after which entries for a race are not accepted by the racing secretary.

(7) " Corporation" is defined by 810 KAR 6:001.

(8) "Conditions" means qualifications that determine a horse's eligibility to be entered in a race.

(9) "Dash" means in standardbred racing a race in a single trial or in a series of two (2) or three (3) races governed by one (1) entry fee for the series, in which a horse starts in all dashes with positions drawn for each dash and the number of purse distributions or payouts awarded exceeds the number of starters in the dash.

(10) "Day" means a twenty-four (24) hour period beginning at 12:01 a.m. and ending at midnight.

(11) "Declaration" means:

(a) In flat racing, the withdrawal of a horse entered in a race prior to time of closing of entries for the race in conformance with 810 KAR Chapter 4; or

(b) In standardbred racing, the naming of a particular horse as a starter in a particular race.

(12) "Disciplinary action" means action taken by the stewards or the corporation for a violation of KRS Chapter 230 or KAR Title 810 and can include:

(a) Refusal to issue or renew a license;

(b) Revocation or suspension of a license;

(d) Issuance of a written reprimand or admonishment;

(e) Imposition of fines or penalties;

(f) Denial of purse money; or

(g) Forfeiture of purse money.

(13) "Disqualification" means a ruling of the stewards, judges, or the corporation revising the order of finish of a race.

(14) "Draw" means the process of determining post positions by lot.

(15) "Driver" means in standardbred racing a person who is licensed to drive a horse in a race.

(16) "Electronic eligibility" means a computer-generated eligibility certificate that records a horse's racing statistics.

(17) "Entry" means the act of nominating a horse for a race in conformance with KAR Title 810.

(18) "Equipment" means in flat racing accoutrements other than ordinary saddle, girth, pad, saddle cloth, and bridle carried by a horse, and includes riding crop, blinkers, tongue strap, muzzle, hood, noseband, bit, shadow roll, martingale, breast plate, bandages, boots, and racing plates or shoes.

(19) "Extended pari-mutuel meeting" means in standardbred racing a meeting or series of meetings, at which no agriculture fair is in progress, with an annual total of more than six (6) days duration and during which pari-mutuel wagering is permitted.

(20) "Field" or "mutuel field" means a single betting interest involving more than one (1) horse that is not a mutuel entry.

(21) "Foul" means an action by a jockey or driver that tends to hinder another jockey, driver, or a horse in the proper running of the race.

(22) "Handicap" means in standardbred racing a race in which allowances are made according to a horse's:

(a) Age;

(b) Sex;

(d) Performance.

(23) "Handicap race" means in flat racing a race in which the weights to be carried by the horses are assigned by the association handicapper with the intent of equalizing the chances of winning for all horses entered in the race.

(24) "Handle" means the aggregate of all pari-mutuel pools, excluding refundable wagers.

(25) "Horse" means an equine irrespective of age or sex designation and registered for racing with the applicable breed registry.

(26) "Ineligible" means a horse or person not qualified under KAR Title 810 or conditions of a race to participate in a specified racing activity.

(27) "Inquiry" means an investigation by the stewards or judges of a contest prior to declaring the result of the contest official.

(28) "Jockey" means a rider currently licensed to ride in races as a jockey, apprentice jockey, amateur jockey, or a provisional jockey permitted by the stewards to ride in three (3) races prior to applying for a license.

(29) "Judge" means a duly appointed racing official with powers and duties established in 810 KAR 2:050 serving at a current meeting in the Commonwealth.

(30) "Licensed premises" is defined by KRS 230.210.

(31) "Licensee" means an individual, firm, association, partnership, corporation, trustee, or legal representative that has been duly issued a currently valid license to participate in racing in the Commonwealth.

(32) "Meeting" means the entire period of consecutive days, exclusive of dark days, granted by the corporation to a licensed association for the conduct of live horse racing that:

(a) Begins at 10 a.m. of the first racing day; and

(b) Extends through a period ending one (1) hour after the last scheduled race of the last day.

(33) "Month" means calendar month.

(34) "Nomination" means a subscription or entry of a horse in a stakes or early closing race.

(35) "Nominator" means the person in whose name a horse is entered for a stakes race.

(36) "Objection" means a verbal claim of foul in a race lodged by the horse's jockey, driver, trainer, or owner before the race is declared official.

(37) "Official order of finish" means the order of finish of the horses in a contest as declared official by the stewards or judges.

(38) "Official time" means the elapsed time from the moment the first horse crosses the timing beam until the first horse crosses the finish line.

(39) "Owner" means a person who holds, in whole or in part, any right, title, or interest in a horse, or any lessee of a horse, who has been duly issued a currently valid owner's license as a person responsible for the horse.

(40) "Pari-mutuel wagering", "mutuel wagering", or "pari-mutuel system of wagering" is defined by KRS 230.210.

(41) "Patron" means an individual present at a track, a licensed premises, or a simulcast facility who observes or wagers on a live or historical horse race.

(42) "Post" means the starting point of a race.

(43) "Post position" means the relative place assigned to each horse, numbered from the inner rail across the track at the starting line, from which each horse is to start a race.

(44) "Post time" means the advertised moment scheduled for the arrival of all horses at the starting point for a race.

(45) "Prize" means the combined total of any cash, premium, trophy, and object of value awarded to the owners of horses according to order of finish in a race.

(46) "Protest" means a written objection charging that a horse is ineligible to race, alleging improper entry procedures, or citing any act of an owner, trainer, driver, or official prohibited by rules, which, if true, would exclude that horse or driver from racing.

(47) "Purse" means the gross cash portion of the prize for which a race is run.

(48) "Race" means a running contest between horses, ridden by jockeys or driven by drivers at a recognized meeting, during regular racing hours, for a prize.

(49) "Race day" means a period of twenty-four (24) hours beginning at 12:01 a.m. and ending at midnight in which live racing is conducted by an association.

(50) "Racing official" means a corporation member, corporation staff as duties require, and all association racing department employees, as duties require.

(51) "Registration certificate" means the document, racing permit, or virtual certificate issued by the appropriate breed registry identifying the horse for racing.

(52) "Result" means the part of the official order of finish in a race used to determine the pari-mutuel payoff of pari-mutuel pools.

(53) "Rulings" means determinations, decisions, or orders of the stewards, judges, or of the corporation duly issued in writing and posted.

(54) "Scratch" means the withdrawal of a horse entered for a race after the time of closing of entries for the race in conformance with KAR Title 810.

(55) "Scratch time" means the time set by the racing secretary as a deadline for horsemen to indicate their desire to scratch out of a race.

(56) "Simulcasting" is defined by KRS 230.210.

(57) "Starter" means:

(a) An official who dispatches the horses from the starting gate; or

(b) A horse in a race when the starting gate doors open in front of it at the moment the starter dispatches the horses for the race.

(58) "Steward" means a duly appointed racing official with powers and duties established in 810 KAR 2:040 serving at a current meeting in the Commonwealth.

(59) "Subscription" means nomination or entry of a horse in a stakes race.

(60) "Suspended" means withdrawal by the steward, judge, or corporation of racing privileges.

(61) "Thoroughbred racing" is defined by KRS 230.210.

(62) "Totalizator" means the system, including hardware, software, communications equipment, and electronic devices that accepts and processes the cashing of wagers, calculates the odds and prices of the wagers, and records, displays, and stores pari-mutuel wagering information.

(63) "Year" means twelve (12) consecutive months beginning with January and ending with December.

History

RELATES TO: KRS Chapter 230
STATUTORY AUTHORITY: KRS 230.215(2), 230.260(8)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) authorizes the Kentucky Horse Racing and Gaming Corporation to regulate conditions under which thoroughbred racing shall be conducted in Kentucky. KRS 230.260(8) authorizes the corporation to prescribe necessary and reasonable administrative regulations and conditions under which horse racing at a horse race meeting shall be conducted in this state. This administrative regulation defines the terms used in 810 KAR Chapter 2.
History: 45 Ky.R. 1863; 2718; 3076; eff. 5-31-2019; 46 Ky.R. 2741; 47 Ky.R. 67; eff. 7-30-2020; 47 Ky.R. 2125; 48 Ky.R. 353; eff. 8-12-2021; TAm eff. 7-1-2024.

810 KAR 2:010 Corporation and administrative staff {#sec-810-kar-2-010 omnilex-key=us-ky-regs-official--title-810--810 KAR 2:010}

Section 1. Stewards and Judges. The corporation shall employ:

(1) A chief state steward and presiding judge, responsible for overall supervision of corporation matters pertaining to horse racing; and

(2) A state steward and state judge, responsible for corporation matters at horse racing meetings to which he or she is assigned and for other duties as may be directed.

Section 2. Corporation Licensing Administrator.

(1) The corporation shall employ a person who shall be responsible for:

(a) Processing license applications of persons required to be licensed by 810 KAR 3:020; and

(b) Collecting licensing fees.

(2) The licensing administrator or his or her assistants shall:

(a) Be present on association grounds prior to the opening of a race meeting to accept license applications;

(b) Maintain an office on association grounds to accept license applications during the race meeting;

A list of license applications; and
An accounting of fees received:

(d) Forward fees to the commission; and

(e) Be responsible for photographing license applicants for whom same is required.

Section 3. Corporation Director of Pari-mutuel Wagering.

(1) The corporation shall employ or designate a supervisor who shall be responsible for:

(a) Verifying daily handle for live wagering, simulcast wagering, advance deposit wagering, and historical horse racing wagering;

(b) Reviewing advance deposit wagering and totalizator license applications;

(d) Testing totalizator services before each race meeting, and ensuring that totalizator standards are met;

(e) Reviewing requests for new pari-mutuel wagers;

(f) Submitting reports to the Department of Revenue summarizing wagering activities;

(g) Reviewing tax statements and totalizator reports for accuracy;

(h) Implementing pari-mutuel wagering policies and procedures; and

(i) Performing other duties related to pari-mutuel wagering as the corporation or the executive director may assign.

(2) The corporation director of pari-mutuel wagering or his or her representative shall have access to association books, records, and pari-mutuel equipment.

Section 4. Corporation Veterinarian. The corporation shall employ a veterinarian licensed in Kentucky and experienced in equine medicine and practice.

(1) The corporation veterinarian shall:

(a) Advise the corporation on matters related to equine health and the practice of veterinary medicine;

(b) Supervise and control the detention area;

(d) Inspect and record findings concerning racing soundness for horses entered;

(e) Maintain and post on the corporation website the veterinarian's list of horses that are ineligible to race because of sickness or unsoundness;

(f) Report observed cruel or inhumane treatment of horses to the stewards;

(g) Be attendant on the stewards and the racing secretary at scratch time each day;

(h) Examine horses as racing officials may request;

(i) Make prompt reports to racing officials;

(j) Be present in the paddock for saddling;

(k) Inspect the horses for:

Physical fitness;
General conditions; and
Any unsoundness;

(l) Accompany each field to the starting gate;

(m) Observe horses after the finish of each field.

(2) The corporation veterinarian shall have the authority to determine that:

(a) A horse has suffered an injury:

While in the paddock;
During the post parade; or
At the starting gate; and

(b) A horse is unfit to race. Upon such a determination, the corporation veterinarian shall recommend to the stewards that the horse be excused and placed on the veterinarian's list.

(3) Upon the request of the stewards or judges, a horse requested to be scratched for physical reasons after scratch time shall be inspected by a corporation veterinarian, who shall report the condition of the horse to the stewards or judges.

(4) Except as provided in 810 KAR 8:010, Section 6, the corporation veterinarian shall not:

(a) Treat, prescribe, or sell any drug supplies for any horse registered to race at a race track where the veterinarian is employed, except in case of emergency;

(b) Buy or sell, for himself or another, a horse under his or her supervision;

(d) Wager on a race under his or her supervision;

(e) Sell Equine insurance; or

(f) Be licensed to participate in racing in any other capacity.

Section 5. Corporation Director of Enforcement. The corporation shall employ an investigator experienced in police work who shall:

(1) Maintain a current file on persons against whom rulings have been issued in racing jurisdictions and reported through the Association of Racing Commissioners International and the breed registry organization applicable to the horse. The file shall as necessary contain reports:

(a) Received from law enforcement agencies as to investigations, arrest records, and related information; and

(b) As to ejections or exclusions from association grounds in Kentucky and other racing jurisdictions;

(2) Investigate and ascertain the truth of statements made on license applications;

(3) Investigate possible infractions of racing rules at the request of the corporation or stewards;

(4) Participate and cooperate with members of the track security, and state and local police on other investigations and conduct pertaining to racing in the Commonwealth;

(5) Investigate and perform background checks on any person on association grounds or any license applicant whose conduct or reputation reflects on the honesty and integrity of thoroughbred racing or interferes with the orderly conduct of thoroughbred racing; and

(6) Perform such other duties related to security and enforcement as the corporation or the executive director may direct.

Section 6. Director of Incentives and Development. The corporation shall employ a director of incentives and development who shall:

(1) Oversee the operation of statutory breeders' incentive and development funds; and

(2) Perform such other duties as the corporation or the executive director may direct.

History

RELATES TO: KRS 230.230, 230.240
STATUTORY AUTHORITY: KRS 230.240(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.240(1) authorizes the executive director of the corporation to employ staff deemed by the executive director to be essential at or in connection with any horse race meeting and in the best interest of racing. This administrative regulation establishes the positions and duties of certain corporation staff members.
History: 45 Ky.R. 1866; 3078; eff. 5-31-2019; TAm eff. 7-1-2024; Crt eff. 5-19-2026.

810 KAR 2:020 Thoroughbred and flat racing officials {#sec-810-kar-2-020 omnilex-key=us-ky-regs-official--title-810--810 KAR 2:020}

Section 1. Racing Officials.

(1) Racing officials at a thoroughbred or other flat race meeting shall include:

(a) Steward;

(b) Racing secretary;

(d) Clerk of scales;

(e) Paddock judge;

(f) Starter;

(g) Placing judge;

(h) Timer;

(i) Identifier;

(j) Veterinarian;

(k) Assistant starter;

(l) Jockey room custodian;

(m) Jockey room employee;

(n) Valet; and

(o) Outrider.

(2) Persons appointed by the association to serve as racing officials during a race meeting shall:

(a) First be approved by the corporation;

(b) Serve only so long as approved by the corporation; and

(3) While serving as a racing official, a person shall not:

(a) Indirectly or directly, own a beneficial interest in:

A horse of the breed in which the person is engaged as a racing official; or
An association under his or her supervision;

(b) Cause to be bought or sold, for himself or another, a horse under his or her supervision;

(c) Buy or sell, for himself or another, a right to, or contract with, a jockey or apprentice jockey under his or her supervision;

(d) Wager on a race under his or her supervision;

(e) Write or solicit horse insurance; or

(f) Have a monetary interest in a business which seeks the patronage of horsemen or racing associations.

(4) A racing official serving in the capacity of steward, placing judge, clerk of scales, starter, or horse identifier shall take and satisfactorily pass an optical examination within one (1) year prior to the race meeting at which he or she serves. The examination shall show corrected twenty-twenty (20-20) vision and an ability to distinguish colors correctly.

(5) A racing official who desires to leave his or her employment during the race meeting shall notify the stewards; if a vacancy occurs among racing officials other than stewards, the association shall promptly appoint a successor, subject to approval of the corporation. If the association does not appoint a successor in time to permit the orderly conduct of racing, then the stewards shall immediately appoint a temporary successor.

(6) A racing official shall not officiate in multiple capacities on any one (1) race. The stewards may, in case of emergency, approve a racing official to serve in more than one (1) capacity until such time as an additional official can be appointed by the association and approved by the corporation.

Section 2. Racing Secretary. The racing secretary shall be responsible for:

(1) The programming of races during the race meeting;

(2) Compiling and publishing condition books;

(3) Assigning weights for handicap races;

(4) Receiving entries, subscriptions, declarations, and scratches;

(5) Safekeeping of registration certificates, virtual or digital certificates, and racing permits for horses, recording information required on the certificates and permits, and returning the certificates and permits to owners at the conclusion of the race meeting;

(6) Maintaining a record of stakes fees received, arrears, jockeys' fees, purchase money in claiming races, and other monies received incident to the race meeting, and making available payment to those persons entitled thereto within fourteen (14) days after the conclusion of the race meeting;

(7) Supervision of the horsemen's bookkeeper's handling of the "horseman's account";

(8) Daily posting of entries for the benefit of the public as soon as possible after entries have been closed and declarations have been made;

(9) Assigning stall applicants stabling as he or she may deem proper after consultation with the stewards, and maintaining a record of arrival and departure of all horses stabled on association grounds; and

(10) Publishing the official daily program, and ensuring that it contains accurate information of the following:

(a) Sequence of races to be run and post time for the first race;

(b) Purse, conditions, and distance for each race, and current track record for the distance;

(c) The full name of licensed owners of each horse, indicated as lessee if applicable, and description of racing colors to be carried;

(d) The full name of the trainer and the jockey named for each horse together with the weight to be carried;

(e) Notices that:

Jockeys will carry approximately three (3) pounds more than the published weight to account for safety helmets and safety vests that are not included in required weighing out procedures; and
Upon approval of the stewards, a jockey may be allowed up to three (3) pounds additional clothing and equipment for inclement weather or track conditions;

(f) The saddle cloth number or designation for each horse, and the post position for each horse, if there is a variance with the saddle cloth designation;

(g) Identification of each horse by name, color, sex, age, sire, and dam; and

(h) Other information as may be requested from time to time by the association or the corporation including changes of equipment, use of permitted race day medications, and wagering types available.

Section 3. Clerk of Scales. The clerk of scales shall be responsible for:

(1) The security, regulation, and control of the jockeys' room, its equipment, and the determination of which personnel are permitted access;

(2) Weighing out a jockey no later than fifteen (15) minutes prior to the race in which the jockey is scheduled to ride and recording all overweights, which shall immediately be posted and announced to the public before each race;

(3) Weighing in a jockey immediately after the finish of each race in which the jockey rode and promptly notifying the stewards whether a jockey weighed in underweight;

(4) Safekeeping of all racing colors;

(5) Reporting all color changes or jockey changes from that listed in the official daily program and causing the changes to be posted and announced to the public before each race;

(6) Supervision of all valets and the issuance of numbered saddle cloths and equipment for each horse;

(7) Ensuring accuracy of the scales and periodic tests of them;

(8) Submitting to the racing secretary at the close of each racing day a statement of weight carried in each race by each jockey, noting overweight, if any; and

(9) Immediately transmitting all complaints, protests, objections, or disputes submitted to the clerk of scales to the stewards, and if the stewards are unavailable, to the corporation.

Section 4. Paddock Judge. The paddock judge shall have general supervision of the paddock and shall be responsible for:

(1) Assembling the horses and jockeys in the paddock no later than fifteen (15) minutes before the scheduled post time for each race;

(2) Maintaining a written record of all equipment for each horse saddled, inspecting all the equipment, and reporting any changes in the equipment to the stewards;

(3) Inspecting the bandages of each horse. The paddock judge may order the bandages removed or replaced;

(4) Paddock schooling of horses approved for schooling by the stewards; and

(5) Ensuring that the saddling of horses is orderly, open to public view and free from interference, and ensuring that horses are mounted at the same time and leave the paddock for the post in proper sequence.

Section 5. Starter.

(1) The starter shall be responsible for the fair and equal start of horses in a race at the scheduled starting time by means of a starting gate and bell, or other device activated by his or her signal.

(2) So far as practical, the starter shall cause horses to be loaded in order of post position, except the starter may in his or her discretion load an unruly or fractious horse out of order or may start the unruly or fractious horse on the outside of the starting gate and one (1) length behind the starting line. With permission of the stewards, a race may be started without a starting gate. The starter may employ as many assistant starters as needed and shall daily change the gate position of each assistant starter without notice to the assistant starters until the field for the first race comes upon the track.

(3) A horse shall not be permitted to start in a race unless approval is given by the starter. The starter shall maintain a schooling list that shall be posted in the racing secretary's office listing the names of horses ineligible to start due to inadequate training at leaving the gate. Horses shall be schooled under the supervision of the starter or his or her assistants.

(4) The starter shall:

(a) Have constant radio or telephone communication with the stewards from the time the horses leave the paddock until the field is sent away;

(b) Report to the stewards any disobedience of his or her orders or attempts to take unfair advantage at the starting gate and recommend penalties for offenders.

(5) An assistant starter shall not handle a horse until instructed to do so by the starter.

(6) A starter or assistant starter shall not:

(a) Accept a gratuity or payment other than his regular salary, directly or indirectly, for services in starting a race;

(b) Wager on a race; or

(7) The starter shall maintain a written record showing the names of starters during the day and the names of the assistant starters who handled each horse. This record shall be made available to the stewards upon request.

Section 6. Placing Judges.

(1) Three (3) placing judges shall occupy a stand directly above the finish line during the running of each race. The placing judges shall:

(a) Take special note of racing colors and distinguishing equipment carried by each horse;

(b) Determine the order of the horses as they cross the finish line by consideration of the respective noses of the horses; and

(c) Cause the numbers of the first four (4) horses to cross the finish line to be posted on the result board. The numbers of additional horses shall be posted in their correct order of finish if necessitated by an exotic wager.

(2) A photo finish camera approved by the corporation shall be used as an aid by the placing judges in determining the order of the horses as they cross the finish line. Placing judges may request a photo to assist in determining margins of less than a half-length (1/2).

Section 7. Timer.

(1) The timer shall occupy a stand directly above the finish line during the running of each race to record the official time.

(2) The timer shall:

(a) Record the fractional time of leading horses during each race and the final time of the first horse to cross the finish line; and

(b) Maintain a written record of fractional and final times of each race and have them available for inspection by the stewards or corporation on request.

(3) The timer may use an electrical or mechanical timing device approved by the corporation as an aid in determining the official time of each race.

(4) Quarter horses shall be timed from a standing start at the time the starter dispatches the field and the starting gate opens. Quarter horses shall be timed to the 1/1000th of a second.

Section 8. Horse Identifier.

(1) The corporation may employ a horse identifier who shall be responsible for the proper identification of all horses entered to be raced.

(2) The horse identifier may accompany the corporation veterinarian on the prerace examination of all starters.

(3) The horse identifier shall:

(a) Certify that each starter in the paddock matches its registration certificate, virtual or digital certificate, or racing permit by examining the horse's:

Sex, age, color, markings, and lip tattoo or microchip; and
Photographs as an aid in identification.

(b) Notify the paddock judge and the stewards if he or she has any doubt as to the identity of a horse entered to be raced;

Registration certificates, virtual or digital certificates, or racing permits; and
Racing permits for horses; and

(d) Record information from registration certificates, virtual or digital certificates, and racing permits.

History

RELATES TO: KRS 230.215, 230.240, 230.260
STATUTORY AUTHORITY: KRS 230.215(2), 230.260(8)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) and 230.260(8) authorize the Kentucky Horse Racing and Gaming Corporation (the "corporation") to promulgate administrative regulations prescribing conditions under which all horse racing is conducted in Kentucky. This administrative regulation establishes the qualifications, duties, powers, and responsibilities of racing officials.
History: 45 Ky.R. 1868; 3079; eff. 5-31-2019; 47 Ky.R. 1271; eff. 7-6-2021; 50 Ky.R. 455, 1117; eff. 3-5-2024; TAm eff. 7-1-2024.

810 KAR 2:030 Chemical dependency {#sec-810-kar-2-030 omnilex-key=us-ky-regs-official--title-810--810 KAR 2:030}

Section 1. Definitions.

(1) "Alcohol concentration" means grams of alcohol per 100 milliliters of blood or grams of alcohol per 210 liters of breath.

(2) "Crimes involving drugs and drug paraphernalia" means activities involving drugs and drug paraphernalia that are illegal under KRS Chapter 218A or other statutes or administrative regulations of this Commonwealth, and similar laws and regulations of other states and the United States, and which include the use of, possession of, or trafficking in marijuana, cocaine, or other controlled substances; possession or distribution of drug paraphernalia, or obtaining or using prescription drugs without a valid prescription.

(3) "Drug paraphernalia" is defined by KRS 218A.500(1).

(4) "Under the influence of intoxicants" means a person's mental or physical abilities are impaired by the presence of alcohol or other drugs in his body to the degree that the person is not able to safely and properly perform his job functions.

Section 2. Prohibited Activities. A licensee shall not:

(1) Be under the influence of intoxicants while:

(a) Engaged in the activities for which the license is held; or

(b) On association grounds;

(2) Commit a crime involving drugs or drug paraphernalia;

(3) Fail to comply with substance abuse treatment required pursuant to an evaluation conducted under this administrative regulation;

(4) Tamper with a drug or alcohol test; or

(5) Refuse to submit to drug or alcohol testing upon request of the corporation, a steward, a judge, or other authorized employee of the corporation.

Section 3. Evidence of Violation. The following shall be presumptive evidence of a violation of this administrative regulation:

(1) While engaged in the activities for which the license is held, or while on association grounds:

(a) A breath, urine, or blood test result revealing an alcohol concentration of 0.05 percent or more;

(b) A positive result from a drug test for marijuana, cocaine, or other controlled substance for which the licensee does not have a current and valid prescription;

(c) A positive result for a prescribed medication for which the individual has a valid prescription, but the prescription for which indicates that taking the medication may impair vision, impair the ability to perform normal daily functions, or cause drowsiness, or the prescription for which advises using care when operating a car or machinery;

(d) A positive result indicating more than one (1) prescribed medication for which the individual has valid prescriptions, but the prescription directions for which advise against taking more than one (1) prescribed medication at a time; or

(e) A positive result that exceeds the allowable limit prescribed on the medication label; or

(2) While participating in a race as a racing official, or while mounted on a horse or stable pony or mounted in a sulky on association grounds, a breath, urine, or blood test result revealing an alcohol concentration greater than 0.00; or

(3) A conviction in a court of law for a drug-related offense.

Section 4. Discipline.

(1) First offense.

(a) For a first time violation of this administrative regulation, the offender's license may be suspended for up to thirty (30) days.

(b) The offender may be required to undergo an evaluation by a professional in the field of addictive or substance abuse disorders approved by the corporation.

(c) If the evaluator determines the existence of a substance abuse problem, the offender shall be required to comply with the recommended course of treatment.

(d) For a first time violation of this administrative regulation for an alcohol infraction or crime involving drugs and drug paraphernalia, the stewards or judges shall have the discretion to impose a lesser penalty and may excuse the offense for counting purposes under this administrative regulation.

(2) Second offense.

(a) For a second violation of this administrative regulation within a three (3) year period, the offender's license may be suspended for up to sixty (60) days.

(b) The offender shall be required to enroll in and complete a substance abuse program approved by the corporation.

(3) Third offense. A third violation of this administrative regulation within a three (3) year period may result in the revocation of the offender's license.

(4) Zero tolerance offense. Conviction in a court of law of a drug trafficking offense shall result in revocation of the offender's license even if it is a first offense under this administrative regulation.

(5) In determining the three (3) year period under this administrative regulation, the period shall be measured from the date on which the violation occurred. If the violation is a failure to complete recommended treatment, the violation date shall be calculated from the date of the first missed meeting, or session. For the purposes of subsections (2) and (3) of this section, violations occurring after the three (3) year period shall not be considered.

Section 5. Basis for Testing.

(1) In deciding whether drug tests should be administered, stewards or judges may require:

(a) Licensees to be tested on a particular day;

(b) Licensees on a particular day to be tested totally at random; or

(c) Those licensees that the stewards or judges have a reasonable suspicion may be under the influence of intoxicants to submit to drug and alcohol testing.

(2) In determining whether there is reasonable suspicion to require testing, the stewards or judges may consider any of the following factors:

(a) Unexplained or continued violations of KRS Chapter 230 or KAR Title 810 that have a detrimental effect on racing;

(b) Involvement in an accident that causes injury to a person or animal at the track or a near accident that creates a clear danger of accident or injury to a person or animal at the track;

(c) Willful conduct detrimental to horse racing as evidenced by continued violations of KRS Chapter 230 or KAR Title 810, other disciplinary problems, behavioral problems, disturbances, or other similar conduct at the track;

(d) Observable physical or emotional impairment at the track;

(e) Involvement in a race of questionable outcome or circumstance as determined by the stewards or judges;

(f) Willful abuse of an animal or person who is engaged in a race, work, or exercise at the track;

(g) Prior positive drug or alcohol test or tests in this or other jurisdictions, excluding those for which a valid legal prescription is provided;

(h) Performance of prescribed duties in a manner that indicates a best effort to win is not present at the track;

(i) Information supplied by:

A law enforcement agency;
The United States Trotting Association;
The Kentucky Horsemen's Association;
The Association of Racing Commissioners International; or
The racing commission of any state or country;

(j) Any other conduct at the track that can be documented and provides reasonable grounds to suspect:

Dependence on, possession of, or usage of a controlled substance; or
An alcohol violation;

(k) Refusal to provide a urine or blood sample if requested to do so in accordance with KAR Title 810; or

(l) Recent arrest or pending criminal charges regarding the sale, possession, manufacture, cultivation, or use of illegal drugs.

Section 6. Payment of Expenses Related to this Administrative Regulation. A licensee shall be responsible for all or part of the expenses associated with violating this administrative regulation, including the cost of treatment and reinstatement of the license. The responsibility for payment of expenses shall be as follows:

(1) For a drug or alcohol test initiated by the corporation to determine if a violation has occurred, the corporation shall bear the cost unless the test reveals a violation. If the test reveals a violation:

(a) For a first offense, the offender's responsibility for costs shall be based upon consideration of the factors set forth in Section 5(2)(a) through (l) of this administrative regulation, and determined by the stewards, judges, or other authorized corporation employee; and

(b) For a second or later offense, the offender shall bear all costs.

(2) Failure to pay any costs imposed shall be grounds for denial of reinstatement.

History

RELATES TO: KRS 230.215, 230.260(1), 230.290(2), (3), 230.310, 230.320
STATUTORY AUTHORITY: KRS 230.215(2), 230.260(1), 230.320(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) authorizes the Kentucky Horse Racing and Gaming Corporation to promulgate administrative regulations prescribing the conditions under which horse racing shall be conducted in Kentucky. KRS 230.260(1) vests the racing corporation with jurisdiction and supervision over all horse race meetings in this Commonwealth and over all associations and all persons on association grounds and may eject or exclude therefrom or any part thereof, any person, licensed or unlicensed, whose conduct or reputation is such that his presence on association grounds may, in the opinion of the racing corporation, reflect on the honesty and integrity of horse racing or interfere with the orderly conduct of horse racing or racing at horse race meetings. KRS 230.320(1) authorizes the corporation to promulgate administrative regulations under which a license may be denied, suspended, or revoked. This administrative regulation prohibits licensees of the corporation from abusing alcohol or engaging in illegal drug use or activity while performing their duties, provides for drug and alcohol testing, and establishes consequences for violations of this administrative regulation.
History: 45 Ky.R. 1870; 3071; eff. 5-31-2019; TAm eff. 7-1-2024; Crt eff. 5-19-2026.

810 KAR 2:040 Stewards {#sec-810-kar-2-040 omnilex-key=us-ky-regs-official--title-810--810 KAR 2:040}

Section 1. Steward Qualifications. To qualify for employment or approval by the corporation to serve as a steward, a person shall have:

(1)

(a) Successfully completed an accreditation school or program approved by the corporation; and

(b) Satisfactorily passed a written and oral examination given by the school or program;

(2) Served as a steward, racing secretary, assistant racing secretary, starter, placing judge, horse identifier, paddock judge, or clerk of scales, at one (1) or more recognized race meetings for a period of not less than sixty (60) racing days per year during at least three (3) of the five (5) preceding calendar years;

(3) Been an observer in the stewards stand for a period of at least thirty (30) days; and

(4) Satisfactorily passed an optical examination within one (1) year prior to approval as a steward evidencing corrected twenty-twenty (20-20) vision and ability to distinguish colors correctly.

Section 2. Steward Prohibitions.

(1) No person shall serve as a steward until approved by the corporation.

(2) No person under suspension or ejection by a racing jurisdiction shall be employed or approved by the corporation to serve as a steward.

(3) No person shall serve as a steward unless the corporation is satisfied that income, other than salary as a steward, which may accrue to a person under consideration for appointment as a steward is independent of and unrelated to patronage of or employment by a licensee under the supervision of the steward, so as to avoid the appearance of any conflict of interest or suggestion of preferential treatment of a licensee.

Section 3. Employment of Stewards.

(1) The corporation shall employ and compensate two (2) of the three (3) stewards for each race meeting, including the chief steward.

(2) A racing association shall nominate one (1) of the three (3) stewards for each race meeting for approval by the corporation and shall be responsible for that person's compensation as a steward.

(a) The association nomination for steward shall be submitted when an association applies for a license if possible, but in no event later than thirty (30) days before commencement of a race meeting, and shall be accompanied by biographical data describing the experience and qualifications of the nominee.

(b) The association shall submit successive nominees until one (1) person is approved by the corporation as qualified to serve as a steward.

(3) Stewards shall serve from one (1) minute after midnight on the day before the first racing day until one (1) minute before midnight on the day after the last racing day of the race meeting for which they are employed. If a dispute or controversy arises during a race meeting and is not settled at the conclusion of the race meeting the matter shall be adjudicated by the stewards at a successive race meeting in Kentucky, or until the matter is referred or appealed to the corporation.

(4) Stewards shall be responsible only to the corporation and may be replaced by the corporation at any time for failure to perform their duties to the satisfaction of the corporation.

(5) If a steward becomes ill, resigns, or is unable to serve for any reason, the remaining stewards shall nominate a successor or temporary steward to the corporation for approval. In emergencies, a single member of the corporation by telephone may approve employment of a successor steward.

Section 4. General Powers of Stewards. The stewards shall exercise immediate supervision, control, and regulation of racing at each licensed race meeting on behalf of and responsible only to the corporation. The powers of the stewards shall include:

(1) Authority over horses and persons, licensed or unlicensed, on association grounds and at locations under the jurisdiction of the corporation during a race meeting as to matters relating to racing;

(2) Determining questions, disputes, protests, complaints, or objections concerning racing that arise during a race meeting and enforcing the determinations;

(3) Suspending the license of a participant in racing or denying licensed or unlicensed persons access to association grounds or locations under the jurisdiction of the corporation, upon reasonable belief that a violation of KAR Title 810 has or is about to occur;

(4) Interpreting and enforcing Chapter 230 of the Kentucky Revised Statutes and Title 810 of the Kentucky Administrative Register and determining questions pertaining to a racing matter not specifically covered by these administrative regulations;

(5) Issuing decisions or rulings pertaining to racing that shall supersede orders of the officers, directors, and officials of the association and which shall, if the stewards deem proper, vary any arrangement for the conduct of a race meeting, to include postponing or canceling a race, or ruling a race run as "no contest";

(6) Requesting assistance from corporation employees, racing officials, members of the Thoroughbred Racing Protective Bureau, track security police, or state or local police, in the investigation of possible rule infractions;

(7) Conducting hearings on questions, disputes, protests, complaints, or objections concerning racing matters;

(8) Selecting a substitute, if a regularly named rider or racing official other than a steward is unable for any reason to perform. Upon suspicion of fraud or misconduct, the stewards may excuse a horse or replace a rider or racing official other than a steward; and

(9) All other powers and duties established for stewards in KAR Title 810.

Section 5. Duties and Responsibilities of Stewards. In addition to the duties and responsibilities necessary and pertinent to general supervision, control, and regulation of race meetings, and without limiting the authority of the stewards to perform these and other duties enumerated in KAR Title 810, the stewards shall have the following specific duties and responsibilities:

(1) To take appropriate action on misconduct or administrative regulation infractions, to cause investigations to be made of instances of possible infractions, and to take appropriate action to prevent an administrative regulation infraction;

(2) To have at least one (1) steward on association grounds from scratch time, or if not a racing day, when entries are first taken until entries are closed. At least two (2) stewards shall be present for the scheduled viewing of race replays. All three (3) stewards shall be on association grounds no less than ninety (90) minutes before post time until conclusion of the last race. All three (3) stewards shall be present in the stewards' stand during the running of each race;

(3) To have at least one (1) steward, or a designated representative of the stewards, present in the paddock at least twenty (20) minutes before each race;

(4) To inspect applications for licenses to participate in racing, and administer, or cause to be administered by technically qualified persons, standard examinations to first-time applicants for a trainer, jockey, apprentice jockey, veterinarian, dental technician, or farrier license, and make recommendations to the corporation as to the qualifications of applicants for licenses to participate in racing;

(5)

(a) To review licenses and registration certificates, and contracts, papers, and other documents pertaining to the sale or ownership of a horse, payment of purse money, jockey and apprentice jockey contracts, appointments of agents, and adoptions of racing colors or stable name; and

(b) To determine the eligibility and appropriateness for participation in racing under supervision of the stewards;

(6) To call for proof of eligibility of a horse or person to participate in a race, if eligibility is in question, and in absence of sufficient proof to establish eligibility, the stewards may rule that horse or person ineligible;

(7) To review stall applications and advise the association of undesirable persons, if any, among owners and trainers applying for stalls and provide the association with information pertaining to the undesirable persons;

(8) To supervise the taking of entries and receive declarations and scratches and determine questions arising and pertaining to declarations and scratches. The stewards may in their discretion refuse the entry of a horse by any person, refuse to permit a declaration or scratch, or may limit entries;

(9) To lock pari-mutuel betting machines not later than the moment the starting gate is opened for the commencement of a race, to cause the "inquiry" sign to be posted immediately after the horses have crossed the finish line in a race if any doubt is held by a steward or other racing official as to the fairness of the running of that race, to cause the objection sign to be posted upon the lodging of an objection, and to cause the "official" sign to be posted after determining the official order of finish for purposes of pari-mutuel payoff;

(10) To draw up a list of riders, including all apprentice jockeys, to review the race replays for instructional purposes and post that list in the jockey's room;

(11) To maintain a daily Stewards Report recording actions taken by the stewards on controversies that arise during the day. The report shall show name of track, date, weather, track condition, claims, rulings issued, and other circumstance or condition regarded as unusual. The reports shall be signed by all three (3) stewards and filed with the corporation;

(12) To make periodic inspections of the barn area, check track security, make occasional and informal visits to the jockeys' room, observe weighing out, and check security. Inspections and observations made pursuant to this section shall be noted in the stewards' report;

(13) To maintain a written record of questions, disputes, protests, complaints, or objections brought to the attention of the stewards, and which, at the discretion of the stewards, warrant investigation and the creation of a written record. The record shall be available to the corporation for inspection at all times; and

(14) If deemed necessary, after the conclusion of a race meeting, to submit to the corporation a written report setting out the condition of the meeting and association grounds, and any recommendations for improvement.

History

RELATES TO: KRS 230.215(2)
STATUTORY AUTHORITY: KRS 230.215(2), 230.240(1), 230.260(8)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.240(1) authorizes the corporation to prescribe by administrative regulation the required officials for horse racing and their official duties. KRS 230.215(2) and 230.260(8) authorize the corporation to promulgate administrative regulations prescribing conditions under which all horse racing is conducted. This administrative regulation establishes the qualifications, duties, powers, and responsibilities of the stewards.
History: 45 Ky.R. 1873; 3082; eff. 5-31-2019; TAm eff. 7-1-2024; Crt eff. 5-19-2026.

810 KAR 2:050 Judges and Standardbred Racing Officials {#sec-810-kar-2-050 omnilex-key=us-ky-regs-official--title-810--810 KAR 2:050}

Section 1. Racing Officials.

(1) Officials at a race meeting shall include the following:

(a) Presiding judge;

(b) Two (2) associate judges;

(d) Paddock judge;

(e) Horse identifier;

(f) Clerk of the course;

(g) Official starter;

(h) Official charter;

(i) Official timer;

(j) Photo finish technician;

(k) Patrol judge;

(l) Program director;

(m) Official corporation veterinarian; and

(n) Any other person designated by the corporation who is necessary to effectively conduct the race meeting.

(2) At a matinee or county fair, there shall be at least one (1) judge approved by the corporation in the judges' stand. At a meeting at which races are charted, the association shall provide both a licensed charter and a licensed clerk of the course.

Section 2. Employment of Judges.

(1) The corporation shall employ and compensate two (2) of the three (3) judges for each race meeting, including the presiding judge.

(2) A racing association shall nominate one (1) of the three (3) judges for each race meeting for approval by the corporation and shall be responsible for that person's compensation as a judge.

(a) The name of the association nominee shall be submitted when an association applies for a license if possible, but in no event later than thirty (30) days before commencement of a race meeting, and shall be accompanied by biographical data describing the experience and qualifications of the nominee.

(b) The association shall submit successive nominees until one (1) person is approved by the corporation as qualified to serve as a judge.

Section 3. Judge Qualifications. To qualify for employment or approval by the corporation as a judge, a person shall have:

(1) Attended an accreditation school or program approved by the corporation;

(2) Satisfactorily passed a written and oral examination given by the corporation or program; and

(3) Possess the requisite knowledge of the duties expected of the position and the rules of harness racing.

Section 4. Judge Prohibitions. No person shall serve as a judge:

(1) Until approved by the corporation; or

(2) While under suspension or ejection by the United States Trotting Association, Standardbred Canada, or any racing jurisdiction.

Section 5. An association shall submit to the corporation, at least thirty (30) days prior to the opening of a race meeting, a written list of racing officials and applicable employees.

Section 6. Officials at Extended Meetings.

(1) The officials listed in Section 1(1) of this administrative regulation shall not serve at an extended pari-mutuel meeting without a valid corporation license.

(2) A person shall not be employed for more than one (1) official race position at a meeting unless specifically approved by the corporation.

(3) The corporation shall employ or approve officials listed in Section 1(1) of this administrative regulation prior to each harness racing meeting, based on standard qualifications for racing officials.

(4) A refusal to grant a license to a person may be reviewed by the corporation in accordance with 810 KAR 3:050.

Section 7. Prohibited Practices. A racing official, his or her assistants, or other employee in the racing secretary's office shall not engage in the following activities while serving in an official capacity at a race meeting:

(1) Have an ownership interest in a horse that is racing at the meeting;

(2) Participate in the sale or purchase of a horse that is racing at the meeting;

(3) Sell or solicit horse insurance on a horse racing at the meeting;

(4) Be licensed in any other capacity without permission of the corporation;

(5) Directly or indirectly wager on the outcome of a live race which the person is officiating; or

(6) Refuse to submit to a breath, blood, or urine test if directed to do so by the corporation or its designee.

Section 8. Location of Judge's Stand.

(1) The judge's stand shall be located and constructed so as to afford an unobstructed view of the entire track.

(2) Anything that might obscure or otherwise impede an official's vision of any portion of a track during a race shall not be permitted on the track.

Section 9. Judge's Stand Occupants. From fifteen (15) minutes before the first race until ten (10) minutes after the last race, the occupants of the judge's stand shall be limited to:

(1) Judges;

(2) Clerk of the course;

(3) Secretary;

(4) Starter;

(5) Timers;

(6) Official announcer;

(7) Runner who posts the photo finish;

(8) Officials of the corporation; and

(9) Other persons specifically authorized by the presiding judge.

Section 10. Appointment of Substitute Officials. If a vacancy exists among the association racing officials, the association shall fill the vacancy immediately with a temporary appointment. The appointment shall be effective until the vacancy is filled in accordance with this administrative regulation. A temporary or emergency appointment shall be approved by the executive director of the corporation or the presiding judge.

Section 11. Appointment of Substitute Judge. If a judge is absent at race time, the presiding judge shall appoint a substitute. If a substitute is appointed, the corporation shall be notified immediately by the presiding judge.

Section 12. Presiding Judge. The presiding judge shall:

(1) Supervise the following persons:

(a) Associate judges;

(b) Patrol judges;

(d) Paddock judges;

(e) Photo finish judge;

(f) Clerk of the course;

(g) Timers;

(h) Charters;

(i) Racing secretary;

(j) Official announcer; and

(k) Other licensed personnel directly responsible for conducting the racing program;

(2) Promptly notify owners, trainers, drivers, and grooms of penalties imposed;

(3) Promptly submit a detailed written report to the corporation of violations of the rules by an association, its officers, or race officials;

(4) Make other reports required by the corporation;

(5) Sign each sheet of the judge's book, verifying the correctness of all information, and forward the sheets to the United States Trotting Association no later than the day following the contesting of the race; and

(6) Be responsible for the maintenance of the records of the meeting and for forwarding them to the corporation.

Section 13. Authority and Procedure of Judges. A presiding judge shall:

(1) Levy fines and penalties, as provided by KRS Chapter 230 and 810 KAR Chapter 5 and 810 KAR Chapter 8;

(2) Determine questions of fact relating to the race;

(3) Decide any differences between parties to the race, or any contingent matter which arises, that are not otherwise provided for in this administrative regulation;

(4) Declare pools and bets "off" in cases of fraud;

(a) A decision regarding pools and bets shall be made by the presiding judge at the conclusion of the race, and prior to the result of the race being announced as official, based upon the:

Observation of the presiding judge; and
Facts determined upon immediate investigation.

(b) After the official placing at the conclusion of the heat or dash, a reversal or change of decision shall not affect the distribution of betting pools made on the official placing.

(c) If pools and bets are declared "off" for fraud, the party who commits the fraud shall be charged pursuant to Section 27(2) of this administrative regulation;

(5) Control the horses, drivers, and assistants by citing drivers or assistants who fail to obey their orders, 810 KAR Chapter 5, or 810 KAR Chapter 8;

(6) Examine under oath a party connected with a race regarding a wrong or complaint;

(7) Compel by written notice the appearance of a person whose testimony is necessary to the proper conduct of a hearing;

(8) Consider complaints of foul only from the patrol judges, owners, trainers, or drivers in the race;

(9) Make decisions in the public interest and in the best interest of racing that are required by extraordinary circumstances not covered by Title 810 KAR; and

(10) Declare a dash or heat "no contest" if the track is thrown into darkness during the progress of a race because of a failure of electricity or other unforeseen incident.

Section 14. Judges' Duties.

(1)

(a) A presiding judge shall exclude from the race a horse that in the judge's opinion is improperly equipped, dangerous, or unfit to race, including a horse that is sick, weak, or extremely lame.

(b) A horse shall not race:

With a tube in its throat, or with the assistance of any other medical device, unless the approval of the presiding judge and the corporation veterinarian are obtained prior to the race;
If it does not have unimpaired vision in at least (1) eye; or
If it is infected with Equine Infectious Anemia or is a carrier of that disease.

(2) A presiding judge shall investigate any:

(a) Apparent or possible interference, or other violation of 810 KAR 5:070, Section 1, whether or not a complaint has been made by a driver; or

(b) Act of cruelty to a race horse that is seen by, or reported to, him by any person during a meeting at which he officiates. If a judge finds that an act of cruelty has been committed, he shall charge the offender pursuant to Section 25(1) of this administrative regulation;

(3) The executive director of the corporation, or the designated representative of the corporation:

(a) Shall have the same authority as that conferred upon judges by the provisions of this section;

(b) May impose a penalty for an act of cruelty or neglect of a horse committed by any person, whether the act was performed on or off the premises of a race track; and

(4)

(a) A presiding judge shall conduct an investigation of an accident to determine its cause on the day of a race or immediately thereafter; and

(b) At the time of an accident the:

Inquiry sign shall be posted; and
The race shall not be declared official until the presiding judge has conferred with the patrol judge, if one (1) is present, and the starter.

(5) A presiding judge shall exhaust all means to safeguard the contestants and the public.

Section 15. An association shall not:

(1) Rescind or modify a fine imposed by a presiding judge;

(2) Review an order of suspension or expulsion; or

(3) Interfere with any official in the performance of his or her duties.

Section 16. Judges' Procedure.

(1) The judges shall:

(a) Be in the stand:

Fifteen (15) minutes before the first race;
For ten (10) minutes after the last race; and
Whenever the horses are upon the track;

(b) Observe the preliminary warming up of horses and scoring, noting:

Behavior of horses;
Lameness;
Equipment;
Conduct of the drivers;
Changes in odds at pari-mutuel meetings;
Unusual incidents pertaining to horses or drivers participating in races; and
Apparent or possible interference or other violation of 810 KAR 1:070, Section 1; and

(c) Designate one (1) of the judges to lock the pari-mutuel machines immediately upon the horse reaching the official starting point.

(2) The presiding judge shall:

(a) Approve the post time for each race;

(b) Call the horses at a time sufficient to preclude excessive delay after the completion of two (2) scores; and

(3) A patrol judge or starter who witnesses a violation of KRS Chapter 230, 810 KAR Chapter 5, or 810 KAR Chapter 8 shall immediately report the violation to the presiding judge.

(4) At least one (1) judge shall observe the drivers throughout the stretch, and specifically note:

(a) Changing course;

(b) Driving offenses or instances of interference with a race;

(d) Breaks; and

(e) Failure to contest the race to the finish.

(5) Photo sign.

(a) The photo sign shall be displayed if:

The order of finish among the contending horses is less than a half-length; or
A contending horse is on a break at the finish.

(b) After the finish:

The photo shall be examined;
A decision shall be made;
The photo shall be checked by the presiding judge for accuracy; and
The photo shall be posted for public inspection after the race has been declared official.

(6) The judges shall decide the order of finish if:

(a) The photo finish camera suffers electrical or mechanical failure; or

(b) A distorted, deceptive, or otherwise inadequate picture is developed.

(7)

(a) The judges shall cause a horse to be examined by the corporation veterinarian if it falls or runs loose and uncontrolled:

During warm up;
Prior to the race; or
Going to the post.

(b) If the corporation veterinarian determines that the horse is unfit, the presiding judge shall order the horse scratched.

(c) If the trainer believes his or her horse is unfit to race, the trainer shall so advise the judge. The judge shall then determine if the horse is unfit to race.

Section 17. Patrol Judges.

(1) At the discretion of the judges, patrol judges may be appointed by the association.

(2) Appointment of patrol judges shall require the approval of the presiding judge.

(3) Patrol judges shall be supervised by the presiding judge.

(4) Patrol judges shall observe activity on the race track in their area during the race program.

(5) Patrol judges shall immediately report to the presiding judge any fouls or improper conduct, including:

(a) Action on the track which could improperly affect the result of a race;

(b) A violation of KRS Chapter 230, 810 KAR Chapter 5, or 810 KAR Chapter8;

(d) The lameness or unfitness of a horse; or

(e) A lack of proper racing equipment.

(6) Patrol judges shall be in constant communication with the judges during the course of a race.

(7) Patrol judges shall attend hearings or inquiries on violations, if requested by the presiding judge, and testify under oath.

(8) If patrol judges have been appointed, results of a heat or dash shall not be announced until the reports of the patrol judges have been received.

Section 18. Starter.

(1) Subject to the approval of the corporation, the starter shall be:

(a) Designated by the association; and

(b) Licensed as a starter by the corporation.

(2) The starter shall be in the starting gate fifteen (15) minutes before the first race.

(3) The starter shall have control over the horses from the formation of the post parade until the word "go" is given.

(4) A starter may recommend disciplinary action to a presiding or associate judge.

(5) If requested by the judges, the starter may assist in placing the horses.

(6) A starter shall be licensed by the United States Trotting Association as a prerequisite to approval by the corporation to serve as a starter.

Section 19. Clerk Duties; Clerk of the Course. The clerk of the course shall:

(1) Assist in drawing positions if requested by the judges;

(2) Keep the judge's book and record, containing:

(a) Horses entered without electronic eligibility certificates;

(b) Names of owners, drivers, and license numbers of drivers;

(d) Money won by a horse at that track during that race meeting;

(e) Drawn or ruled out horses;

(f) The performance time of horses in minutes, seconds, and fifths of seconds; and

(g) Information related to the finish of the race, including the position of a horse in the race if it was charted;

(3) Verify the correctness of the judge's book, including race time, placing and money winnings, and reasons for disqualification, if any;

(4) Verify that the book is properly signed; and

(5) Upon request, assist judges in placing horses.

Section 20. Timers.

(1) If an electronic or electric timing device is used, the device shall be approved by the corporation.

(2) Time shall be announced and recorded in fifths of seconds.

(3)

(a) If an electronic or electric timing device is used, there shall be one (1) timer in the judge's or timer's stand.

(b) If an electronic or electric timing device is not used, there shall be three (3) timers in the judge's or timer's stand.

(4)

(a) The timers shall be in the stand fifteen (15) minutes before the first heat or dash is to be contested.

(b) Timers shall start their watches when the first horse leaves the point from which the distance of the race is measured.

(c) The time of the leading horse at the one-quarter (1/4), one-half (1/2), and three-quarters (3/4) mile, and the finish shall be taken.

(d) If odd distances are raced, the fractions shall be noted accordingly.

Section 21. Paddock Judge.

(1) Under the direction and supervision of the presiding judge, the paddock judge shall be in complete charge of paddock activities as specified in 810 KAR 2:080, Section 8.

(2) The paddock judge shall be approved by the corporation, pursuant to Section 6(3) of this administrative regulation.

(3) The paddock judge shall:

(a) Ensure that the fields are on the track for the post parade in accordance with the schedule provided by the presiding judge;

(b) Check for changes in equipment, broken or faulty equipment, head numbers, or saddle pads;

(d) Check in and check out horses and drivers. Check in and check out shall include the identification of all horses coming into the paddock, by the freeze brand, tattoo number, or other uniform or standardized means of identification approved by the corporation.

(4) The paddock judge shall:

(a) Direct the activities of the paddock farrier;

(b) Immediately notify the presiding judge of circumstances that could change, delay, or otherwise affect the racing program;

(d) Ensure that only properly authorized persons are permitted in the paddock;

(e) Notify the presiding judge of a change of racing equipment or shoes before the race;

(f) Inspect and supervise the maintenance of emergency equipment kept in the paddock; and

(g) Notify judges of trainers, drivers, or grooms who leave the paddock in an emergency.

Section 22. Identifier.

(1) An association shall employ an identifier, licensed by the corporation and the United States Trotting Association, at an extended pari-mutuel meeting.

(2) The identifier shall:

(a) Check the identification of horses coming into the paddock, including the tattoo number, freeze brand or other corporation-approved means of identification, color, and markings; and

(b) Be under the immediate supervision of the paddock judge, and the general supervision of the presiding judge.

(3)

(a) The identifier shall immediately report to the paddock judge a discrepancy that is detected in the tattoo number or freeze brand, or other corporation-approved means of identification, or the color or markings of a horse; and

(b) The paddock judge shall immediately notify the presiding judge of the discrepancy.

Section 23. Program Director.

(1) Subject to the approval of the corporation an association conducting an extended pari-mutuel meeting shall designate a program director, pursuant to Section 6(3) of this administrative regulation.

(2) The program director shall be responsible for furnishing the public with complete and accurate past performance information as required by 810 KAR 5:010, Section 3.

(3) A person shall not act as a program director at an extended pari-mutuel meeting unless that person has secured a license from the United States Trotting Association.

Section 24. Licensed Charter.

(1) At an extended pari-mutuel meeting and a grand circuit meeting, a race shall be charted by a licensed charter hired by the track.

(2) The charter shall be subject to the approval of the corporation, pursuant to Section 6(3) of this administrative regulation, and shall be licensed by the United States Trotting Association.

(3) The charter shall be responsible for providing a complete and accurate chart which shall include the following:

(a) The name of the horse;

(b) The name of the driver;

(d) Size of track;

(e) Track condition and temperature;

(f) Type of race (trot or pace);

(g) Classification of race;

(h) Distance;

(i) The fractional times of the leading horse, including the race time;

(j) Post position, position at the one-quarter (1/4), one-half (1/2), and three-quarters (3/4) mile, head of the stretch with lengths behind the leader, and finish with lengths behind the leader;

(k) Official order of finish;

(l) Individual time of each horse;

(m) Closing dollar odds if applicable (with favorite designated by an asterisk);

(n) The standard symbols for breaks, park outs, and free legged pacers if applicable;

(o) The price for which the horse is entered to be claimed less allowances for age and sex if the race is a claiming race; and

(p) Notations of placings, disqualifications, and claimed horses.

(4) Horses who are more than twenty-five (25) lengths off the leader may be noted in charts as distanced ("dis").

Section 25. Variance from commonly-accepted equipment shall be approved by the presiding judge.

Section 26. Duties of the Race Secretary. The race secretary of an association shall be licensed and approved by the corporation, pursuant to Section 6(3) of this administrative regulation. The race secretary shall:

(1) Ensure that horses racing during the meet have electronic eligibility certificates;

(2) Be familiar with the age, class, and competitive ability of horses racing at the track;

(3) Classify and reclassify horses at the meet in accordance with the required conditions of the race;

(4) List horses in the categories for which they qualify, and ensure that the lists are current and properly displayed in the room in which the declaration box is located for examination by horsemen and others;

(5) Provide for the listing of horses in the daily program;

(6) Verify the information contained in entry blanks and declarations;

(7) Select the horses to start and also the eligible horses from the declarations in accordance with the conditions of the race; and

(8) Examine nominations and declarations in early closing events, late closing events, and stake events, to verify the eligibility of all declarations and nominations, and to compile lists for publication.

History

RELATES TO: KRS 230.215(2), 230.240(1), 230.260(1), 230.290, 230.310
STATUTORY AUTHORITY: KRS 230.215(2), 230.240(1), 230.260(8)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.240(1) authorizes the corporation to prescribe by administrative regulation the required officials for horse racing and their official duties. KRS 230.215(2) and 230.260(8) authorize the corporation to promulgate administrative regulations prescribing conditions under which all horse racing is conducted. This administrative regulation sets forth the required officials and describes their functions and duties.
History: 45 Ky.R. 1875; 3084; eff. 5-31-2019; TAm eff. 7-1-2024; Crt eff. 5-19-2026.

810 KAR 2:060 Owners' authorized agents and jockey agents {#sec-810-kar-2-060 omnilex-key=us-ky-regs-official--title-810--810 KAR 2:060}

Section 1. Agents Permitted. A licensed owner, jockey, or apprentice jockey may authorize another person as an agent to act on the licensee's behalf in matters pertaining to racing in this state and transfer of horses on association grounds, provided the authorization is in writing and defines the powers, limits, and term of the agency.

Section 2. License Required. No person shall act as agent on behalf of another licensee in a matter pertaining to racing in this state, or in the transfer of horses on association grounds, without a current license.

Section 3. Owners' Authorized Agents.

(1) If an authorized agent acts on behalf of more than one (1) owner, a separate agent license shall be obtained by each owner.

(2) An owner seeking to act through an authorized agent shall submit a completed Authorized Agent License Application, KHRC 2-060-01. An application submitted by an owner for an authorized agent license shall be accompanied by the original written agency appointment, signed by the owner and notarized.

(3) If the agency appointment is other than one authorizing broad general powers and qualifies or limits powers of the agent to act on behalf of the principal, then the license, if issued, shall indicate the limitation by the word "qualified" or "limited."

(4) No racing official shall permit an authorized agent whose license indicates a qualified or limited agency to act as an authorized agent until the racing official has inspected a copy of the agency appointment and ascertains whether the act is empowered by agency.

(5) Unless precluded by specified limitations in the agency appointment, a licensed authorized agent may perform on behalf of the licensed owner acts related to racing in this state or transfer of horses on association grounds that could be performed by the principal had the principal been present. In executing a document on behalf of the principal, an authorized agent shall clearly indicate he or she is acting as an authorized agent and shall specify the principal for whom he or she is acting. When an authorized agent enters a claim for the account of a principal for whom he or she is licensed as an authorized agent, the name of the licensed owner for whom the claim is being made and the name of the authorized agent shall appear on the claim slip.

Section 4. Jockey Agents.

(1) No jockey agent shall make engagements for more than two (2) riders. No rider shall be represented by two (2) jockey agents at one (1) time.

(2) No person other than a licensed jockey agent shall make riding engagements for a rider, except that a jockey not represented by an agent may make his own riding engagements. A person permitted to make a riding engagement for a rider shall maintain in his or her possession an engagement book and shall record all riding engagements made, which shall be subject to examination by the stewards at any time. No jockey agent shall enter the jockey room, paddock, or racing strip during the hours of racing.

(3) A dispute arising from a conflict of claims for the services of a rider shall be determined by the stewards on the basis of written records submitted by the parties involved.

Section 5. Termination of Agency. An agency shall remain in effect until written notification of revocation from the principal is received by the corporation. If a jockey agent is dismissed by his employer, or if a jockey agent discontinues making engagements for a rider, then the jockey agent shall immediately notify the stewards and turn over to the clerk of scales a list of any unfulfilled engagements the jockey agent may have made for the rider.

Section 6. Incorporation by Reference.

(1) "Authorized Agent License Application", KHRGC 2-060-01 11/2018, is hereby incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, from the Kentucky Horse Racing and Gaming Corporation, 4047 Iron Works Parkway, Lexington, Kentucky 40511, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available on the KHRC Web site at http://khrc.ky.gov.

History

RELATES TO: KRS 230.215, 230.260
STATUTORY AUTHORITY: KRS 230.215(2), 230.260(8)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) vests the Kentucky Horse Racing and Gaming Corporation with the authority to promulgate regulations prescribing conditions under which all legitimate horse racing and wagering thereon is conducted in the Commonwealth. KRS 230.215(2) and 230.260(8) authorize the corporation to promulgate administrative regulations prescribing the conditions under which racing shall be conducted in Kentucky. This administrative regulation establishes the requirements for authorized owner and jockey agents.
History: 45 Ky.R. 1880; 3087; eff. 5-31-2019; TAm eff. 4-2-2021; TAm eff. 7-1-2024; Crt eff. 5-19-2026.

810 KAR 2:070 Thoroughbred and other flat racing associations {#sec-810-kar-2-070 omnilex-key=us-ky-regs-official--title-810--810 KAR 2:070}

Section 1. Maintenance of Grounds, Facilities and Uniform Track.

(1) The grounds and facilities of an association shall be maintained in a manner that provides for the:

(a) Comfort and safety of patrons, employees, and other persons whose business requires their attendance; and

(b) Health and safety of horses that are stabled, exercised, or entered to race at the association.

(2) The grounds and facilities of an association shall be:

(a) Neat and clean;

(b) Painted; and

(3) An association shall have implements adequate to maintain a uniform track, weather conditions permitting.

Section 2. Results Boards, Totalizators Required. An association shall provide and maintain mechanically operated totalizators and electronic boards that show odds, results, and other race information in plain view of patrons.

Section 3. Starting Gate.

(1) An association shall provide and maintain a working starting gate on every day horses are allowed to exercise on an association's racing strip.

(2) An association shall have in attendance one (1) or more persons qualified to keep the starting gates in good working order while the gates are in use.

(3) An association shall provide for periodic inspections of the starting gates.

Section 4. Stabling.

(1) An association barn and stall shall be:

(a) Clean, sanitary, and equipped for adequate drainage; and

(b) Maintained in good repair.

(2)

(a) Prior to the opening of a race meeting, the corporation shall submit to the racing secretary, a list of locations of approved off-track stabling facilities from which horses shall be allowed to race.

(b) The locations shall be considered association grounds.

Section 5. Stands for Officials.

(1) An association shall provide and maintain stands commanding an uninterrupted view of the entire racing strip for racing officials.

(2) The stands and their locations shall be approved by the corporation through the track's licensure process.

(3) The floor of patrol judge stands shall be at least six (6) feet higher than the track rail.

Section 6. Distance Pole Markings.

(1) A thoroughbred or other flat racing association shall have:

(a) Red and white quarter poles;

(b) Green and white eighth poles; and

(2)

(a) Permanent markers shall be located at each standard Arabian, quarter horse, paint horse, and appaloosa distance as applicable.

(b) Distance pole markers and permanent markers shall be located where they can be seen clearly from the stewards' stand.

(c) Each post shall be identified by color as follows: 110 yds., black and white stripes; 220 yds., white; 250 yds., blue; 300 yds., yellow; 330 yds., green; 350 yds., red; 400 yds., black; 440 yds., orange; 550 yds., blue and white stripe; 660 yds., yellow and white stripes; 770 yds., green and white stripes; 870 yds., red and white stripes; and 1,000 yds., red and blue stripes.

(d) In addition to the requirements established in paragraph (c) of this subsection, for appaloosa races, markers shall be located at six (6) and six and one-half (6 1/2) furlongs and shall be painted yellow and white and orange and white, respectively.

Section 7. Lighting.

(1) An association shall provide and maintain flood lights that provide adequate illumination in the stable area and parking area.

(2) If an association conducts night racing, it shall provide adequate track lighting.

Section 8. Facilities for Stable Employees.

(1) An association shall provide and maintain in good repair, adequate living quarters and conveniently located sanitary facilities that shall include showers, toilets, and wash basins for stable employees.

(2) Personnel shall not be allowed to sleep in a stall or barn loft.

Section 9. Facilities for Jockeys.

(1) An association shall provide and maintain adequate facilities for jockeys scheduled to ride each day.

(2) The facilities shall include accommodations for rest and recreation of jockeys on racing days, showers, toilets, wash basins, mirrors, arrangements for safekeeping of apparel and personal effects, and snack bar.

Section 10. Facilities for Corporation.

(1) An association shall provide adequate office space for the corporation on its grounds.

(2) To assist in the conduct of official business, an association shall provide to the corporation:

(a) A season box, marked "Kentucky Horse Racing and Gaming Corporation[]", of six (6) to eight (8) seats; and

(b) A number of parking places sufficient for the corporation and corporation staff.

(3) An association shall honor for access to preferred parking facilities and other areas on its grounds, a corporation or Association of Racing Commissioners International ring, lapel button, or automobile emblem.

Section 11. Sanitary Facilities for Patrons. An association shall, on every racing day, provide sanitary toilets and wash rooms, and free drinking water adequate for the number of patrons and persons having business at the association that comply with applicable statutes, administrative regulations, codes, or ordinances.

Section 12. Manure Removal.

(1) An association shall provide and maintain manure pits of the size and construction adequate to handle refuse from stalls.

(2) The contents of the manure pits shall be removed from the stable area as promptly as is possible.

Section 13. Photo Finish Cameras.

(1) An association shall provide and maintain at the finish line, two (2) photo finish cameras for photographing the finish of races. For Quarter Horse races, the photo finish cameras shall be equipped with mirror image to photograph the finish of each race and shall record the running time for each horse to the nearest 1/1000th second.

(2) One (1) of the photo finish cameras shall be held in reserve. The photo finish photographer shall promptly provide to the stewards and placing judges, the number of prints of finishes requested.

(3) An association shall maintain at least a one (1) year file of all photo finishes.

Section 14. Race Replays.

(1) During a race meeting, an association shall provide and maintain personnel and equipment necessary to record and produce race replays that clearly record each race from start to finish.

(2) Projection or viewing equipment shall be adequate to allow simultaneous showing of head-on and side-angle views of the running of each race.

(3)

(a) A race replay shall be:

Retained and secured by an association for at least one (1) year; and
Made available to the corporation and stewards upon demand.

(b) Upon order of the stewards, a visual record of a race that has raised a question, dispute, or controversy shall be filed with the corporation.

(4) Race replays shall be made available:

(a) For viewing at the track by licensees who owned, trained, or rode a horse in the race requested to be viewed; and

(b) To members of the press.

Section 15. Ambulances.

(1) An association shall provide and maintain at least one (1) human ambulance and one (1) horse-ambulance while horses are allowed to exercise or race.

(2) An ambulance shall be:

(a) Equipped;

(b) Manned;

(d) Located at an entrance to the racing strip.

Section 16.

(1) Except as established by subsection (2) of this section, an association shall equip and maintain a first aid facility that is:

(a) Equipped with at least two (2) beds; and

(b) Attended by a licensed physician and registered nurse or a board-certified athletic trainer during race hours.

(2) An association shall not be required to maintain a first aid facility, if the association has an ambulance on standby on its premises during racing hours. The ambulance shall be:

(a) Able to transport or make arrangements to transport an injured individual to a fully-equipped hospital emergency room in five (5) minutes or less; and

(b) Manned by a certified paramedic and certified emergency medical technician.

(3) A paramedic provided pursuant to subsection (2) of this section shall be at a minimum equipped with:

(a) Heart monitor and defibrillator;

(b) Cellular phone; and

Section 17. Track Kitchen. An association shall provide a track kitchen within the stable area, maintained in a clean and sanitary manner that complies with applicable statutes, administrative regulations, codes, or ordinances, at all times horses are stabled on association grounds.

Section 18. Communication System. An association shall install and maintain in good working service, a communication system between the stewards' stand and:

(1) Outriders;

(2) Pari-mutuel department;

(3) Starting gate;

(4) Public address announcer; and

(5) Clerk of the scales.

Section 19. Fire Prevention.

(1) An association shall have a fire prevention and suppression program.

(2) The corporation shall not approve the commencement of a race meeting unless, within fifteen (15) days before commencement of the race meeting, the state or local fire marshal:

(a) Has inspected the association; and

(b) Certified that the association plant and stable area meets fire safety requirements.

(3) An association shall maintain a firefighting unit of trained personnel that has high-expansion foam fire extinguishers and other equipment required by the local fire inspection authority.

(4) An association shall prohibit:

(a) Smoking in stalls, under shed rows, and in feed rooms;

(b) Open fires and oil or gas lamps in the stable area; and

Section 20. Association Security.

(1) An association shall provide and maintain security services, night and day, on and about association grounds.

(2) An association shall provide the stewards with a report on any disturbances or disorderly conduct committed by a person on association grounds.

(3) An association shall exclude from association grounds, a person designated to be denied access by order of the corporation or stewards.

(4) An association shall implement security measures to protect a horse on association grounds from being injured by being frightened or tampered with.

(5) An association shall exclude from the paddock area, race strip, and winner's entrance a person who:

(a) Does not have an immediate connection with the horses entered; and

(b) Is not a corporation member, racing official, or accredited member of the news media.

Section 21. Vendors and Suppliers.

(1) A vendor shall comply with procedures and requirements established by an association.

(2) An association shall not attempt to control or monopolize sales to owners, trainers, or stable employees.

(3) An association shall not grant an exclusive concession to a vendor of feed, racing supplies, or racing services.

(4) A vendor of horse feeds or medications shall file with the corporation veterinarian a list of products that he or she proposes to sell, including a new preparation or medication.

(5) An association shall not allow the sale of an alcoholic beverage, except beer within the stable area.

Section 22. Ejection or Exclusion from Association Grounds.

(1) An association shall, for probable cause, eject or exclude from association grounds a person:

(a) Believed to be engaged in:

A bookmaking activity;
Solicitation of bets; or
Touting;

(b) Who as a business or for compensation, either directly or indirectly:

Accepted anything of value to be wagered, transmitted, or delivered for wager to a pari-mutuel wagering enterprise; or
Participated in the transaction; or

(2) An association shall eject or exclude from its stable area, a person who is not:

(a) Licensed to conduct an activity that requires his presence in the stable area;

(b) An accredited member of the news media;

(d) Accompanied by, and under the control and supervision of a:

Racing official;
Association security guard; or
Association public relations department representative.

(3)

(a) A report of an ejection or exclusion from association grounds shall be made immediately to the stewards, judges, and corporation director of security.

(b) A report shall state the:

Name of person ejected or excluded;
Reasons for the ejection or exclusion; and
Facts relating to the ejection or exclusion.

Section 23. Ownership of Associations. An association shall file with the corporation, a revised list of persons whose identity is required by 810 KAR 3:010, Section 8, immediately upon transfer of a beneficial interest or control in the association.

Section 24. Plan of Association Grounds.

(1) An association shall file with the corporation, maps and plans of association grounds, showing:

(a) Structures;

(b) Piping;

(d) Fixed equipment;

(e) Racing strip, noting elevation as filled, drained, and gapped; and

(f) Composition of track base and cushion.

(2) An association shall file revised maps or plans of association grounds upon any material change.

Section 25. Attendance and Badge List Reports; Tax Exempt Credentials.

(1) An association shall file with the corporation, a copy of the form, Race Track Pari-mutuel and Admissions Report, Revenue Form 73A100.

(2) A tax exempt admission credential shall not be transferable.

Section 26. Financial Report. Within sixty (60) days after the close of its fiscal year, an association shall file:

(1) Three (3) copies of the association's balance sheet; and

(2) A comparison to the prior year.

Section 27. Horseman's Account and Horseman's Bookkeeper.

(1) An association shall maintain a bank account that shall:

(a) Be separate from its other accounts;

(b) Be titled "horsemen's account"; and

Purses;
Stakes;
Rewards;
Claims; and
Deposits.

(2) Withdrawals from the horsemen's account shall be audited by the corporation at any time.

(3)

(a) For all races, purse money shall be available to earners after the result of the race in which the money was earned has been declared official and for race dates in which:

All samples are reported by the corporation laboratory as passed at the screening level, within twenty-four (24) hours after receipt of the report by the corporation; or
One (1) or more sample is reported by the corporation laboratory as suspicious at the screening level, within twenty-four (24) hours after receipt of the final report by the corporation.

(b) If a horse is disqualified and an appeal has been filed, purse money shall be available to other participants entitled to purse money in the amount they would have earned had a horse not been disqualified. The purse money to which the disqualified participant would be entitled shall be held in escrow by the association until final adjudication of a dispute over which persons are entitled to money.

(4)

(a) Except for jockey fees, a deduction from purse money shall not be made, unless the deduction has been requested in writing by the:

Person to whom purse money is payable; or
Authorized representative of the person to whom purse money is payable.

(b) Whether or not a deduction request is made, at the close of a race meeting, the horsemen's bookkeeper in charge of the horsemen's account shall mail to an owner, a duplicate of each record of a deposit, withdrawal, or transfer of funds that affects his racing account.

(5) The horsemen's bookkeeper in charge of the horsemen's account shall be bonded.

Section 28. Outriders.

(1) An association shall employ at least two (2) outriders.

(2) An outrider shall:

(a) Escort starters to the post;

(b) Assist in the returning of horses to the unsaddling area;

(d) Assist in the control of a horse that might cause injury to a jockey or others.

(3) While horses are allowed on the racing strip for exercising or racing, an outrider shall be:

(a) Present on the racing strip;

(b) Mounted; and

Control of an unruly horse; or
Recapture of a loose horse.

Section 29. Safety Equipment.

(1) A person mounted on a horse or stable pony at a location under the jurisdiction of the corporation shall wear a properly secured safety helmet at all times. If requested by a corporation official, the person shall provide sufficient evidence that his helmet has a tag, stamp, or similar identifying marker indicating that it complies with or exceeds:

(a) ASTM International Standard, ASTM F1163-04a;

(b) British Standards, BS EN 1384:1997 or PAS 015:1999; or

(2) A person mounted on a horse or stable pony on a location under the jurisdiction of the corporation, assistant starters, and a person handling a horse in a starting gate shall wear a safety vest at all times. If requested by a corporation official, the person shall provide sufficient evidence that his safety vest has a tag, stamp, or similar identifying marker indicating that it complies with or exceeds:

(a) British Equestrian Trade Association (BETA):2000 Level 1;

(b) Euro Norm (EN) 13158:2000 Level 1;

(d) Shoe and Allied Trade Research Association (SATRA) Jockey Vest Document M6 Issue 3; or

(e) Australian Racing Board (ARB) Standard 1.1998.

Section 30. Valets.

(1) An association shall employ a number of licensed valets sufficient to attend each rider on a day's racing program.

(2) A valet shall be under the immediate supervision and control of the clerk of scales.

(3) A rider shall not employ a valet or be attended by a person other than the valet assigned to him by the clerk of scales.

(4) A valet shall:

(a) Be responsible for the care and cleaning up of the apparel and equipment of his assigned rider;

(b) Ensure his rider has the proper equipment and colors for a race;

(d) Attend the weighing out of his rider.

(5) A valet or other jockey room attendant shall not place a wager, directly or indirectly, on races run while he serves as a valet for himself or another.

(6) An association shall provide uniform attire for all valets that shall be worn while the valets perform their duties within public view.

Section 31. Minimum Purse and Stakes Values.

(1) An association shall not program or run any race for which the purse is less than $2,000 in cash, without permission of the corporation.

(2) An association shall not program or run a stakes race for which the added value is less than $10,000 in cash added by the association to stakes fees paid by owners.

(3) The minimum cash amounts paid by the association shall be exclusive of:

(a) Nomination;

(b) Eligibility;

(d) Starting fees;

(e) Cash awards;

(f) Premiums;

(g) Prizes; or

(h) Objects of value.

Section 32. Maximum Number of Races. An association shall not program or run more than nine (9) races on a racing day without permission of the corporation through the track's licensure process.

Section 33. Two (2) Year Old Races.Quarter horse race conditions for two (2) year-olds shall not be offered in the condition book prior to March 1 of that corresponding year.

Section 34.

(1)

(a) Exculpatory clauses. Stall applications, entry forms, condition books, and other agreements between persons or entities licensed by the Kentucky Horse Racing and Gaming Corporation regarding the stabling of horses, the racing of horses, the training of horses, or other activities at tracks owned or operated by licensed associations, and conditions of racing established by licensed associations, shall not contain provisions that absolve or hold harmless a licensee from liability, or limit the liability of a licensee, for loss, loss of use, injury, or damage caused or contributed to by the acts or omissions of any licensee, its agents, or employees, except for:

Ordinary negligence that causes or contributes to loss, injury, or damage to horses while on the premises of a licensed association; and
Ordinary negligence that causes or contributes to personal injury or property damage, including loss, loss of use, injury, or damage to horses arising from the use of grass fields or gallops owned or controlled by the licensed association.

(b) With the exception in paragraph (a) of this subsection, licensees participating in the stabling of horses, the racing of horses, the training of horses, and related activities at tracks owned or operated by licensed associations shall be responsible for their own acts and omissions and those of their agents and employees to the same extent as provided by law. A licensee shall not attempt to limit liability of a person or entity for gross negligence or intentional wrongdoing.

(2)

(a) Constructive notice to and consent of licensees. Persons licensed by the Kentucky Horse Racing and Gaming Corporation shall be deemed, as a condition of licensure, to have notice of and to have consented to exculpatory provisions, which comply with the limitations established in this administrative regulation, included in agreements between licensees and in conditions of racing established by a licensed association.

(b) Exculpatory provisions that exceed the limitations established in this administrative regulation shall be void and unenforceable in their entirety.

(3) Model provision. The following provision shall be deemed to comply with the limitations established in this administrative regulation: All Kentucky Horse Racing and Gaming Corporation licensees, including but not limited to the host association, owners, trainers, jockeys, and grooms (licensees), participating in stabling, racing, training, and related activities at (name of licensed association) recognize that hazards and risks inherent in these activities could cause the injury or death of horses. Therefore, in consideration of participating in stabling, racing, training, and related activities at (name of licensed association), all licensees assume the risks of, and release, hold harmless, and covenant not to sue other participating licensees for:

(a) Ordinary negligence that causes or contributes to loss, loss of use, injury, or damage to horses while on the premises of (name of licensed association); and

(b) Ordinary negligence that causes or contributes to personal injury or property damage, including but not limited to loss, loss of use, injury, or damage to horses arising from the use of grass fields or gallops owned or controlled by (name of licensed association), whether arising from alleged acts or omissions of a licensee, its agents, or employees, the condition of the premises of (name of licensed association), or any other cause. Except as provided above, all licensees participating in racing, training, and related activities at (name of licensed association) shall be responsible for their own acts and omissions and those of their agents and employees to the same extent as provided by law.

History

RELATES TO: KRS 137.180, 230.215(2)(a), 230.260(8)
STATUTORY AUTHORITY: KRS 230.215(2)(a), 230.260(8)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2)(a) and 230.260(8) authorize the corporation to promulgate administrative regulations establishing conditions governing horse racing. This administrative regulation establishes requirements for thoroughbred and other flat racing associations.
History: 810 KAR 002:070. 45 Ky.R. 1881; 3088; eff. 5-31-2019; 50 Ky.R. 458, 1120; eff. 3-5-2024; TAm eff. 7-1-2024; 51 Ky.R. 1209, 1787; eff. 7-1-2025.

810 KAR 2:080 Standardbred racing associations {#sec-810-kar-2-080 omnilex-key=us-ky-regs-official--title-810--810 KAR 2:080}

Section 1. During the course of its race meetings, a licensed standardbred association shall display in the racing association's office the license issued by the corporation for the current year.

Section 2. Default in Payment of Purses. An association shall not default in the payment of any purse that has been offered in a race.

Section 3. Time to File Claims for Unpaid Purses. Unless a claim for an unpaid purse is filed with or appealed to the corporation within twelve (12) months after the date the race is contested, the corporation may release any performance bond it holds related to the purse.

Section 4. If at a meeting of a licensed association, a race is contested that has been promoted by another party, and the promoters default in the payment of the amount raced for, the same liability shall attach to the licensed association as if the race had been offered by the licensed association.

Section 5. Minimum Advertised Purse or Schedule of Purses. If an association advertises a minimum purse and conducts a race for less than the advertised minimum, the association shall be fined the difference between the advertised minimum and the lesser purse for which the race was conducted, and the proceeds may be distributed among the money winning horses in proportion to their respective winnings.

Section 6. Removal of a Horse from the Grounds. A horse shall not be ordered off the grounds unless a minimum of twenty-four (24) hours' notice (excluding Sunday) is provided to the person in charge of the horse. A person shall not fail to remove a horse after proper notice.

Section 7. Driver Awards. An association shall not pay or advertise to pay an award other than to an owner, nominator, or breeder of a money-winning horse, except that an award may be made to a driver of a horse breaking or equaling an association or world record, or to a leading driver at a meeting.

Section 8. Paddock Rules.

(1) An association conducting an extended pari-mutuel meeting shall provide a paddock or receiving barn.

(2) The paddock or receiving barn shall be completely enclosed with a man-tight fence and each opening through the fence shall be policed by a person licensed by the corporation who shall exclude unauthorized personnel. A daily record of persons entering or leaving the paddock from one (1) hour prior to the first post time until all races on that program have been completed shall be maintained on a form provided by the association and approved by the corporation.

(3) A horse shall be in the paddock at the time prescribed by the presiding judge, but in any event at least one (1) hour prior to post time of the race in which the horse is to compete. Except for a warm up trip, a horse shall not leave the paddock until called to the post.

(4) A person entitled to admission to the paddock shall be at least sixteen (16) years old and shall include:

(a) An owner of a horse competing on the date of the race;

(b) A trainer of a horse competing on the date of the race;

(d) A groom and caretaker of a horse competing on the date of the race;

(e) An official whose duties require the presence of that person in the paddock or receiving barn;

(f) An official of the corporation;

(g) The designated representative of the horseman; and

(h) A person approved by the presiding judge.

(5) Unless permission is granted by the judges, a driver, trainer, groom, or caretaker, once admitted to the paddock or receiving barn, shall not leave the paddock or receiving barn, other than to warm up a horse, until the race or races for which the horse was admitted is contested.

(6) All persons, except drivers in the driver's stand, shall leave the paddock as soon as that person's duties are completed for the race or races for which that person was admitted.

(7) A member of a registered stable, other than the driver, shall be entitled to admission to the paddock on any day a horse owned by that stable is racing.

(8) During racing hours, an association shall provide the services of a farrier within the paddock.

(9) During racing hours an association shall promptly provide suitable extra equipment as may be necessary.

Section 9. Photo Finish, Film Patrol, Head Numbers, Starting Gate.

(1) At an association where pari-mutuel wagering is allowed, a photo finish, film patrol, head numbers, saddle pads, and starting gate shall be used.

(2) At an extended pari-mutuel meeting, the association shall provide for a back-up starting gate.

(3) If the judges use a photo to determine the order of finish, the photo shall be posted for public inspection.

(4) Photo finish equipment shall include a stationary camera, mounted above the finish wire and perpendicular to the race track, along with a spinner or stationary target.

(5) A camera utilizing a shutter between the film and the race track during the actual finish of a race, or which has a field view greater than twelve (12) inches at the finish line, shall not be utilized. The presiding judge shall verify that the photo finish equipment is in working order prior to each racing program.

Section 10. Driver Insurance. An association shall prepare and prominently display, in the race secretary's office, a statement containing the name of the company providing driver insurance coverage.

Section 11.

(1)

(a) An association at an extended pari-mutuel meeting shall be equipped with a scientifically-reliable breath, blood, or urine alcohol testing device approved by the corporation and operated by a person certified to use the device. A licensee may be required to submit to a breath analyzer test at the discretion of the presiding judge or his assistant, based on the presiding judge's reasonable suspicion that the person might have an impermissible amount of alcohol or illegal substances in his system.

(b) A person shall not be permitted to drive:

If a breath, blood, or urine alcohol testing device reveals at the time of the person's entry into the paddock a reading of 0.05% or more of alcohol or any trace of illegal controlled substance either in the breath, blood, or urine of that individual; or
If, in the opinion of the presiding judge, a person is impaired to the point the person's driving skills or judgement may be affected.

(c) At the time of entry into the paddock, if a breath, blood, or urine alcohol testing device given to a person who is scheduled to drive reveals the presence of 0.05% or more of alcohol or any trace of an illegal controlled substance, the presiding judge shall charge the driver with a violation pursuant to Section 15(1) of this administrative regulation.

(2) A person shall not be permitted to act as a judge, starter, or marshal if a breath, blood, or urine alcohol testing device reveals a presence of 0.05% of alcohol or any trace of illegal controlled substance in the blood, urine, or breath of that individual at any time on a race day during which that person is schedule to officiate. If alcohol or illegal substances are found to be present, that individual shall be immediately relieved of duties for that program and a report shall be made prior to the next racing day to the corporation for appropriate action. The individual shall be charged with a violation pursuant to Section 15(1) of this administrative regulation.

(3) In any meeting other than an extended pari-mutuel meeting, a driver, judge, starter, driver of the starting gate, and marshall shall submit to a breath, blood, or urine alcohol test if requested by the presiding judge. The result of the test shall be governed by subsection (2) of this section, and the individual shall be charged with a violation pursuant to Section 15(1) of this administrative regulation if the impermissible amount of alcohol or illegal substances are found to be present.

Section 12. A saddle pad in use at an association conducting an extended pari-mutuel meeting shall be standardized consistent with a format to be established by the United States Trotting Association.

Section 13. Horse Ambulance. During an extended pari-mutuel race meeting, an association shall provide a properly equipped and properly manned horse ambulance for the removal of injured or dead animals from the track. The horse ambulance shall be present on the grounds at any programmed race, time trial, or qualifying race under the jurisdiction of the corporation. A horse ambulance shall be equipped with a screen for use if it is necessary to destroy an animal in view of the general public, and with a winch to lift dead or injured animals onto the ambulance. It shall be the responsibility of the corporation to ensure that proper supplies of alcohol, water, euthanasia medication, and horse leg splints are aboard the ambulance.

Section 14. Emergency Medical and Ambulatory Services for Persons.

(1) At an association where any programmed race, time trial, or qualifying race under the jurisdiction of the corporation takes place, it shall be the responsibility of the association to:

(a) Provide a licensed paramedic, emergency medical technician, or the equivalent; and

(b) Maintain in good operating order an ambulance or other suitable transportation, capable of transporting injured parties to an appropriate medical facility, available and stationed at an entrance to the racing surface allowing for visual contact with the race in progress.

(2) The medical personnel present shall make a prompt response if one (1) or more drivers or horses are involved in an accident or there is a need for emergency transportation.

(3) The ambulance shall be stationed at every programmed race, time trial, and qualifying race under the jurisdiction of the corporation.

(4) The emergency medical personnel and the ambulance shall be on the premises during the period beginning one (1) hour prior to post time for the first race on the program, or first qualifying race, through the conclusion of the racing program. If the ambulance must leave its station, a replacement ambulance shall be present on the association grounds before the next race is run.

Section 15. Corporation Office. An association shall provide suitable facilities for the corporation in the conduct of its business. Failure to do so within ten (10) days after written notification by the corporation setting out the deficiencies of association facilities shall subject the licensee to a fine up to $250 per day for each day that suitable facilities are not thereafter provided.

Section 16. Policing of Premises. The association shall provide a sufficient number of guards and watchmen to maintain order on all parts of the racing enclosure. No tipster shall be allowed on the licensed premises, no groom or stable attendant shall loiter in the betting ring or elsewhere with the evident intention of engaging in tipping for any remuneration or for nothing, and a person so found shall be immediately escorted to the general manager of the licensee and his license shall be taken up, and the licensee shall thereafter exclude the person from the licensed premises.

Section 17. Supervision of Peddlers. The association shall supervise the practice and methods of merchandise peddlers who may have entry to the track enclosure. Supervision shall be extended to any other stables where horses are lodged which may be eligible to race at the meeting. However, the association shall not by virtue of this rule or otherwise restrict the open purchasing or attempt to control or monopolize any business or proper selling of merchandise to owners, trainers, or stable employees.

Section 18. Drinking Fountains and Rest Rooms. The association shall furnish an adequate number of free drinking water fountains, comfort stations, and washrooms throughout its grounds and buildings for the use of the public.

Section 19. Stabling of Horses. A horse racing at a licensed meeting must be stabled within the confines of that track; however, in case of necessity a horse may be stabled within the confines of an adjacent Kentucky race track, or in another location approved by the corporation. The association holding the race meeting shall provide for temporary stabling of horses, eligible to race, which are brought to the races from approved outside stable space.

Section 20. Watchmen in Stable Area. Each association shall maintain and furnish complete and adequate watchman service night and day in and about all stable enclosures.

Section 21. Duties of Watchmen.

(1) Watchmen shall be individually responsible for the certain part of the stable enclosure where they are on duty and shall immediately investigate and report the presence of anyone during the night or day who may be within the stable enclosure without possessing proper credentials.

(2) A letter of instructions to all watchmen shall be addressed to each of them by the association, covering fully their duties and their strict obligation to keep stable enclosures free from outsiders and hangers on, and a copy thereof furnished to the corporation.

Section 22. Stable Enclosures Fenced. Stable enclosures must be properly fenced and admission granted only on proper license or credentials actually shown to the gatemen. This rule may be waived with corporation approval.

Section 23. Betting by Racing Officials. Betting by racing officials is prohibited.

Section 24. Betting by Paddock Employees. A track employee working in the paddock area is not allowed to bet or pass information to outsiders for betting purposes.

Section 25. Exculpatory Clauses. Effective January 1, 1997, agreements (including but not limited to stall applications, entry forms, and condition books) between persons or entities licensed by the Kentucky Racing and Gaming Corporation regarding the stabling of horses, the racing of horses, the training of horses or other activities at tracks owned or operated by licensed associations, and conditions of racing established by licenses associations, shall not contain provisions that absolve or hold harmless a licensee from liability, or limit the liability of a licensee, for loss, loss of use, injury, or damage caused or contributed to by the acts or omissions of any licensee, its agents, or employees, except for:

(1) Ordinary negligence that causes or contributes to loss, injury, or damage to horses while on the premises of a licensed association; and

(2) Ordinary negligence that causes or contributes to personal injury or property damage, including but not limited to loss, loss of use, injury, or damage to horses arising from the use of grass fields ("gallops") owned or controlled by the licensed association. Subject to the above exceptions, all licensees participating in the stabling of horses, the racing of horses, the training of horses, and related activities at tracks owned or operated by licensed associations shall be responsible for their own acts and omissions and those of their agents and employees to the same extent as provided by law. No licensee shall attempt to limit liability of a person or entity for gross negligence or intentional wrongdoing.

Section 26. Constructive Notice to and Consent of Licensees. Persons licensed by the Kentucky Horse Racing and Gaming Corporation shall be deemed, as a condition of licensure, to have notice of and to have consented to exculpatory provisions that comply with the limitations set forth in this regulation, included in agreements between licensees and in conditions of racing established by a licensed association. Exculpatory provisions which exceed the limitations set forth in this regulation shall be void and unenforceable in their entirety.

Section 27. Model Provision. The following provision shall be deemed to comply with the limitations set forth in this regulation: All Kentucky Horse Racing and Gaming Corporation licensees, including but not limited to the host association, owners, trainers, jockeys, drivers, and grooms ("licensees"), participating in stabling, racing, training, and related activities at (name of licensed association) recognize that hazards and risks inherent in such activities may cause the injury or death of horses. Therefore, in consideration of participating in stabling, racing, training and related activities at (name of licensed association), all licensees assume the risks of, and release, hold harmless, and covenant not to sue other participating licensees for:

(1) Ordinary negligence that causes or contributes to loss, loss of use, injury, or damage to horses while on the premises of (name of association); and

(2) Ordinary negligence that causes or contributes to personal injury or property damage, including but not limited to loss, loss of use, injury, or damage to horses arising from the use of grass fields ("gallops") owned or controlled by (name of licensed association), whether arising from alleged acts or omissions of a licensee, its agents, or employees, the condition of the premises of (name of licensed association), or any other cause. Except as provided above, licensees participating in racing, training, and related activities at (name of licensed association) shall be responsible for their own acts and omissions and those of their agents and employees to the same extent as provided by law.

Section 28. Persons Permitted on Licensed Premises.

(1) A licensee of the corporation shall immediately report to association security personnel the presence of any person not authorized by this administrative regulation to be on all or any portion of association grounds.

(2) A licensee shall take all necessary measures that are not prohibited by law to maintain the security of horses on association grounds and to protect horses from injury due to mistreatment, fright, or tampering.

(3) Persons not employed by, or not the invited guests of, the racing association, the owner, or trainer of a horse scheduled to run that day shall be excluded from the paddock area, race strip, and appurtenant portions of the track, with the following exceptions:

(a) Members, officers, and employees of the corporation;

(b) Racing officials;

(d) Officials and directors of the United States Trotting Association;

(e) Officials and directors of Standardbred Canada; and

(f) Duly-accredited members of the news media.

Section 29. Admission to Premises. A current badge or button issued by the corporation, or a current badge or button issued by the Association of Racing Commissioners International, shall be honored for admission to any location on association grounds operating under the jurisdiction of the corporation.

Section 30. Limited Admission.

(1) A person not possessing and displaying a properly-issued badge or identification card shall not be permitted to enter any part of the licensed premises except the clubhouse, grandstand, or other areas open to patrons or the general public, with the following exceptions:

(a) Members, officers, and employees of the corporation;

(b) Racing officials;

(d) Persons permitted into the paddock area, race strip, and appurtenant portions of the track under Section 1(3) of this administrative regulation; and

(e) Persons permitted into the stable area under Section 3(2) of this administrative regulation.

(2) Only the following persons performing official duties within the stable area shall be entitled to enter the stable area of a licensee:

(a) Members, officers, and employees of the corporation;

(b) Members and employees of the association;

(d) Police officers;

(e) Owners;

(f) Trainers;

(g) Grooms; and

(h) Others who are performing official duties within the stable area.

Section 31. Identification Cards and Badges.

(1) Cards and badges.

(a) A licensee shall issue identification cards or badges only to:

The licensee's officers, employees, guards, and watchmen;
Drivers; and
Owners and trainers and their employees, assistants, grooms, and attendants.

(b) A licensee shall have the right to recall identification cards or badges upon reasonable cause to believe a violation of the law has occurred or as reasonably necessary to maintain effective security procedures.

(c) Identification cards or badges shall be collected from owners and trainers and their employees, assistants, grooms, and attendants when the horses of the owners or trainers are removed from the licensed premises.

(d) An identification card or badge shall not be transferable.

(e) An identification card or badge shall be subject to forfeiture if utilized or attempted to be utilized by a person other than the person to whom it was issued.

(f) The corporation shall specifically identify by color designation each association under its control. The licensee shall only authorize admittance to the association upon the showing of a properly color-coded identification card or badge. An identification card or badge shall be subject to forfeiture if the holder utilizes the card or badge to attempt to gain entry or access to an association other than the one for which the card or badge applies.

(g) An identification card or badge may be declared forfeit by the executive director of the corporation, the designated representative of the corporation, or the presiding judge upon reasonable cause to believe a violation of the law has occurred, or as reasonably necessary to maintain effective security procedures.

(2) Enforcement. The director of security designated by the corporation shall have the primary responsibility of enforcing this administrative regulation.

Section 32. Association with Undesirables Prohibited.

(1)

(a) An owner, driver, trainer, groom, attendant, or other person having charge of or access to a harness race horse shall not associate with, consort with, or in any manner communicate with a known gambler, bookmaker, tout, or persons of similar pursuits either on or off association grounds.

(b) An owner, driver, trainer, groom, attendant, or other person having charge of or access to a harness race horse shall be presumed to have knowledge of the reputation or notoriety of persons with whom he or she has communications regarding horse racing.

(2) A person under the jurisdiction or control of the corporation shall have a duty to immediately report knowledge of any of the following activities to the corporation or one (1) of its appointed representatives:

(a) Offer or promise of a bribe;

(b) Request or suggestion for a bribe;

(c) Offer, promise, request, or suggestion of any other improper, corrupt, or fraudulent act or practice that could affect the outcome of a race; or

(d) Request or suggestion that a race be conducted otherwise than fairly and in accordance with the law.

Section 33. Tack Inspection. For the purpose of maintaining the safety and security of the association grounds, the corporation or its designated representative shall have the right to permit an authorized person to inspect or examine the personal effects or property of every trainer, driver, stable foreman, groom, authorized agent, and veterinarian, by entering in or upon:

(1) The stable, rooms, or other places within the track enclosure where a race meeting is held; or

(2) Other tracks or places where horses eligible to race at a race meeting are kept.

History

RELATES TO: KRS 230.215, 230.260(1)
STATUTORY AUTHORITY: KRS 230.215(2), 230.260(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) and 230.260(8) authorize the corporation to regulate horse racing in Kentucky. This administrative regulation establishes requirements for the operation of standardbred racing associations.
History: 45 Ky.R. 1886; 3092; eff. 5-31-2019; TAm eff. 7-1-2024; Crt eff. 5-19-2026.

810 KAR 2:090 Temporary unsuitability of licensed premises {#sec-810-kar-2-090 omnilex-key=us-ky-regs-official--title-810--810 KAR 2:090}

Section 1. If any Kentucky racing association's licensed premises is temporarily rendered unsuitable for its intended use, an association may, with corporation authorization pursuant to KRS 230.300(11), occupy an alternate facility during the period that its licensed premises is temporarily unsuitable, if the alternate facility meets the following conditions:

(1) The alternate facility shall be within a sixty (60) mile radius of the racing association's track but not contiguous to track premises; and

(2) The alternate facility shall not be within a sixty (60) mile radius of another racing association's licensed premises where live racing is conducted and shall not be within a forty (40) mile radius of a simulcast facility, unless any affected track or simulcast facility agrees in writing to permit a noncontiguous facility within the protected geographic area.

History

RELATES TO: KRS Chapter 230
STATUTORY AUTHORITY: KRS 230.215(2), 230.225(5), 230.260(8), 230.361(1), 230.370
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) authorizes the Kentucky Horse Racing and Gaming Corporation to regulate conditions under which thoroughbred racing shall be conducted in Kentucky. KRS 230.260(8) authorizes the corporation to prescribe necessary and reasonable administrative regulations and conditions under which horse racing at a horse race meeting shall be conducted in this state. This administrative regulation establishes procedures for use of an off-site facility if a racing association's licensed premises becomes temporarily unsuitable for its intended use.
History: 46 Ky.R. 2850; 47 Ky.R. 319; eff. 8-25-2020; TAm eff. 7-1-2024.

810 KAR 2:100 Self-exclusion {#sec-810-kar-2-100 omnilex-key=us-ky-regs-official--title-810--810 KAR 2:100}

Section 1. Self-exclusion List.

(1) The corporation shall establish and maintain a self-exclusion list for individuals who wish to be temporarily or permanently excluded from gambling in the Commonwealth for any reason, such as self-identification as problem or compulsive gamblers.

(2) The list shall include the names and other identifying information of the individuals who have self-excluded from gambling at racing tracks, as established in Section 3(1) of this administrative regulation.

Section 2. Notice to the Public.

(1) Each racing association shall display a notice to the public of the existence of the self-exclusion list and the method or methods individuals may use to self identify at the track, online, or by phone.

(2) The notice shall be displayed at public entrances to the wagering-specific locations of the racing track and on the racing association's Web site.

(3) The notice shall include information about the consequences of self-exclusion, including that the individual will be prohibited from entering the racing track and participating in any gambling activity at the track.

(4) The notice and its placement locations shall be approved by the corporation, based on the notice's content, visibility, and readability.

Section 3. Collection of Self-exclusion Information.

(1) Each racing association shall collect self-exclusion information from individuals who self-identify as problem or compulsive gamblers.

(2) The self-exclusion information collected shall include the individual's name, address, date of birth, and other identifying information requested by the corporation.

(3) The racing association shall provide the self-exclusion information to the corporation on an as-needed basis, but at least weekly and in a manner approved by the corporation, based on the information's completeness and ability to facilitate the corporation's compilation and dissemination of information for all associations.

Section 4. Compilation of Comprehensive List.

(1) The corporation shall compile and maintain a comprehensive list of all individuals who have self-excluded from gambling at racing tracks.

(2) The comprehensive list shall include the self-exclusion information provided by each racing association.

(3) The comprehensive list shall be provided to all racing associations and updated on an as-needed basis, but at least monthly.

Section 5. Confidentiality of Self-exclusion Information.

(1) Pursuant to KRS 61.878(1)(a) and 230.260, information collected under this subsection shall be excluded from the application of KRS 61.870 through 61.884.

(2) Self-exclusion information shall be kept confidential and shall not be disclosed except as necessary to enforce KAR Title 810 or as required by law.

Section 6. Self-exclusion Policy.

(1) Each racing association may establish its own self-exclusion policy. Each policy shall be approved by the corporation to ensure the best interests of horse racing and compliance with KRS 230.260.

(2) The policy may cover how the racing association chooses to exclude individuals on the exclusion list. The policy may include identification and verification, forfeiture of prizes by excluded persons, security personnel, technology, employee training, contractual obligations, or collaboration with other racing associations.

(3) Each racing association shall review its self-exclusion policy at least once every two (2) years and amend it as necessary to ensure compliance with KAR Title 810 and its effectiveness in achieving the purposes for which it is established.

History

RELATES TO: KRS 61.870-61.884, 230.260(15)
STATUTORY AUTHORITY: KRS 230.260(15)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.260(15) requires the Horse Racing and Gaming Corporation to promulgate administrative regulations prescribing conditions for a self-exclusion list for people who identify as problem or compulsive gamblers. This administrative regulation establishes provisions for a horse-racing-related self-exclusion list for people who identify as problem or compulsive gamblers.
History: 49 Ky.R. 2439, 50 Ky.R. 708, 1527; eff. 4-2-2024; TAm eff. 7-1-2024.

Chapter 3 Licensing

810 KAR 3:001 Definitions for 810 KAR Chapter 3 {#sec-810-kar-3-001 omnilex-key=us-ky-regs-official--title-810--810 KAR 3:001}

Section 1. Definitions.

(1) "Age" means the number of years since a horse was foaled, reckoned as if the horse was foaled on January 1 of the year in which the horse was foaled.

(2) "Allowance race" means a race in which contestants receive weight allowance based on performance or winnings as stipulated in the conditions of the race.

(3) "ARCI" means the Association of Racing Commissioners International.

(4) "Association" is defined by KRS 230.210.

(5) "Authorized agent" means in flat racing any person currently licensed as an agent for a licensed owner, jockey, or jockey apprentice by virtue of notarized appointment of agency filed with the corporation.

(6) "Claiming race" means a race in which ownership of a horse participating in the race can be transferred in conformity with 810 KAR 4:050 and 810 KAR 5:030

(7) "Commission" is defined by 810 KAR 6:001.

(8) "Conditions" means qualifications that determine a horse's eligibility to be entered in a race.

(9) "Coupled entry" means two (2) or more horses in a race that are treated as a single betting interest for pari-mutuel wagering purposes.

(10) "Day" means any twenty-four (24) hour period beginning at 12:01 a.m. and ending at midnight.

(11) "Directive" means an official order issued by the corporation or the executive director.

(12) "Draw" means the process of determining post positions by lot.

(13) "Driver" means in standardbred racing a person who is licensed to drive a horse in a race.

(14) "Early closing race" means in standardbred racing a race for a definite amount of money in which entries close at least six (6) weeks prior to the race.

(15) "Electronic eligibility" means a computer-generated eligibility certificate that records a horse's racing statistics.

(16) "Entry" means the act of nominating a horse for a race in conformance with KAR Title 810.

(17) "Equipment" means in flat racing accoutrements other than ordinary saddle, girth, pad, saddle cloth, and bridle carried by a horse, and includes whip, blinkers, tongue strap, muzzle, hood, noseband, bit, shadow roll, martingale, breast plate, bandages, boots, and racing plates or shoes.

(18) "Horse" means any equine irrespective of age or sex designation and registered for racing with the applicable breed registry.

(19) "Ineligible" means a horse or person not qualified under KAR Title 810 or conditions of a race to participate in a specified racing activity.

(20) "Jockey" means a rider currently licensed to ride in races as a jockey, apprentice jockey, amateur jockey, or a provisional jockey permitted by the stewards to ride in three (3) races prior to applying for a license.

(21) "Judge" means a duly appointed racing official with powers and duties established in 810 KAR 2:050 serving at a current meeting in the Commonwealth.

(22) "Lessee" means a licensed owner whose interest in a horse is a leasehold.

(23) "Licensee" means an individual, firm, association, partnership, corporation, limited liability company, trustee, or legal representative that has been duly issued a currently valid license to participate in racing in the Commonwealth.

(24) "Meeting" means the entire period of consecutive days, exclusive of dark days, granted by the corporation to a licensed association for the conduct of live horse racing that:

(a) Begins at 10 a.m. of the first racing day; and

(b) Extends through a period ending one (1) hour after the last scheduled race of the last day.

(25) "Mutuel entry" means a single betting interest involving two (2) or more horses entered in the same race and joined for pari-mutuel purposes because of common ties as to ownership or training so that a wager on one (1) horse joined in a mutuel entry is a wager on all horses joined in the same mutuel entry.

(26) "Nominal change in ownership" means the sale, pledge, encumbrance, execution of an option agreement, or any other transfer of less than five (5) percent of the equity securities or other ownership interest of a partnership, association, corporation, limited liability company, or other legal entity holding a license issued by the corporation.

(27) "Owner" means any person who holds, in whole or in part, any right, title, or interest in a horse, or any lessee of a horse, who has been duly issued a currently valid owner's license as a person responsible for the horse.

(28) "Pari-mutuel wagering," "mutuel wagering", or "pari-mutuel system of wagering" is defined by KRS 230.210.

(29) "Protest" means a written objection charging that a horse is ineligible to race, alleging improper entry procedures, or citing any act of an owner, trainer, driver, or official prohibited by rules which, if true, would exclude that horse or driver from racing.

(30) "Purse" means the gross cash portion of the prize for which a race is run.

(31) "Race" means a running contest between horses ridden by jockeys or driven by drivers at a recognized meeting, during regular racing hours, for a prize.

(32) "Racing official" means a corporation member, corporation staff, as duties require, and all association racing department employees, as duties require.

(33) "Result" means the part of the official order of finish in a race used to determine the parimutuel payoff of pari-mutuel pools.

(34) "Ruled off" means denial of entrance to premises of any association under jurisdiction of the corporation.

(35) "Rulings" means all determinations, decisions, or orders of the stewards or of the corporation duly issued in writing and posted.

(36) "Scratch" means the withdrawal of a horse entered for a race after the time of closing of entries for the race.

(37) "Simulcasting" is defined by KRS 230.210.

(38) "Steward" means a duly appointed racing official with powers and duties established in 810 KAR 2:040 serving at a current meeting in the Commonwealth.

(39) "Substantial change in ownership" means the sale, pledge, encumbrance, execution of an option agreement, or any other transfer of five (5) percent or more of the equity securities or other ownership interest of a partnership, association, corporation, limited liability company, or other legal entity holding a license issued by the corporation.

(40) "Suspended" means withdrawal of racing privileges by the stewards or corporation.

(41) "Totalizator" means the system, including hardware, software, communications equipment, and electronic devices, that accepts and processes the cashing of wagers, calculates the odds and prices of the wagers, and records, displays, and stores pari-mutuel wagering information.

(42) "USTA" means the United States Trotting Association.

(43) "Workout" means in flat racing the training exercise of a horse on the training track or main track of an association during which the horse is timed for speed over a specified distance.

(44) "Year" means twelve (12) consecutive months beginning with January and ending with December.

History

RELATES TO: KRS Chapter 230
STATUTORY AUTHORITY: KRS 230.215(2), 230.260(8)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) authorizes the Kentucky Horse Racing and Gaming Corporation to regulate conditions under which horse racing is conducted in Kentucky. KRS 230.260(8) authorizes the corporation to prescribe necessary and reasonable administrative regulations and conditions under which horse racing at a horse race meeting shall be conducted in this state. This administrative regulation defines the terms used in 810 KAR Chapter 3.
History: 45 Ky.R. 1901; 3104; eff. 5-31-2019; TAm eff. 7-1-2024; Crt eff. 5-20-2026.

810 KAR 3:010 Licensing of racing associations {#sec-810-kar-3-010 omnilex-key=us-ky-regs-official--title-810--810 KAR 3:010}

Section 1. Definitions.

(1) "Application" means Initial/Renewal Application for License to Conduct Live Horse Racing, Simulcasting, Pari-Mutuel Wagering, and Sports Wagering Form, KHRGC 3-010-1.

(2) "Applicant for operator license" means a person licensed as an association under KRS 230.300 who is eligible for an operator license pursuant to KRS 230.811.

(3) "Operator" means a sports wagering operator license applicant that has been granted a license.

(4) "Operator license" means a license to conduct, manage, or offer to conduct sports wagering within the Commonwealth of Kentucky, pursuant to KRS 230.811.

(5) "Occupational licensee" means a person holding a license authorized by KRS 230.210 and 809 KAR 1:003.

(6) "Principal" is defined by KRS 230.210(20).

(7) "Publicly traded corporation" means a corporation that:

(a) Has voting securities registered under Section 12 of the Securities Exchange Act of 1934 (1934 Act), 15 U.S.C. 78a et seq.;

(b) Issues securities subject to Section 15(d) of the 1934 Act;

(c) Has voting securities exempted from the registration requirements due to Section 3 of the Securities Act of 1933, 15 U.S.C. 77a et seq.; or

(d) Is required to file under the 1934 Act.

(8) "Service provider" is defined by KRS 230.210(30).

(9) "Sports wagering" is defined as established in KRS 230.210(28).

(10) "Substantial owner" is any person who owns five (5) percent or more of the business.

Section 2. Racing License Applications.

(1) New racing license applications. A person or legal entity desiring to conduct horse racing in the Commonwealth shall apply to the corporation for an association license pursuant to KRS 230.300(1).

(2) Renewal racing applications. Racing association licenses shall be renewed annually in accordance with KRS 230.300(1).

(3) An initial or renewal license application to conduct a horse racing meeting shall be submitted on the form Initial/Renewal Application for License to Conduct Live Horse Racing, Simulcasting, Pari-mutuel Wagering, and Sports Wagering, KHRGC 3-010-1.

(4) An applicant that is unable to provide information required on the application shall fully explain and document to the satisfaction of the corporation its inability to provide the information at the time of filing the application, and shall provide the information upon being able to do so.

Section 3. Racing License and Investigation Fees.

(1) Racing license fee.

(a) An applicant for an initial license shall submit with the application a non-refundable application fee of $5,000.

(b) A renewal applicant shall not be charged a fee to renew a racing association license, unless an investigation fee is authorized by subsection (2) of this section.

(2) Racing license investigation fees.

(a) With the application, initial applicants shall submit an investigation fee of $10,000.

(b)

The corporation may require a renewal applicant or an applicant proposing a substantial change in ownership to pay an investigation fee of $10,000 if:

a. The applicant or one (1) of its principals has not previously been subject to an investigation;

b. More than five (5) years has passed since the last investigation of the applicant or one (1) of its principals was conducted; or

c. The corporation finds other good cause for an investigation.

If an investigation fee is requested, the applicant shall submit a cashier's check or certified check payable to the corporation within ten (10) days of receipt of the request.

(d) Any portion of the investigation fee not required to complete the investigation shall be refunded to the applicant within twenty (20) days of the withdrawal, rejection, or approval of the license application or proposed change of ownership.

(e) If additional costs are incurred in the conduct of the investigation, the applicant shall submit a cashier's check payable to the corporation in the amount reasonably requested by the corporation within ten (10) days of receipt of the request. Failure to submit this payment shall result in suspension of processing the license application or proposed change of ownership and may result in denial of the license or proposed change of ownership.

Section 4. Racing Licensing Criteria.

(1) The corporation shall issue a racing license if it determines that:

(a) The applicant meets all requirements of KRS Chapter 230 and KAR Title 810;

(b) The applicant is qualified and financially capable of operating a race track;

(d) The applicant will conduct racing in accordance with the highest standards and the greatest level of integrity; and

(e) The issuance of a license will ensure the protection of the public interest.

(2) In reviewing an application, the corporation may consider any information, data, reports, findings, or other factors available and relevant to its determination of if the applicant is qualified to hold a license, including:

(a) The integrity of the applicant and its principals, including if the applicant and its principals:

Are unsuitable pursuant to KRS 230.280(2)(f);
Have been a party to litigation over business practices, disciplinary actions over a business license, or refusal to renew a license;
Have been a party to proceedings in which unfair labor practices, discrimination, or violation of government regulations pertaining to racing or gaming laws was an issue, or bankruptcy proceedings;
Have failed to satisfy judgments, orders, or decrees; and
Have been delinquent in filing tax reports or remitting taxes;

(b) The quality of physical facilities and equipment, including any improvements and equipment proposed or existing in the applicant's facility;

(d) The types and variety of pari-mutuel horse racing that the applicant proposes to offer;

(e) The financial ability of the applicant to develop, own, and operate a pari-mutuel facility successfully;

(f) If a new applicant, the status of governmental actions required to approve or facilitate the applicant's facility;

(g) The management ability of the applicant and its principals;

(h) Compliance of the applicant with applicable statutes and regulations, charters, or ordinances in all relevant jurisdictions, charters, or ordinances;

(i) The efforts of the applicant to promote, develop, and improve the horse racing industry in Kentucky;

(j) The impact of the facility upon the Commonwealth of Kentucky in:

Employment created, purchases of goods and services, public and private investment, and taxes generated;
Ecological and environmental impact;
Social impact; and
Cost of public improvements;

(k) The extent of public support or opposition to horse racing and pari-mutuel wagering at the location where the license is sought; and

(l) The effects of the location of the track, including the:

Number, nature, and relative location of other licensees; and
Minimum and optimum number of racing days sought by the applicant.

Section 5. Racing Date Assignments. In assigning racing meetings and race dates to applicants, the corporation shall consider factors relating to the economic and practical feasibility of conducting racing meetings at association race tracks, including:

(1) The types and dates of racing meetings held elsewhere, both within and outside of the Commonwealth;

(2) The effects that various types of pari-mutuel racing have upon one another;

(3) The quality of horse racing provided at other racetracks;

(4) Dates traditionally awarded racetracks in the past;

(5) The past performance of the licensee;

(6) If the licensee has complied with KRS Chapter 230 and KAR Title 810;

(7) If the assignment of racing dates will maximize revenues to the state;

(8) If the assignment of racing dates will adversely affect the public health, welfare, and safety;

(9) The projected stability of the racing dates to be awarded; and

(10) The stability of the racing circuit within and outside the Commonwealth.

Section 6. Racing License Applicant Presentation.

(1) An applicant that has submitted a completed license application and all accompanying fees may request to make a presentation of its application at a meeting of the corporation prior to the ruling on the application.

(2) The presentation shall be limited to information contained in the application and any supplemental information relevant to the applicant's suitability. The admission of supplemental information shall be subject to the discretion of the corporation.

Section 7. Additional Information. At any time prior to issuing a license, the corporation may request additional information if the information would assist the corporation in deciding whether or not to issue a license, including:

(1) Copies of any documents used by the applicant in preparing the application; and

(2) Contracts between the applicant and third parties related to operations.

Section 8. Change in Ownership.

(1) A change in ownership shall be reported to the corporation on the Kentucky Horse Racing and Gaming Corporation Racing Association Change of Control Form, KHRGC 3-010-2.

(2) Notice of a nominal change in ownership shall be filed with the corporation within fifteen (15) days of the execution of the documents upon which the proposed nominal change is based.

(3) Notice of a change of ownership shall not be required for:

(a) A nominal change in ownership if the licensee is a publicly traded corporation;

(b) The transfer of an ownership interest in an association, direct or indirect, whether substantial or nominal, if by a publicly traded corporation and the beneficial ownership is acquired by a person who will hold the voting securities of the publicly traded corporation for investment purposes only; or

(c) A debt transaction of a publicly traded corporation, unless the transaction results in the pledge or encumbrance of the assets or any portion thereof of the association.

(4) Notice of a substantial change in ownership shall be filed with the corporation prior to the execution of the documents upon which the proposed substantial change is based and shall constitute a request for approval of the change.

(a) Absent prior written approval from the corporation, a substantial change in ownership shall result in termination of the license.

(b) Any attempt to effect substantial change in ownership not in writing shall be considered void by the corporation.

Section 9. Material Modification of Proposed or Existing Facility. A new applicant or association with an existing facility shall not materially alter the grounds or facilities after a license has been issued for that facility without prior written approval of the corporation or, if designated by the corporation, the executive director of the corporation.

Section 10. Racing Licensee Late Fee.

(1) Failure of a licensee to conduct racing after the commencement date stated in the license shall be grounds for a late fee not to exceed $15,000 per day.

(2) The amount of the late fee shall be based on the economic impact caused by the licensee's failure to perform.

(3) The late fee shall not be imposed for a particular day if the licensee can prove to the satisfaction of the corporation that the cause of delay was:

(a) Beyond the control and without the fault or negligence of the licensee, its contractors, and subcontractors; or

(b) The default of a contractor or subcontractor, if:

Arising from causes beyond the control of the licensee, its contractors, and subcontractors; and
The supplies or services to be provided by the contractor or subcontractor were not obtainable from other sources in sufficient time for the licensee to meet the completion date.

Section 11. Sports Wagering Operator License Applications; Deadlines; Provision for 2023.

(1) A racing association shall not offer sports wagering without a valid license issued by the corporation.

(2) Initial applications. An applicant for an operator license in the Commonwealth shall apply to the corporation for an operator license pursuant to KRS 230.811.

(3) Renewal applications. An operator license shall be renewed annually in accordance with KRS 230.811.

(4) Except as established in Section 14 of this administrative regulation, an initial or renewal application for an operator license shall be submitted on the form, Initial/Renewal Application for License to Conduct Live Horse Racing, Simulcasting, Pari-Mutuel Wagering, and Sports Wagering Form, KHRGC 3-010-1.

(5) Initial operator licenses granted for sports wagering conducted in 2023 shall be effective through December 31, 2023.

(6) For sports wagering conducted in 2024 and thereafter, an application shall be filed with the corporation prior to September 1 of the preceding calendar year.

(7) For sports wagering conducted in 2023, operators that offer sports wagering in a licensed facility for sports wagering shall offer in-person sports wagering at their licensed facility for sports wagering starting on or after September 7, 2023. Operators shall not offer sports wagering via a Web site or mobile application before September 28, 2023.

Section 12. Operator License Fees.

(1) An applicant for an operator license shall submit the initial fee of $500,000 with its initial application for a license. The initial fee shall be non-refundable.

(2) An operator shall submit the renewal fee of $50,000 with a renewal application for their license. The renewal fee shall be non-refundable.

(3) Pursuant to KRS 230.811, the fees in this section shall be deposited into the fund established by KRS 230.817.

Section 13. Operator Licensing Criteria.

(1) The corporation shall issue an operator license if it determines that the applicant for an operator's participation as a sports wagering operator is in the best interests of sports wagering in Kentucky.

(2) In reviewing an application, the corporation may consider any information, data, reports, findings, or other factors available that it deems relevant to its determination of whether or not the applicant for an operator license is qualified to be an operator. The corporation shall consider, at a minimum, if:

(a) The applicant for an operator license has completed and filed an Initial/Renewal Application for License to Conduct Live Horse Racing, Simulcasting, Pari-Mutuel Wagering, and Sports Wagering Form, KHRGC 3-010-1;

(b) The applicant for an operator license meets all applicable requirements of KRS Chapter 230, KAR Title 810, and KAR Title 809;

(d) The applicant for an operator license will conduct sports wagering in accordance with KRS Chapter 230, KAR Title 810, and KAR Title 809;

(e) The applicant for an operator license will conduct sports wagering in a controlled environment that protects patrons from cheating and fraud; and

(f) The issuance of an operator license will ensure the protection of the public interest.

The corporation may authorize a temporary sports wagering operator license while determining suitability for the annual operator license.
The corporation shall consider at least the following factors in determining whether or not to issue a temporary operator license:

a. The information submitted by the applicant is sufficient to determine the applicant's suitability;

b. The applicant for an operator's history of offering pari-mutuel wagering in the Commonwealth; and

c. The history, if any, of the applicant for an operator license or its parent company of offering sports wagering or other gaming in other jurisdictions.

Section 14. Operator Application Procedures.

(1) An applicant for an operator license shall submit a fully executed original application.

(2) An application shall be deemed filed once the corporation has received the completed application forms, including the information and documentation required by the application, unless a waiver is granted pursuant to subsection (10) of this section.

(3) The completed applications shall be filed as established in paragraphs (a) through (c) of this subsection.

(a) Applicants for an operator license shall submit six (6) copies or electronically through the portal maintained by the corporation at https://khrc.ky.gov/Sportsbetting/newappwelcome.

(b) Applicants for an operator license shall submit the application to the corporation's office in Lexington, Kentucky.

(c) Applicants for an operator license shall submit the application prior to expiration of the deadlines established in Section 11 of this administrative regulation.

(4) An applicant for an operator license shall be under a continuing duty to disclose any changes in the information submitted to the corporation.

(5) Any operator that enters into a contract with a service provider to provide services in Kentucky shall provide notice to the corporation and a copy of the contract within fourteen (14) calendar days. If an operator has entered into a contract with a service provider to provide services in Kentucky, the operator shall attach the contract to its application for an operator's license. The operator shall provide notice to the corporation within fourteen (14) calendar days of any subsequent amendments, modifications, or revisions made to the contract.

(6) Any operator that enters into a contract with a information services provider to provide services in Kentucky shall provide notice to the corporation within fourteen (14) calendar days of entry into the contract and, as requested by the corporation, a copy of the contract. If an operator has entered into a contract with an information services provider to provide services in Kentucky, the operator shall attach the contract to its application for an operator's license. The operator shall provide notice to the corporation within fourteen (14) calendar days of any subsequent amendments, modifications, or revisions made to the contract.

(7) If an occupational licensee ceases to offer goods and services to an operator licensee, then the operator licensee shall notify the corporation.

(8) An application shall include at least:

(a) The name, address, and business structure of the applicant for an operator license;

(b) A Multi Jurisdictional Key Employee License Form, incorporated by reference in 809 KAR 1:003, for a substantial owner or key person;

(c) A description of all sports wagering services, equipment, devices, and supplies used by the applicant for an operator;

(d) Contracts with service providers or occupational licensees, which are related to the sports wagering;

(e) Disclosure of any criminal, civil, or administrative action brought against the applicant for an operator license;

(f) Description of all other licenses held by the applicant for an operator license;

(g) Internal controls related to the conduct of sports wagering;

(h) The applicant for an operator's license shall submit audited financial statements for each of the three (3) fiscal years immediately preceding the application.

(i) If the applicant for an operator's license does not have audited financial statements, the applicant shall provide audited financial statements of its parent company and the applicant's unaudited financial statements, which document the applicant's financial performance, assets, and liabilities, including:

A balance sheet;
An income statement;
A cash flow statement;
A statement of retained earnings; and
Notes for financial statements.

(j) Organizational and ownership charts of the applicant for an operator license; and

(k) Information regarding all testing, certifications, or approvals on any component used by the applicant for an operator license to provide sports wagering services.

(9)

(a) For applicants for an operator license in 2024 and subsequent years, internal controls shall be produced to the corporation simultaneously with licensure applications.

(b) For 2023 applicants for an operator license, internal controls shall be produced to the corporation thirty (30) days before the applicant for an operator license intends to begin accepting sports wagers.

(c) Sports wagers shall not be offered by an applicant for an operator license until the corporation has approved its internal controls or otherwise issued a temporary license pursuant to Section 13 of this administrative regulation.

(10)

(a) Submission of the application fee and pages 23 through 31 of Form KHRGC 3-010-1 on or before August 1, 2023, shall constitute an application to provide sports wagering in 2023.

(b) Starting in 2023, submission of the application fee and the entire Form KHRGC 3-010-1 on or before October 1 shall constitute an application to provide live horse racing, simulcasting, pari-mutuel wagering, and sports wagering in the subsequent year.

(11) The corporation may grant an applicant for an operator license a waiver to submit all or part of the required information if it deems that the applicant for an operator license has already submitted the information as a part of the application required under this administrative regulation. An applicant for an operator license shall request this waiver in advance of submitting an application under this chapter and provide written justification for each waiver sought.

Section 15. Operator License Requirements.

(1) A license issued under this chapter shall include, at a minimum:

(a) The applicant for an operator's license name and business address;

(b) License number assigned by the corporation;

(d) Date the license was issued;

(e) The date that the license will expire; and

(f) A reference to the conditions placed on the license.

(2) The operator license shall remain the property of the corporation at all times and the corporation may:

(a) Take licensure action. Licensure action shall be as established in 810 KAR 10:008; and

(b) Issue conditions for the license.

Section 16. Applicant for an Operator License Presentation.

(1) An applicant for an operator license that has submitted a completed license application and all accompanying fees may request to make a presentation of its application at a meeting of the corporation prior to the ruling on the application.

(2) The presentation shall be limited to information contained in the application and any supplemental information relevant to the applicant for an operator's suitability. The admission of supplemental information shall be subject to the discretion of the corporation, in the best interests of sports wagering in the Commonwealth.

Section 17. Joint Ventures. Two (2) or more associations licensed under KRS 230.805 may conduct sports wagering together as part of a joint venture or pursuant to an agreement between them. A joint venture agreement or contract shall be submitted to the corporation within five (5) days of the effective date.

Section 18. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Initial/Renewal Application for License to Conduct Live Horse Racing, Simulcasting, Pari-mutuel Wagering, and Sports Wagering Form", KHRGC 3-010-1, 11/2023; and

(b) "Kentucky Horse Racing and Gaming Corporation Racing Association Change of Control Form", KHRGC 3-010-2, 11/2018.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Horse Racing Commission, 4047 Iron Works Parkway, Lexington, Kentucky 40511, Monday through Friday, 8 a.m. to 4:30 p.m. This material may also be obtained at the corporation's Web site at http://khrc.ky.gov.

History

RELATES TO: KRS 230.215, 230.260, 230.280, 230.290, 230.300, 230.320, 230.811, 230.817, 15 U.S.C. 77a, 78a
STATUTORY AUTHORITY: KRS 230.215(2), 230.260(9), 230.280, 230.300(1), (9), 230.811
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) authorizes the Kentucky Horse Racing and Gaming Corporation to promulgate regulations prescribing conditions under which all legitimate horse racing and wagering thereon is conducted in the Commonwealth. KRS 230.280(1) requires any person conducting a horse race meeting for any stake, purse, or reward within the Commonwealth to obtain the required license from the corporation. KRS 230.260(9) authorizes the corporation to promulgate by administrative regulation, application forms for licenses. KRS 230.300 authorizes the corporation to issue licenses to conduct race meetings. KRS 230.811 requires all applicants for a sports wagering operator's license to apply to the corporation. KRS 230.260(16) requires the corporation to promulgate administrative regulations to establish standards for the conduct of sports wagering. This administrative regulation establishes licensing application procedures and requirements for conducting horse racing at horse race meetings in the Commonwealth and establishes licensing application procedures and requirements for a licensed racing association to obtain a sports wagering operator's license and offer sports wagering in the Commonwealth.
History: 45 Ky.R. 1892; 3096; eff. 5-31-2019; 50 Ky.R. 462, 1354, 1527; eff. 4-2-2024; TAm eff. 7-1-2024.

810 KAR 3:020 Licensing of racing participants {#sec-810-kar-3-020 omnilex-key=us-ky-regs-official--title-810--810 KAR 3:020}

Section 1. Definitions.

(1) "Person" means an individual, proprietorship, firm, partnership, joint venture, joint stock company, syndicate, business, trust, estate, company, corporation, limited liability company, association, club, committee, organization, lessor, lessee, racing stable, farm name, or other group of persons acting in concert.

(2) "Restricted area" means a portion of association grounds to which access is limited to licensees whose occupation or participation requires access, and to those individuals accompanying a licensee as allowed by the association, corporation, stewards, or judges.

Section 2. Persons Required to Be Licensed.

(1) A person shall not participate in pari-mutuel racing under the jurisdiction of the corporation without a valid license issued by the corporation.

(2) License categories shall include:

(a) Allied Animal Health Professional Animal Chiropractor;

(b) Allied Animal Health Professional Equine Dental Provider;

(d) Association employee;

(e) Claiming;

(f) Corporation employee;

(g) Corporation member;

(h) Driver;

Qualifying-fair (QF) license;
Provisional (P) license; and
Full (A) license;

(i) Driver/trainer;

(j) Equine therapist;

(k) Exercise rider;

(l) Farm manager;

(m) Farrier;

(n) Farrier apprentice;

(o) Jockey;

(p) Jockey agent;

(q) Jockey apprentice;

(r) Matinee driver;

(s) Mutuel employee;

(t) Owner;

(u) Owner/assistant trainer;

(v) Owner/driver;

(w) Owner (Temporary);

(x) Owner/trainer;

(y) Owner/trainer/driver;

(z) Racing official;

(aa) Special event employee;

(bb) Stable agent;

(cc) Stable employee;

(dd) Steeplechase jockey;

(ee) Trainer;

(ff) Vendor;

(gg) Vendor employee;

(hh) Veterinarian;

(ii) Veterinary assistant; and

(jj) Veterinary technologist or technician.

(3) A person working at a licensed racing association in the Commonwealth shall obtain a valid license issued by the corporation. The president, the chief racing steward, the presiding judge, or their designee may refuse entry or scratch any horse involving any person who, after being requested to obtain a valid license, fails or is unable to obtain a license.

(4)

(a) A person required to be licensed shall submit:

A completed written application on the form Licensing Application, 3-020-1, or a multi-jurisdictional license form pursuant to Section 8 of this administrative regulation; or
A written request for a waiver of the requirements of this paragraph and Section 6 of this administrative regulation for a person holding another individual license issued by the Corporation.

(b) A written request for a waiver shall include at least:

The name and contact information of the waiver applicant;
All horse racing and gaming licenses issued to the waiver applicant; and
The waiver applicant's current position and job description.

Current horse racing and gaming licenses issued to the waiver applicant; and
Best interests and integrity of horse racing, pari-mutuel wagering, and sports wagering.

(d) A temporary license may be obtained by an authorized representative of an owner in accordance with Section 18 of this administrative regulation.

Section 3. General License Application Requirements for All Applicants.

(1) Any person required to be licensed by Section 2 of this administrative regulation and desiring to participate in horse racing in the Commonwealth may apply to the corporation for a license.

(2)

(a) An application, or request for a waiver in accordance with Section 2, may be submitted on or after October 1 of the calendar year preceding the calendar year in which the license is to be in force.

(b) An application, or request for a waiver in accordance with Section 2, shall be submitted no later than twenty-four (24) hours after an applicant has arrived on association grounds, unless a temporary license is obtained in accordance with Section 18 of this administrative regulation.

(c) The license application, or request for a waiver in accordance with Section 2, shall be reviewed and, if approved, the license issued by corporation personnel.

(3) Information provided on or with a license application shall be complete and correct. Material misrepresentation by a license applicant or his or her agent shall result in one (1) or both of the following penalties. An immediate:

(a) License suspension, revocation, refusal, or denial; or

(b) Imposition of a fine by the corporation, chief racing steward, or presiding judge.

(4)

(a) An applicant for licensing shall be a minimum of sixteen (16) years of age except as provided by paragraph (b) of this subsection. An applicant may be required to submit a certified copy of his or her birth certificate or work permit.

(b) The corporation may grant an owner's license to a person less than sixteen (16) years of age if the person's parent or legal guardian is licensed by the corporation. An application under this subsection shall be signed by the applicant's parent or legal guardian in the presence of one (1) or more of the stewards or judges.

(5) An application from a person or other entity consisting of more than one (1) individual person desiring to race horses in the Commonwealth shall, upon request, in addition to designating the person or persons representing the entire ownership of the horses, be accompanied by documents that fully disclose the identity, degree, and type of ownership held by all individual persons who own or control a present or reversionary interest in the horses.

(6) The corporation shall notify an applicant that the license has been issued or denied. If all requirements for licensure are met, a license shall be issued to the license applicant.

Section 4. Additional Licensing Requirements for Standardbred Driver's License.

(1) A person desiring to drive a harness horse at a race meeting licensed by the corporation shall obtain a license from:

(a) The corporation; and

(b) The United States Trotting Association, Standardbred Canada, or appropriate international harness racing governing agency.

(2) Corporation licenses. A driver's license from the corporation shall be issued in one of the following categories:

(a) A qualifying-fair (QF) license, which shall be valid for fairs, matinees, qualifying races, and if approved by the presiding judge, nonwagering races at extended pari-mutuel meetings;

(b) A provisional (P) license, which shall be valid at fairs, matinees, qualifying races, and extended pari-mutuel meetings; or

(3) License advancement. An applicant shall initially obtain a qualifying-fair license. Advancement to a provisional license and a full license shall be determined by Rule 17, Sections 1 through 10, of the United States Trotting Association, 2009/2010.

(4) General qualifications. An applicant for a driver's license shall:

(a)

Be at least sixteen (16) years of age for a (QF) license;
Be at least eighteen (18) years of age for a (P) or (A) license; and
Not be denied a driver's license solely on the basis of age if the applicant has previously held any type of license; and

(b) Submit satisfactory evidence of an eye examination indicating:

20/40 corrected vision in both eyes; or
If one (1) eye is blind, at least 20/30 corrected vision in the other eye.

Section 5. Additional Licensing Requirements for Specific Licenses.

(1) Veterinary personnel.

(a) An application from a person desiring to treat, prescribe for, or attend to any horse on association grounds as a practicing veterinarian shall be accompanied by evidence that the person is currently licensed as a veterinarian by the Kentucky Board of Veterinary Examiners.

(b) An application from a person desiring to work on association grounds as a veterinary technologist or veterinary technician shall be accompanied by:

Evidence that the person is currently registered as a veterinary technologist or veterinary technician by the Kentucky Board of Veterinary Examiners; and
A Veterinarian Approval Form, KHRGC 3-020-4, signed by a licensed veterinarian certifying that the applicant is working for the veterinarian as required by KRS 321.441.

(c) An application from a veterinary assistant shall be accompanied by a Veterinarian Approval Form, KHRGC 3-020-4, signed by a licensed veterinarian certifying that the applicant works for him or her as required by KRS 321.443.

(d) Equine therapist. An equine therapist who does not fall into a licensure category defined by KRS Chapter 321 shall include with their license application a Veterinarian Approval Form, KHRGC 3-020-4, detailing their specialization and experience, and signed by a licensed veterinarian attesting to the skill and integrity of the applicant.

(2) Farriers. An application from a person not previously licensed in the capacity of farrier shall submit a diploma or other document signifying successful completion of a farrier course or examination recognized by the American Farrier's Association, or submit a letter of recommendation from a licensed farrier.

(3) Standardbred Licensees.

(a) A standardbred owner, trainer, owner/trainer, driver, driver/trainer, owner/trainer/driver, or owner/driver shall have a valid license issued by the United States Trotting Association, Standardbred Canada, or other appropriate international harness racing governing agency in order to participate in pari-mutuel racing in Kentucky.

(b) Any standardbred horse under lease shall race in the name of the lessee, and a copy of the lease shall be filed with the clerk of the course. A standardbred horse shall not race under lease without an eligibility certificate issued by the United States Trotting Association, Standardbred Canada, or other appropriate international harness racing governing agency in the name of the lessee. Both the lessee and lessor shall be licensed by the corporation prior to post.

(c) If any licensed standardbred trainer is absent from a racing meet for more than six (6) days, the trainer shall appoint and have properly licensed a new trainer of record.

(4) Farm manager or stable agent. An application from a person desiring a license as a farm manager or stable agent shall be accompanied by evidence of that person's position with a farm or stable.

(5) Special event licenses.A special event license shall be:

(a) Issued to employees who are employed by an association only for the duration of a special event; and

(b) Valid for the days of the event only.

Section 6. Licensing Fees.

(1) Except as provided by subsection (2) of this section, the following annual fees shall accompany the application and shall not be refundable:

(a) Allied Animal Health Professional:

Animal Chiropractor:

a. For thoroughbreds: $100;

b. For standardbreds: $100;

c. For quarter horses: $50; or

d. For other breeds: $50; or

Equine Dental Provider:

a. For thoroughbreds: $100;

b. For standardbreds: $100;

c. For quarter horses: $50; or

d. For other breeds: $50;

(b) Assistant trainer:

For thoroughbreds: $150;
For standardbreds: $125;
For quarter horses: $50; or
For other breeds: $35;

For thoroughbreds: $25;
For standardbreds: $25;
For quarter horses: $25; or
For other breeds: $10;

(d) Claiming: $150;

(e) Driver: $125;

(f) Driver/trainer: $125;

(g) Equine therapist:

For thoroughbreds: $50;
For standardbreds: $50;
For quarter horses: $50; or
For other breeds: $25;

(h) Exercise rider: $10;

(i) Farm manager:

For thoroughbreds: $50;
For standardbreds: $50;
For quarter horses: $50; or
For other breeds: $25;

(j) Farrier:

For thoroughbreds: $100;
For standardbreds: $100;
For quarter horses: $50; or
For other breeds: $35;

(k) Farrier apprentice:

For thoroughbreds: $50;
For standardbreds: $50;
For quarter horses: $50; or
For other breeds: $25;

(l) Jockey:

For thoroughbreds: $150;
For quarter horses: $50; or
For other breeds: $35;

(m) Jockey agent:

For thoroughbreds: $150;
For quarter horses: $50; or
For other breeds: $35;

(n) Jockey apprentice:

For thoroughbreds: $100;
For quarter horses: $50; or
For other breeds: $35;

(o) Matinee driver: $125;

(p) Mutuel employee:

For thoroughbreds: $50;
For standardbreds: $50;
For quarter horses: $25; or
For other breeds: $20;

(q) Owner:

For thoroughbreds: $150;
For standardbreds: $125;
For quarter horses: $50; or
For other breeds: $35;

(r) Owner/assistant trainer:

For thoroughbreds: $150;
For standardbreds: $125;
For quarter horses: $50; or
For other breeds: $35;

(s) Owner/driver: $125;

(t) Owner (temporary):

For thoroughbreds: $150;
For standardbreds: $125; or
For other breeds: $35;

(u) Owner/trainer:

For thoroughbreds: $150;
For standardbreds: $125;
For quarter horses: $50; or
For other breeds: $35;

(v) Owner/trainer/driver: $125;

(w) Racing official:

For thoroughbreds: $100;
For standardbreds: $100;
For quarter horses: $50; or
For other breeds: $35;

(x) Special event employee: $10;

(y) Stable agent: $50;

(z) Stable employee: $10;

(aa) Steeplechase jockey: $150;

(bb) Trainer:

For thoroughbreds: $150;
For standardbreds: $125;
For quarter horses: $50; or
For other breeds: $35;

(cc) Vendor:

For thoroughbreds: $50;
For standardbreds: $50;
For quarter horses: $50; or
For other breeds: $25;

(dd) Vendor employee: $25;

(ee) Veterinarian:

For thoroughbreds: $150;
For standardbreds: $125;
For quarter horses: $50; or
For other breeds: $35;

(ff) Veterinary assistant:

For thoroughbreds: $50;
For standardbreds: $50;
For quarter horses: $25; or
For other breeds: $25; or

(gg) Veterinary technologist or technician:

For thoroughbreds: $50;
For standardbreds: $50;
For quarter horses: $25; or
For other breeds: $25.

(2) A military spouse meeting the requirements of KRS 12.357(1) shall not be required to pay the licensure fee if:

(a) The fee waiver is requested on the Licensing Application form, 3-020-1; and

(b) The documentation required by KRS 12.357(2) is submitted with the application.

(3) A replacement fee for a duplicate license shall be ten (10) dollars, except that this fee shall be waived for the first duplicate license issued during any calendar year.

Section 7. Fingerprinting.

(1) If requested by the corporation, a license applicant shall submit to the corporation a set of fingerprints or submit to fingerprinting prior to issuance of a license.

(2) If the license applicant has been fingerprinted in the Commonwealth or another racing jurisdiction within the five (5) years preceding the date of the license application, then the corporation may accept the previous fingerprints or require new fingerprints.

(3) The cost of fingerprinting and fingerprint analysis shall be paid by the license applicant.

Section 8. Multi-state/National Licenses.

(1) In lieu of the corporation license application form, an applicant may submit an ARCI Multi-Jurisdiction Racing License Owner's Application, www.arci.com, the National Racing License Application, www.racinglicense.com, or Renewal Application.

(2) The corporation shall accept a multi-state or national license if the license complies with licensing requirements in this administrative regulation and KRS Chapter 230.

Section 9. Consent to Investigate by License Applicants and Licensees. After an applicant files a license application, the corporation may:

(1) Investigate the criminal background, employment history, and racing history record of the applicant;

(2) Engage in research and interviews to determine the applicant's character and qualifications; and

(3) Verify information provided by the applicant.

Section 10. Search and Seizure.

(1) The corporation or designee may search any location described in KRS 230.260(7).

(2) The corporation or designee may seize any medication, drug, substance, paraphernalia, object, or device in violation or suspected violation of KRS Chapter 230 or KAR Title 810.

(3) A licensee shall:

(a) Cooperate with the corporation or designee during an investigation; and

(b) Respond correctly to the best of the licensee's knowledge if questioned by the corporation or designee about a racing matter.

(4) A licensee shall consent to out-of-competition testing in accordance with 810 KAR 8:040.

Section 11. Employer Responsibility.

(1)

(a) An employer shall not employ an unlicensed person for a position that requires a license under KRS 230.300 or 230.310 or this administrative regulation.

(b) If an employer violates subsection (a) of this subsection, the employer may be fined or have his or her license suspended, denied, or revoked as established in KRS Chapter 230 or KAR Title 810.

(2) Every employer shall report in writing to the corporation or its designee, within twenty-four (24) hours, the discharge of any licensed employee, including the employee's name, occupation, and reason for the discharge.

(3) Every employer shall be responsible for ensuring compliance with all applicable employment laws.

(4) The license application of an employee shall be signed by the employer.

(5) A licensed employer shall carry workers' compensation insurance covering his or her employees as required by KRS Chapter 342.

Section 12. Financial Responsibility.

(1) A licensee shall maintain financial responsibility during the period for which the license is issued.

(2) A licensee's failure to satisfy a final judgment rendered against him or her by a Kentucky court, or a domesticated judgment from another jurisdiction, for goods, supplies, services, or fees used in the course of any occupation for which a license is required by this administrative regulation shall constitute a failure to meet the financial responsibility requirements of KRS 230.310(1)(c) and (2)(c).

(3) If the licensee fails to show just cause for his or her failure to satisfy the judgment, then his or her license may be suspended or revoked until the licensee provides written documentation of satisfaction of the judgment.

(4) An applicant for a license may be required to submit evidence of financial responsibility to the corporation if a judgment has been rendered against him or her.

Section 13. Voluntary Withdrawal of License Application.

(1) A license applicant may, with the approval of the license review committee, voluntarily withdraw his or her license application from the license review process.

(2) If the applicant chooses to voluntarily withdraw his or her application, then the withdrawal shall not constitute a denial or suspension of a license and shall be without prejudice.

(3) The stewards or judges shall issue a ruling noting a withdrawal, and the ruling shall be communicated to the Association of Racing Commissioners International.

Section 14. License Review Committee.

(1) The president, chief racing steward, presiding judge, or director of licensing may refer a license application to the license review committee in lieu of denying the application.

(2) The license review committee shall be composed of the president or designee, the director of licensing or designee, the chief state steward or presiding judge or their designee, and at least one (1) other corporation member or corporation staff member as designated by the president. At least three (3) members of the committee shall participate in any license review committee meeting.

(3) If a referral to the committee is made, then a license shall not be issued until the committee makes a favorable ruling on the license application.

(a) The applicant may be required by the committee to appear personally.

(b) If the committee is unable to make a favorable ruling on the license application, then the committee may give the license applicant the opportunity to voluntarily withdraw his or her license application in accordance with Section 13 of this administrative regulation.

(c) If the license applicant is given the opportunity to withdraw his or her application and does not wish to do so, then the committee shall deny the application.

(4) A denial of a license application may be appealed in accordance with KRS Chapter 13B.

(5) In the alternative, the corporation, the license review committee, or the president may refer the case directly to the corporation without denial or approval of the application.

Section 15. License Denial, Revocation, or Suspension.

(1) The corporation, president, chief racing steward or presiding judge, or director of licensing may deny a license application, and the corporation or chief state steward or presiding judge may suspend or revoke a license, or otherwise penalize in accordance with KRS 230.320(1) a licensee, or other person participating in horse racing, for any of the following reasons:

(a) The public interest, for the purpose of maintaining proper control over horse racing meetings or pari-mutuel wagering, might be adversely affected if the license is issued;

(b) The licensee or applicant has any felony or misdemeanor criminal conviction from any jurisdiction, including having entered into any form of diversionary program, if all requirements of KRS 335B.010 et seq. are satisfied;

(c) The licensee or applicant has pending criminal charges or is criminally charged during the license period in any jurisdiction;

(d) The licensee or applicant has had a license issued by the legally constituted racing or gaming corporation of a state, province, or country denied, suspended, or revoked;

(e) The licensee or applicant has had a license issued by the Commonwealth revoked, suspended, or denied;

(f) The licensee or applicant has applied for and received a license issued by the corporation at less than sixteen (16) years of age, except as permitted in Section 3(4)(b) of this administrative regulation;

(g) The licensee or applicant has made a material misrepresentation, falsification, or omission of information in an application for a license;

(h) The licensee or applicant has been ejected or excluded from racing association grounds in the Commonwealth of Kentucky or a racetrack in any jurisdiction;

(i) The licensee or applicant has violated or attempted to violate a statute, administrative regulation, or similar rule respecting horse racing in any jurisdiction;

(j) The licensee or applicant has perpetrated or attempted to perpetrate a fraud or misrepresentation in connection with the racing or breeding of a horse or pari-mutuel wagering;

(k) The licensee or applicant has caused, attempted to cause, or participated in any way in an attempt to cause the pre-arrangement of a race result, or has failed to report knowledge of this kind of activity immediately to the stewards or judges;

(l) The licensee or applicant has failed to demonstrate financial responsibility as required by Section 12 of this administrative regulation;

(m) The licensee or applicant has knowingly failed to disclose to the corporation complete ownership or beneficial interest in a horse entered to be raced;

(n) The licensee or applicant has misrepresented or attempted to misrepresent facts in connection with the sale of a horse or other matter pertaining to horse racing or registration of a horse;

(o) The licensee or applicant has offered, promised, given, accepted, or solicited a bribe in any form, directly or indirectly, to or by a person having any connection with the outcome of a race, or failed to report conduct of this nature immediately to the stewards or judges;

(p) The licensee or applicant has abandoned, mistreated, abused, neglected, or engaged in an act of cruelty to a horse;

(q) The licensee or applicant has engaged in conduct that is against the best interest of horse racing or compromises the integrity of operations at a track, training facility, or satellite facility;

(r) The licensee or applicant has knowingly entered, or aided and abetted the entry, of a horse ineligible or unqualified for the race entered;

(s) The licensee or applicant has possessed on association grounds, without written permission from the corporation or the chief state steward or presiding judge, any appliance or device, other than an ordinary crop, which could be used to alter the speed of a horse in a race or workout;

(t) The licensee or applicant has violated any of the alcohol or substance abuse provisions in KRS Chapter 230 or 810 KAR 2:030;

(u) The licensee or applicant has failed to comply with a written order or ruling of the corporation, the stewards, or the judges pertaining to a racing matter or investigation;

(v) The licensee or applicant has failed to answer truthfully questions asked by the corporation or its representatives pertaining to a racing matter;

(w) The licensee or applicant has failed to return to an association any purse money, trophies, or awards paid in error or ordered redistributed by the corporation;

(x) The licensee or applicant has participated in or engaged in any conduct of a disorderly nature on association grounds, including:

Failure to obey orders from the stewards,judges, or other officials that are expressly authorized by KAR Title 810;
Failure to race when programmed unless excused by the stewards or judges;
Fighting;
Assaults;
Offensive and profane language;
Smoking on the track while in colors during actual racing hours;
Warming up a horse without colors prior to racing; and
Disturbing the peace;

(y) The licensee or applicant has used profane, abusive, or insulting language to or interfered with a corporation member, employee or agent, or racing official, while these persons were in the course of discharging their duties;

(z) The licensee or applicant is unqualified to perform the duties for which the license is issued;

(aa) The licensee or applicant has discontinued or is ineligible for the activity for which the license is to be issued, or for which a previous or existing license was issued;

(bb) The licensee or applicant has made a material misrepresentation in the process of registering, nominating, entering, or racing a horse as Kentucky owned, Kentucky bred, or Kentucky sired;

(cc) The licensee or applicant has failed to pay a required fee or fine, or has otherwise failed to comply with KRS Chapter 230 or KAR Title 810;

(dd) The licensee or applicant has failed to comply with a written directive or ruling of the corporation or the chief state racing steward or presiding judge;

(ee) The licensee or applicant has failed to advise the corporation of changes in the application information as required by Section 17 of this administrative regulation;

(ff) The licensee or applicant has failed to comply with the temporary license requirements of Section 18 of this administrative regulation;

(gg) The licensee or applicant has violated the photo identification badge requirements of Section 21 of this administrative regulation;

(hh) The licensee or applicant has knowingly aided or abetted any person in violation of KRS Chapter 230, KAR Title 810, or any other statute or administrative regulation pertaining to horse racing;

(ii) The licensee or applicant has hired an unlicensed person required by KRS 230.300, 230.310, or this administrative regulation to be licensed;

(jj) The licensee or applicant, being a person other than a licensed veterinarian, has possessed on association grounds:

A hypodermic needle, hypodermic syringe, or other device that could be used to administer any substance to a horse, except as permitted by 810 KAR 8:010, Section 3(5); or
A medication, stimulant, sedative, depressant, local anesthetic, or any substance prohibited by KRS Chapter 230 or KAR Title 810; or

(kk) The licensee or applicant has manufactured, attempted to manufacture, or possessed a false license photo identification badge.

(2) A license suspension, revocation, or denial shall be reported in writing to the applicant by the chief steward or presiding judge, and to the ARCI by the Division of Licensing, to ensure that other racing jurisdictions shall be advised of the license suspension, revocation, or denial.

(3) A licensee or applicant may appeal the suspension, revocation, or denial. Appeals shall be in accordance with KRS 230.320 and Chapter 13B.

Section 16. Reciprocity.

(1) If a person's license has been denied, suspended, or revoked in another jurisdiction, the corporation may require reinstatement of the license in that jurisdiction before a license is granted by the corporation.

(2) If a person has been excluded, or ejected from a racetrack in Kentucky or in another jurisdiction, the corporation may require reinstatement of the person at that track before a license is granted by the corporation.

Section 17. Changes in Application Information.

(1) The licensee or applicant shall report changes in any information required for licensing in writing to the corporation.

(2) Except as established in subsection (3) of this section, any change in information required for licensing shall be submitted in writing upon the Change in Application Information Form, KHRGC 3-020-3, signed by the licensee, and filed at the corporation central office, within thirty (30) days of the change.

(3) The licensee shall report changes in information in writing within seventy-two (72) hours of the occurrence of:

(a) Criminal charges;

(b) Criminal convictions;

(d) License revocations or fines of $1,000 or more in other jurisdictions;

(e) Racing-related disciplinary charges pending in any jurisdiction; and

(f) Withdrawal, with or without prejudice, of a license application by the licensee in any jurisdiction.

Section 18. Temporary Licenses.

(1)

(a) Only an owner shall be eligible for a temporary license.

(b) A horse in a trainer's care shall not start in a race unless the owner has a current license or has an application for a temporary license, Temporary Owner's License Application, KHRGC 3-020-2, on file with the corporation.

(c) A licensed trainer or their designee may apply for a temporary license on behalf of an owner for whom the licensed trainer trains.

(d) A temporary license shall be valid for no more than thirty (30) days from the date of issuance and shall automatically lapse after the 30th day pending completion of all licensing procedures.

(e) Upon expiration of the thirty (30) day temporary license, the owner's license shall be suspended or the owner's horses shall be ineligible to race in Kentucky pending completion of all licensing procedures.

(f) Completion of all owner licensing procedures prior to the expiration of the temporary license shall extend the owner's license to the end of the calendar year.

(g) If a temporary license expires prior to the completion of all owner licensing procedures, the applicant shall pay the licensing fee again.

(2) An owner shall not be eligible to be issued more than one (1) temporary license in any calendar year.

(3) A temporary license shall not be valid for claiming.

Section 19. Eligibility for Multiple Licenses. More than one (1) license to participate in horse racing may be granted to a person unless prohibited by Section 20 of this administrative regulation due to a potential conflict of interest.

Section 20. Conflict of Interest.

(1) The license review committee and the chief state steward or presiding judge or their designees shall deny or refuse to process the license of a person, and the corporation or the chief state steward or presiding judge shall revoke or suspend the license of a licensee, who is determined to have a conflict of interest. A conflict of interest may exist if a spouse, immediate family member, or other person in a similar relationship to the licensee or applicant holds a license that the license review committee or chief state steward or presiding judge finds to be a conflict of interest with the licensee's or applicant's license. A finding of a conflict of interest may be appealed to the corporation pursuant to KRS 230.320 and KRS Chapter 13B.

(2) A racing official who is an owner of either the sire or dam of a horse entered to race shall not act as an official during that race.

(3) A person who is licensed as an owner or trainer, or who has any financial interest in a horse entered in a race, shall not participate in that race as any of the following:

(a) Racing official;

(b) Assistant starter;

(d) Veterinary technician, veterinary technologist, veterinary assistant, or equine therapist for any horse other than the owner's;

(e) Officer or managing employee;

(f) Track maintenance supervisor or employee;

(g) Outrider;

(h) Race[]track security employee;

(i) Farrier;

(j) Photo finish operator;

(k) Horsemen's bookkeeper;

(l) Racing chemist;

(m) Testing laboratory employee;

(n) Jockey;

(o) Apprentice jockey; or

(p) Jockey agent.

Section 21. License Photo Identification Badges.

(1)

(a) If a licensee desires access to restricted areas of a racing association grounds, then the licensee shall carry on his or her person at all times within the restricted area his or her assigned corporation license (photo identification badge).

(b) A photo identification badge shall be available to a licensee upon presentation of appropriate, valid photo identification by the licensee to corporation personnel at corporation licensing offices.

(2) A person shall present an appropriate license to enter a restricted area.

(3) The stewards or judges or racing association may require visible display of a license in a restricted area.

(4) A license may only be used by the person to whom it is issued, and a licensee shall not allow another person to use his or her badge for any purpose.

(5) Licensee credentials, such as photo identification badges, shall be the property of the corporation and shall be surrendered to the president, the stewards or judges, the corporation director of enforcement, or director of licensing, or designee, upon request.

Section 22. Duties of Licensees.

(1) A licensee shall be knowledgeable of this administrative regulation and, by acceptance of the license, agrees to comply with this administrative regulation.

(2) A licensee shall report to track security or the stewards or judges any knowledge the licensee has that a violation of this administrative regulation has occurred or might occur.

(3) A licensee shall comply with all rulings and decisions of the stewards or judges and the corporation, and all decisions by the stewards or judges and the corporation shall remain in force unless reversed or modified by the corporation or a court of competent jurisdiction upon proper appeal pursuant to KRS 230.330.

(4) Rulings and decisions of the stewards or judges may be appealed to the corporation, except those made by the stewards or judges as to:

(a) Findings of fact as occurred during and incident to the running of a race; and

(b) A determination of the extent of disqualification of horses in a race for fouls committed during the race.

(5) A licensee shall cooperate fully with all investigations and inquiries made by corporation representatives or association security, or both.

(6) A licensee shall comply with instructions from corporation representatives or association security, or both.

(7) All licensees shall immediately report to the corporation any known or suspected irregularities, or any violation of KRS Chapter 230 or KAR Title 810, and shall cooperate in any subsequent investigation.

Section 23. Common Law Rights of Associations. The validity of a license shall not preclude or infringe on the common law rights of associations to eject or exclude persons, licensed or unlicensed, from association grounds.

Section 24. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Licensing Application", KHRGC 3-020-1, 02/2022;

(b) "Temporary Owner's License Application", KHRGC 3-020-2, 11/2018;

(d) "Veterinarian Approval Form", KHRGC 3-020-4, 4/2019; and

(e) "Rule 17, Sections 1 through 10", United States Trotting Association, 2009/2010.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Horse Racing and Gaming Corporation, 4047 Iron Works Parkway, Lexington, Kentucky 40511, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available at http://khrc.ky.gov.

History

RELATES TO: KRS 12.357, 13B, 230.215, 230.260, 230.280, 230.290, 230.300, 230.310, 230.320, 230.330, 321.441, 321.443, Chapter 335B, Chapter 342
STATUTORY AUTHORITY: KRS 12.357, 230.215(2), 230.240(2), 230.260(4), 230.290(2), 230.310(1)
CERTIFICATION STATEMENT: This certifies that this administration regulation complies with the requirements of 2025 RS HB6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) authorizes the Kentucky Horse Racing and Gaming Corporation to promulgate administrative regulations to regulate conditions under which horse racing shall be conducted in Kentucky. KRS 230.310(1) requires the corporation to promulgate administrative regulations establishing licensing requirements for participation in horse racing. This administrative regulation establishes licensing procedures and requirements for participation in horse racing.
History: 810 KAR 003:020. 45 Ky.R. 1895; 3098; eff. 5-31-2019; 48 Ky.R. 2620; 49 Ky.R. 58; eff. 10-4-2022; TAm eff. 7-1-2024; TAm eff. 10-6-2025; 52 Ky.R. 1229, 1810; eff. 8-4-2026.

810 KAR 3:030 Licensing totalizator companies {#sec-810-kar-3-030 omnilex-key=us-ky-regs-official--title-810--810 KAR 3:030}

Section 1. Definitions.

(1) "Applicant" means an individual, person, or entity that has submitted an application for a license pursuant to this administrative regulation.

(2) "Individual" means a natural person, at least eighteen years of age, but does not include any corporation, partnership, limited liability company, trust, or estate.

(3) "Person" means any corporation, whether organized for profit or not, partnership, limited liability company, trust, estate, association, joint venture, or any other group or combination acting as a unit.

(4) "Principal" is defined by KRS 230.210(14) when used in the context of a licensed association or an applicant for a license to conduct a horse race meeting; when used in the context of any other type of entity, "Principal" means any of the following individuals associated with a partnership, trust association, limited liability company, or corporation:

(a) The chairman and all members of the board of directors of a corporation;

(b) All partners of a partnership and all participating members of a limited liability company;

(d) The president or chief executive officer and all other officers, managers, and employees who have policy-making or fiduciary responsibility within the organization;

(e) All stockholders or other individuals who own, hold, or control, either directly or indirectly, five (5) percent or more of stock or financial interest in the collective organization; and

(f) Any other employee, agent, guardian, personal representative, or lender or holder of indebtedness who has the power to exercise a significant influence over the applicant's or licensee's operation.

(5) "Totalizator company" means any person providing totalizator services or equipment to a racing association or simulcast facility.

Section 2. License Required.

(1) Any totalizator company that provides totalizator services to a racing association or simulcast facility located in the Commonwealth shall be licensed by the corporation.

(2) To obtain a license, an applicant shall apply to the corporation for a license on the Initial/Renewal License Application to Provide Totalizator Services, KHRGC 3-030-1.

(a) An initial license shall be effective, and the totalizator company may begin operations, upon approval of the corporation.

(b) A license to provide totalizator services shall be renewed annually on or before August 1 of the preceding year. The corporation shall render a decision on the renewal application on or before December 20. If approved, a renewal license shall be effective January 1.

(3) If an applicant is unable, despite best efforts, to provide all of the required information, the applicant shall fully explain and document its reasons to the satisfaction of the corporation, and shall provide the information promptly upon being able to do so.

Section 3. Licensing Fees and Costs.

(1) An annual license fee of $1,000 shall be payable to the corporation upon submission of a license application. A license application shall not be complete until receipt of the license fee each year.

(2)

(a) The applicant shall pay all costs incurred by the corporation in reviewing an application for an initial or renewal license, including:

Legal and investigative costs, and
The cost of performing background checks on any individual or organization associated with the applicant.

(b) To cover these costs, initial applicants shall submit with the application an investigation fee of $10,000.

(c) Any portion of the payment not required to complete the investigation shall be refunded to the applicant within twenty (20) days of the granting, withdrawal, or rejection of the initial license application.

(d)

The corporation may require a renewal applicant or an applicant proposing a substantial change in ownership to pay an investigation fee in an amount reasonably requested by the corporation if:

a. The applicant or one (1) of its principals has not previously been subject to an investigation;

b. More than five (5) years has passed since the last investigation of the applicant or one (1) of its principals was conducted; or

c. The corporation finds other good cause for an investigation.

If an investigation fee is requested, the applicant shall submit a cashier's check or certified check payable to the corporation within ten (10) days of receipt of the request.
Failure to submit the payment shall result in suspension of the processing of renewing the license and may result in denial of the license.

(e) To the extent additional costs become necessary to investigate an applicant for a license or a substantial change in ownership of an applicant, the applicant shall submit a cashier's check or certified check payable to the corporation in an amount reasonably requested by the corporation within ten (10) days of receipt of the request. Failure to submit an additional requested payment shall result in suspension of the processing of the license application and may result in denial of the license.

(f) The corporation may waive the investigation fees, in part or completely, if the applicant has undergone a certification process or other investigative review by a corporation-approved industry or regulatory body.

Section 4. License Application Procedures.

(1) The commission may deny a license to any applicant that provides false or misleading information on or omits material information from the application.

(2) In addition to the "Initial/Renewal License Application to Provide Totalizator Services, KHRGC 3-030-1, an applicant shall provide to the corporation:

(a) Audited financial statements for the last three years or, if the applicant does not have audited financial statements, financial and other pertinent information as required by the corporation to determine that the applicant is financially capable of operating as a going concern;

(b) A Service and Organization Controls 1 Report (SOC-1) or other independent report in a form acceptable to the corporation, completed within the preceding twelve (12) months, to assure adequate financial controls are in place and compliance with totalizator standards. The corporation may require that a SSAE 16 audit, or other independent report in a form acceptable to the corporation, be conducted annually in order to receive a renewal license;

(c) A list of personnel assigned to work in Kentucky, which shall be kept current and be provided to the corporation upon request;

(d) A certification of compliance with the Kentucky Horse Racing and Gaming Corporation Totalizator Standards, KHRGC 3-030-03; and

(e) An agreement to testing of hardware and software as may be directed by the corporation; and

(3) In reviewing an application, the corporation may consider any information, data, reports, findings, or other factors available that it considers important or relevant to its determination of whether the applicant is qualified to hold a license, including the following:

(a) The integrity of the applicant and its principals, including whether the applicant has:

Been convicted of any crime of moral turpitude, embezzlement, or larceny, or any violation of any law pertaining to illegal gaming or gambling, or any crime that is inimical to the declared policy of the Commonwealth of Kentucky with regard to horse racing and pari-mutuel wagering thereon;
Been convicted in any jurisdiction within ten (10) years preceding initial licensing or license renewal of any crime that is or would be a felony or class A misdemeanor in the Commonwealth of Kentucky;
Been identified in the published reports of any federal or state legislative or executive body, or in an opinion of any judicial body, as being a member or associate of organized crime, or of being of notorious or unsavory reputation;
Been charged by any federal, state, or local law enforcement authority with a violation of any federal, state, or local law;
Had a gaming or totalizator company license revoked in another jurisdiction on grounds that would have been grounds for revoking the license in Kentucky
Engaged in any other activities that would pose a threat to the public interest or to the effective regulation of horse racing and wagering in Kentucky, or enhance the dangers of unsuitable, unfair, or illegal practices, methods, and activities in the conduct of racing and wagering or in the operation of the business and financial arrangements incidental thereto;
Been a party to litigation over business practices or disciplinary actions over a business license;
Been a party to proceedings in which unfair labor practices, discrimination, or violation of government regulations pertaining to racing or gaming laws was an issue, or bankruptcy proceedings;
Failed to satisfy judgments, orders, or decrees; and
Whether the applicant or its principals has been delinquent in filing tax reports or remitting taxes;

(b) The quality of physical facilities and equipment;

(d) Compliance of the applicant with applicable statutes, charters, ordinances, and administrative regulations; and

(e) The efforts of the applicant to safeguard and promote the integrity of pari-mutuel wagering in the Commonwealth.

Section 5. License Applicant Presentation.

(1) An applicant that has submitted a completed license application and all accompanying fees may request or be required to make a presentation of its application at a meeting of the corporation prior to the ruling on the application.

Section 6. Additional Information. The corporation may request additional information from an applicant that would assist the corporation in deciding whether to issue or renew a license, including copies of any documents used by the applicant in preparing the application and contracts between the applicant and third parties related to operations.

Section 7. Operations.

(1) Before doing business in Kentucky, the licensee shall be qualified to do business in Kentucky.

(2) In addition to the information the corporation may request under this or any other applicable administrative regulation or statute, the corporation may require the licensee to remit contemporaneously to the corporation a copy of any documents required to be filed with the Department of Revenue or other regulatory agency.

(3) The licensee shall operate in conformity with the Kentucky Horse Racing and Gaming Corporation Totalizator Standards, KHRGC 3-030-03.

Section 8. Change in Ownership.

(1) A change in ownership shall be reported to the corporation on the Totalizator Services Change of Control Form, KHRGC 3-030-2.

(2) Notice of a nominal change in ownership shall be filed with the corporation within fifteen (15) days of the execution of the documents upon which the proposed nominal change is based.

(3) Notice of a change of ownership shall not be required for:

(a) A nominal change of ownership if the licensee is a publicly traded corporation;

(b) The transfer of an ownership interest in a licensee, direct or indirect, whether substantial or nominal, if by a publicly traded corporation and the beneficial ownership is acquired by a person who shall hold the voting securities of the publicly traded corporation for investment purposes only; or

(c) A debt transaction of a publicly traded corporation, unless the transaction results in the pledge or encumbrance of the assets or any portion thereof of the licensee.

(a) Absent prior written approval from the corporation, a substantial change in ownership shall result in termination of the license.

(b) Any attempt to effect substantial change in ownership not in writing shall be considered void by the corporation.

Section 9. Duration of License. A license issued under this administrative regulation shall be valid for the calendar year for which it is issued.

Section 10. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Initial/Renewal License Application to Provide Totalizator Services" KHRGC 3-030-1, 11/2018;

(b) "Totalizator Services Change of Control Form," KHRGC 3-030-2, 11/2018; and

(3) This material may also be obtained at the corporation's Web site, http://khrc.ky.gov.

History

RELATES TO: KRS 230.225, 230.260, 230.290, 230.300, 230.310, 230.320, 230.361, 230.370, 230.380
STATUTORY AUTHORITY: KRS 230.215(2), 230.260(3), 230.300, 230.370, 230.380
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.260(3) and 230.380 vest the corporation with authority over any totalizator company that provides totalizator services to racing associations and simulcast facilities located in the Commonwealth. KRS 230.260(3) further requires the corporation to license any totalizator company under its jurisdiction, regardless of whether the company is located in the Commonwealth, or operates from a location or locations outside of the Commonwealth. This administrative regulation establishes license application procedures and requirements for totalizator companies that provide totalizator services to racing associations located in the Commonwealth.
History: 45 Ky.R. 1901; 3104; eff. 5-31-2019; TAm eff. 7-1-2024.

810 KAR 3:040 Advance deposit account wagering {#sec-810-kar-3-040 omnilex-key=us-ky-regs-official--title-810--810 KAR 3:040}

Section 1. Definitions.

(1) "Account" means an account for advance deposit account wagering with a specific identifiable record of deposits, wagers, and withdrawals established by an account holder and managed by the advance deposit account wagering licensee.

(2) "Account holder" means an individual who successfully completed an application and for whom the advance deposit account wagering licensee has opened an account.

(3) "Advance deposit account wagering" is defined by KRS 230.210(1).

(4) "Advance deposit account wagering licensee" is defined by KRS 230.210(2).

(5) "Applicant" means an individual, person, or entity that has submitted an application for a license pursuant to this administrative regulation.

(6) "Confidential information" means:

(a) The amount of money credited to, debited from, withdrawn from, or present in any particular account holder's account;

(b) The amount of money wagered by a particular account holder on any race or series of races;

(d) The identities of particular racing associations on which the account holder is wagering or has wagered; and

(e) Unless otherwise authorized by the account holder, the name, address, and other information in the possession of the advance deposit account wagering licensee that would identify the account holder to anyone other than the corporation or the advance deposit account wagering licensee.

(7) "Individual" means a natural person, at least eighteen (18) years of age, but does not include any corporation, partnership, limited liability company, trust, or estate.

(8) "Kentucky resident" is defined by KRS 230.210(12).

(9) "Person" means any corporation, whether organized for profit or not, partnership, limited liability company, trust, estate, association, joint venture, or any other group or combination acting as a unit.

(10) "Principal" means any of the following individuals associated with a partnership, trust association, limited liability company, or corporation:

(a) The chairman and all members of the board of directors of a corporation;

(b) All partners of a partnership and all participating members of a limited liability company;

(d) The president or chief executive officer and all other officers, managers, and employees who have policy-making or fiduciary responsibility within the organization;

(e) All stockholders or other individuals who own, hold, or control, either directly or indirectly, five (5) percent or more of stock or financial interest in the collective organization; and;

(11) "Telephone account wagering" is defined by KRS 230.210(19).

Section 2. License Required to Conduct Advance Deposit Account Wagering.

(1) Any individual, person, or entity, other than a licensed association engaged in telephone account wagering as defined in KRS 230.210(20), that offers advance deposit account wagering to Kentucky residents shall be licensed by the corporation.

(2) To obtain a license, an applicant shall apply to the corporation for a license on the Initial/Renewal License Application to Conduct Advance Deposit Account Wagering, Form KHRGC 3-040-01.

(3) An initial license shall be effective, and the advance deposit account wagering licensee may begin operations, upon approval of the corporation.

(4) A license to conduct advance deposit account wagering shall be renewed annually on or before September 1 of the preceding year, except as provided in Section 7 of this administrative regulation. The corporation shall render a decision on the renewal application on or before December 15 of the preceding year. If approved, a renewal license shall be effective January 1.

(5) If an applicant is unable, despite best efforts, to provide all of the required information, the applicant shall fully explain and document its reasons to the satisfaction of the corporation, and shall provide the information promptly upon being able to do so.

Section 3. Licensing Fees and Costs.

(2)

(a) The applicant shall pay all costs incurred by the corporation in reviewing an application for an initial or renewal license, including:

Legal and investigative costs; and
The cost of performing background checks on any individual or organization associated with the applicant.

(b) To cover these costs, initial applicants shall submit with the application an investigation fee of $5,000.

(d)

The corporation may require a renewal applicant or an applicant proposing a substantial change in ownership to pay an investigation fee in an amount reasonably requested by the corporation if:

a. The applicant or one (1) of its principals has not previously been subject to an investigation;

b. More than five (5) years has passed since the last investigation of the applicant or one (1) of its principals was conducted; or

c. The corporation finds other good cause for an investigation.

If an investigation fee is requested, the applicant shall submit a cashier's check or certified check payable to the corporation within ten (10) days of receipt of the request.
Failure to submit the payment shall result in suspension of the processing of renewing the license and may result in denial of the license.

Section 4. License Application Procedures.

(1) The corporation may deny a license to any applicant that provides false or misleading information on or omits material information from the application.

(2) In addition to the complete application, an applicant shall provide to the corporation:

(a) Audited financial statements for the last three (3) years or, if the applicant does not have audited financial statements, financial and other pertinent information as required by the corporation to determine that the applicant is financially capable of operating as a going concern and protecting accounts;

(b) A detailed plan of how the advance deposit account wagering system will operate; and

(c) A list of all personnel processing wagers on races made by Kentucky residents. This list shall be kept current and be provided to the corporation upon request.

(3) The corporation may require changes in the proposed plan of operations as a condition of granting a license. There shall not be subsequent material changes in the plan of operations unless ordered by the corporation or until approved by the corporation after receiving a written request.

(4) The corporation may require a report to be conducted in accordance with the Service and Organization Controls 1 Report (SOC-1), or a replacement report approved by the Auditing Standards Board of the American Institute of Certified Public Accountants, or other independent report in a form acceptable to the corporation, to evaluate the applicant's control objectives, control activities, and control processes. The corporation may require that the report be conducted within the twelve (12) months before issuing an initial license and annually in order to receive a renewal license.

(5) In reviewing an application, the corporation may consider any information, data, reports, findings, or other factors available that it considers important or relevant to its determination of whether the applicant is qualified to hold a license, including the following:

(a) The integrity of the applicant and its principals, including:

Whether the applicant or its principals is unsuitable pursuant to KRS 230.280(2)(f);
Whether the applicant or its principals has been a party to litigation over business practices, disciplinary actions over a business license, or refusal to renew a license;
Whether the applicant or its principals has been a party to proceedings in which unfair labor practices, discrimination, or violation of government regulations pertaining to racing or gaming laws was an issue, or bankruptcy proceedings;
Whether the applicant or its principals has failed to satisfy judgments, orders, or decrees; and
Whether the applicant or its principals has been delinquent in filing tax reports or remitting taxes;

(b) The quality of physical facilities and equipment;

(d) The protections provided to safeguard accounts, including a certification from the licensee's chief financial officer that account funds will not be comingled with other funds as required in Section 8(13) of this administrative regulation;

(e) The management ability of the applicant and its principals;

(f) Compliance of the applicant with applicable statutes, charters, ordinances, and administrative regulations;

(g) The efforts of the applicant to promote, develop, and improve the horse racing industry in the Commonwealth;

(h) The efforts of the applicant to safeguard and promote the integrity of pari-mutuel wagering in the Commonwealth; and

(i) The economic impact of the applicant upon the Commonwealth.

Section 5. License Applicant Presentation.

Section 6. Additional Information. The corporation may request additional information from an applicant if the additional information would assist the corporation in deciding whether to issue or renew a license, including:

(1) Copies of any documents used by the applicant in preparing the application; and

(2) A list of all contracts between the applicant and third parties related to operations. The corporation may review the contracts any time upon request.

Section 7. Duration of License.

(1) An initial license issued under this administrative regulation before July 1 shall be valid for the calendar year for which it is issued.

(2) An initial license issued under this administrative regulation on or after July 1 shall be valid for the calendar year for which it is issued and the following calendar year.

Section 8. Operations and Duties of Licensees.

(1) Before doing business in Kentucky, the licensee shall be qualified to do business in Kentucky.

(2)

(a) The licensee shall notify the corporation of any communication, report, or investigation conducted or to be conducted by the Thoroughbred Racing Association, Thoroughbred Racing Protective Bureau, United States Trotting Association, American Quarter Horse Association, Arabian Jockey Club, National Thoroughbred Racing Association, or any state or federal regulatory agency that relates to the safety, integrity, or security of the licensee and its participants, or that would reasonably be deemed to affect public confidence in the licensee.

(b) The licensee shall further send a copy of the communication, correspondence, or report to the corporation within 24 hours of receipt by the licensee.

(c) This subsection shall not be construed to include information delivered to licensee officials acting in the capacity of members of the board of directors of the above referenced organizations.

(3) In addition to the information the corporation may request under this or any other applicable administrative regulation or statute, the corporation may require the licensee to remit contemporaneously to the corporation a copy of any documents required to be filed with any local, state, or federal regulatory agency.

(4) The licensee shall notify the KHRGC within 24 hours of becoming aware of any suspected or confirmed breach of security of data, including intrusions into the personal information of account holders.

(5) The licensee shall notify the KHRGC within 24 hours of becoming aware of a wagering anomaly. The licensee shall provide transactional data to the KHRGC upon request. Wagering anomalies include any incident that might reasonably affect the public's confidence in the wagering pools, such as:

(a) Account wagering fraud;

(b) Suspected manipulation through computerized robotic wagering;

(d) Quick pick or random pick malfunction;

(e) Cancellation of large wagers, especially within two (2) minutes of the closing of a wagering pool;

(f) Suspicious wagering patterns; and

(g) Totalizator or data communications malfunctions.

(6)

(a)

All notices required to be given to the corporation pursuant to subsections (2) through (5) of this section shall be provided by phone call to the executive director or the director of pari-mutuel wagering and compliance immediately after the event triggering the notice requirement.
In addition, written notice of the event required to be given to the corporation pursuant to subsections (2) through (5) of this section shall be submitted to the executive director and the director of pari-mutuel wagering and compliance no later than twenty-four (24) hours after the event triggering the notice requirement. Written notice may be made by hand delivery, electronic mail, or facsimile.

(b) All notices other than those in subsections (2) through (5) of this section shall be provided to the director of pari-mutuel wagering and compliance within five (5) business days of the event unless otherwise specifically instructed in this administrative regulation.

(7) The licensee shall submit to the director of pari-mutuel wagering and compliance or his or her designee an electronic copy of the Advanced Deposit Wagering Excise Tax Report (Kentucky Form 73A102) no later than the first business day of the second week after the week during which the wagers forming the base of the tax were received.

(8) A licensee shall submit to the corporation a separate report for each affiliate under the control of the licensee on the Kentucky Horse Racing and Gaming Corporation Quarterly ADW Activity Report form, KHRGC 3-040-04, that includes the following information:

(a) For account holders residing in Kentucky:

The total amount wagered on races conducted by all Kentucky associations; and
The total amount wagered on races conducted by all non-Kentucky associations; or

(b) For account holders not residing in Kentucky, the total amount wagered on races conducted by each Kentucky association.

(9) The Kentucky Horse Racing and Gaming Corporation Quarterly ADW Activity Report shall be submitted to the corporation according to the following schedule:

(a) For wagering from January 1 through and including March 31, the report shall be submitted no later than the first business day following March 14 of the same calendar year;

(b) For wagering from April 1 through and including June 30, the report shall be submitted no later than the first business day following July 14 of the same calendar year;

(c) For wagering from July 1 through and including September 30, the report shall be submitted no later than the first business day following October 14 of the same calendar year; and

(d) For wagering from October 1 through and including December 31, the report shall be submitted no later than the first business day following January 14 of the next calendar year.

(10) On or prior to the third Friday of September of each year, the licensee shall submit to the corporation Kentucky Horse Racing and Gaming Corporation ADW Player Account Balance and Excise Tax Summary Report form, KHRGC 3-040-05, certifying the average daily account total for all account holders residing in Kentucky between the first Monday of March of that calendar year and the last Sunday of August of the same calendar year.

(11) On or prior to the third Friday of September of each year, the licensee shall submit to the corporation Kentucky Horse Racing and Gaming Corporation ADW Player Account Balance and Excise Tax Summary Report form, KHRGC 3-040-05, certifying the average weekly excise tax amount paid to the Commonwealth of Kentucky between the first Monday of March of that calendar year and the last Sunday of August of the same calendar year.

(12) A licensee shall enter into an agreement with each licensed racing association in the Commonwealth on whose races the licensee offers advance deposit account wagering regarding payment of host fees and any other applicable fees, costs, or payments of any kind to be paid to the licensed association. The licensed racing association and the applicable horsemen's organization shall negotiate a separate agreement for contributions to the purse account generated by advanced deposit account wagering.

(13) A licensee shall not comingle account funds with other funds.

(14) A licensee that does not have audited financial statements for the last three (3) years as referenced in Section 4(2)(a) of this administrative regulation shall provide quarterly financial statements to the corporation for the first calendar year of operation.

(15) A licensee shall use and communicate pari-mutuel wagers to a totalizator system licensed by the corporation.

(16) The licensee shall require its licensed totalizator company to provide all wagering data requested by the KHRGC or its designee with respect to any website, affiliate, or any other entity related to the licensee through which the licensee facilitates wagers by Kentucky account holders or by any account holder who is not a Kentucky resident and who is wagering on Kentucky races.

(17) A licensee shall operate and communicate with the totalizator system in a way that does not provide or facilitate a wagering advantage based on access to information and processing of wagers by account holders relative to persons who wager at licensed associations or simulcast facilities.

(18) All personnel processing wagers made by Kentucky residents shall be licensed in the jurisdiction where they are located. If an individual is located in a jurisdiction that is not a racing jurisdiction or that does not require a license, that individual shall be licensed in Kentucky.

(19) Accounts shall only be accepted in the name of an individual and shall not be transferable. Only individuals who have established accounts with a licensee may wager through a licensee.

(20) Each account holder shall provide personal information as the licensee and the corporation require.

(a) Required information shall include:

Name;
Principal residence address;
Telephone number;
Social Security number;
Date of birth; and 6 Other information necessary for account administration.

(b) The information supplied by the account holder shall be verified by the licensee using means acceptable to the corporation.

(21) The licensee shall provide each account holder a secure personal identification code and password to be used by the account holder to confirm the validity of every account transaction.

(22) An employee or agent of the licensee shall not disclose any confidential information except:

(a) To the corporation;

(b) To the account holder as required by this administrative regulation;

(d) To the licensed association as required by the agreement between the licensee and the association; and

(e) As otherwise required by law.

(23) The licensee shall provide each account holder a copy of account holder policies and procedures related to pari-mutuel wagering, including the licensee's refund policy, and other information and materials that are pertinent to the operation of the account. This information shall be available on the licensee's official website and shall be viewable without registering for an account with the licensee.

(24) The licensee shall publish a list of racing associations that have authorized the licensee to participate in their wagering pools. This list shall be viewable without registering for an account with the licensee.

(25) The licensee may refuse to establish an account if it is found that any of the information supplied is false or incomplete or for any other reason the licensee deems sufficient.

(26) Each account shall be administered in accordance with the account holder rules/terms of agreement provided to account holders, including, but not limited to:

(a) Placing of wagers;

(b) Deposits to accounts;

(d) Debits to accounts;

(e) Refunds to accounts;

(f) Withdrawals from accounts;

(g) Minimum deposit requirements;

(h) Fees per wager; and

(i) Rebates.

(27) Each licensee shall have protocols in place and shall publicize to its account holders when its wagers are excluded from a host track's wagering pool. These protocols shall include an immediate electronic mail message to affected account holders and immediate posting on the licensee's website.

(28) A licensee shall maintain complete records of the application and the opening of an account for the life of the account plus two (2) additional years. A licensee shall also maintain complete records of the closing of an account for two (2) years after closing. These records shall be provided to the corporation upon request.

(29) A licensee shall maintain complete records of all transactions, including deposits, credits, debits, refunds, withdrawals, fees, wagers, rebates, and earnings for two (2) years. These records shall be provided to the corporation upon request.

(30) All wagering conversations, transactions, or other wagering communications, verbal or electronic, shall be recorded by means of the appropriate electronic media, and the tapes or other records of the communications shall be kept by the licensee for a period of two (2) years. These tapes and other records shall be made available to the corporation upon request.

(31) The recording of the confirmation of the transaction, as reflected in the voice or other data recording, shall be deemed to be the actual wager regardless of what was recorded by the totalizator system.

(32) A licensee shall not accept wagers if its recording system is not operable.

(33) The licensee shall synchronize its timing system with the U.S. Naval Observatory Clock or an alternative time synchronization methods approved by the corporation at least once every twenty-four (24) hour period.

(34) The corporation may monitor the equipment and staff and review the records of a licensee and any of the transactions conducted by the licensee with regards to wagers made by Kentucky residents.

(35) A licensee may suspend or close any account for violation of its account holder rules/terms of agreement, or any other reason it deems sufficient, if it returns to the account holder all monies then on deposit within seven (7) calendar days.

Section 9. Surety Bond or Letter of Credit Required.

(1) Prior to commencement of advance deposit account wagering operations, a licensee shall secure an irrevocable bond from a surety company admitted to the Commonwealth of Kentucky or other form of financial security such as an irrevocable letter of credit in favor of the Commonwealth of Kentucky. A certified copy of the bond shall be submitted to the corporation and shall be accompanied by a certified copy of the Advance Deposit Wagering Provider Surety Bond or Letter of Credit Form, KHRGC 3-040-03.

(2) The bond or letter of credit amount shall be 125% of the amount reported in Part II plus 400% of the amount report in Part III of the Kentucky Horse Racing and Gaming Corporation ADW Player Account Balance and Excise Tax Summary Report form, KHRGC 3-040-05, unless any of the following conditions apply:

(a) If the licensee was not licensed for operation in the Commonwealth of Kentucky prior to January 1 of the current calendar year, the bond or letter of credit amount shall be $50,000.00;

(b) If the sum of the amounts equaling 125% of the amount reported in Part II plus 400% of the amount report in Part III of the Kentucky Horse Racing and Gaming Corporation ADW Player Account Balance and Excise Tax Summary Report form, KHRGC 3-040-05, is less than or equal to $50,000, the bond or letter of credit amount shall be $50,000; or

(c) If the sum of the amounts equaling 125% of the amount reported in Part II plus 400% of the amount report in Part III of the Kentucky Horse Racing and Gaming Corporation ADW Player Account Balance and Excise Tax Summary Report form, KHRGC 3-040-05, exceeds $500,000, the bond or letter of credit amount shall be $500,000.

(3) The bond or letter of credit shall, if necessary, be used to:

(a) Comply with and perform the provisions and undertakings of the advance deposit account wagering licensee stated in the application as finally approved by the corporation;

(b) Discharge the licensee's financial obligations to account holders who are Kentucky residents;

(d) Discharge the licensee's financial obligations to any racing association or simulcast facility licensed by the corporation.

Section 10. Change in Ownership.

(1) A change in ownership shall be reported to the corporation on the Advance Deposit Account Wagering Change of Control Form, KHRGC 3-040-02.

(2) Notice of a nominal change in ownership shall be filed with the corporation within fifteen (15) days of the execution of the documents upon which the proposed nominal change is based.

(3) Notice of a change of ownership shall not be required for:

(a) A nominal change of ownership if the licensee is a publicly traded corporation;

(b) The transfer of an ownership interest in a licensee, direct or indirect, whether substantial or nominal, if by a publicly traded corporation and the beneficial ownership is acquired by a person who will hold the voting securities of the publicly traded corporation for investment purposes only; or

(c) A debt transaction of a publicly traded corporation, unless the transaction results in the pledge or encumbrance of the assets or any portion thereof of the licensee.

(a) Absent prior written approval from the corporation, a substantial change in ownership shall result in termination of the license.

(b) Any attempt to effect substantial change in ownership not in writing shall be considered void by the corporation.

Section 11. Unlicensed Activity. With respect to any individual, person, or entity that offers advanced deposit account wagering to Kentucky residents without a license issued by the corporation, the corporation may take the measures it deems necessary, including referral to the appropriate regulatory and law enforcement authorities for civil action or criminal penalties.

Section 12. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Initial/Renewal License Application to Conduct Advance Deposit Account Wagering", KHRGC 3-040-1, 11/2018;

(b) "Advance Deposit Account Wagering Change of Control Form", KHRGC 3-040-2, 11/2018;

(d) "Kentucky Horse Racing and Gaming Corporation Quarterly ADW Activity Report", KHRGC 3-040-4, 11/2018; and

(e) "Kentucky Horse Racing Commission ADW Player Account Balance and Excise Tax Summary Report", KHRGC 3-040-5, 11/2018.

(3) This material may also be obtained at the corporation's Web site, http://khrc.ky.gov.

History

RELATES TO: KRS 230.260, 230.290, 230.310, 230.320
STATUTORY AUTHORITY: KRS 230.215(2), 230.260(2), 230.310, 230.370
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) grants the corporation the authority to regulate conditions under which horse racing and pari-mutuel wagering thereon shall be conducted in Kentucky. KRS 230.260(2) authorizes the Kentucky Horse Racing and Gaming Corporation to issue licenses to any person or entity that offers advance deposit account wagering to Kentucky residents. This administrative regulation establishes the license application procedures and requirements to offer advance deposit account wagering to Kentucky residents.
History: 45 Ky.R. 1904; 3106; eff. 5-31-2019; TAm eff. 7-1-2024; Crt eff. 5-20-2026.

810 KAR 3:050 Simulcast facilities {#sec-810-kar-3-050 omnilex-key=us-ky-regs-official--title-810--810 KAR 3:050}

Section 1. Definitions.

(1) "Applicant" means:

(a) A licensed track; or

(b) An entity established, and wholly owned, by licensed tracks that have entered in a joint agreement to establish or operate a simulcast facility;

(2) "Host track" is defined by KRS 230.210(8);

(3) "Track" is defined by KRS 230.210(22).

Section 2. License Application.

(1) Prior to corporation approval of an application to establish a simulcast facility, an applicant shall submit the information required by the provisions of this section to the corporation.

(2) An applicant shall submit the following information in writing:

(a) The name of the applicant;

(b) If the applicant is an entity defined by Section 1(1)(b) of this administrative regulation:

The name of the entity;
A copy of the organizational documents;
A copy of the joint agreement;
The location of the principal office; and
The names of the officers and directors; and

(3)

(a) The location of any licensed track located within any radius specified in subparagraphs 1 and 2 of this paragraph:

Within fifty (50) miles of any county line of the county in which the simulcast facility will be located;
Greater than fifty (50) miles, but less than seventy-five (75) miles, of any county line of the county in which the simulcast facility will be located; and

(b) The location of any licensed track located within any radius specified in subparagraphs 1 and 2 of this paragraph:

Within fifty (50) miles of the city limits of the city in which the simulcast facility will be located; and
Greater than fifty (50) miles, but less than seventy-five (75) miles, of the city limits of the city in which the simulcast facility will be located.

(4) The corporation may request, in writing, information necessary to determine the financial soundness of the applicant.

(5) After the corporation has transmitted the notice required by KRS 230.380(1), it shall:

(a) Approve or reject an application; and

(b) Inform the applicant, in writing, of:

Its decision; and
The reasons for its decision.

(6) If the corporation approves an application, it shall inform, in writing, the applicant that he may establish the simulcast facility if, within sixty (60) days, the local governing body of the jurisdiction in which the simulcast facility is to be located does not exercise its right to reject the facility as provided by the provisions of KRS 230.380(2).

(7) After receipt of corporation approval of an application, at least twenty (20) days prior to wagers being accepted at the simulcast facility, an applicant shall file the following information with the corporation:

(a) The schedule of race meets to be simulcast;

(b) The complete address of the simulcast facility;

(d) A description of simulcast facility, including:

Its total capacity;
The seating capacity, excluding dining;
The capacity of the dining area;
The number of washrooms; and
Parking, including:

a. Its location; and

b. The distance to the simulcast facility;

(e) The name, address, and home telephone number of the on-site manager of the simulcast facility;

(f) The name and address of the owner of the real property at which the simulcast facility will be located:

(g) If there is a business enterprise occupying the real property at which the simulcast facility is located, its:

Name;
Address;
Type of business; and
Owner;

(h) The name of the supplier of:

Concessions;
Food; and
Alcohol;

(i) The authority for the sale of alcohol;

(j) The name of the totalizator service and mutuel manager;

(k)

Name of, location, and distance to, the nearest other licensed track; and
Written consent of a licensed track that is located within a radius that is more than fifty (50) miles, but less than seventy-five (75) miles, from the simulcast facility, if this has not already been provided;

(l) The location of, and distance to, the nearest lottery vendor; and

(m) A statement that the applicant has complied with applicable fire, safety, building, and health codes.

(8)

(a) If information submitted to the corporation, or required to be submitted to the corporation by the provisions of this administrative regulation, changes, an applicant shall immediately inform the corporation in writing of the change.

(b) The change shall be reviewed by the corporation to determine whether the applicant has complied with the provisions of KRS Chapter 230 and this administrative regulation.

(9) The corporation may refuse to approve an application, and may suspend or revoke a license to establish a simulcast facility on the following grounds:

(a) Failure to comply with the provisions of KRS Chapter 230 and this administrative regulation or any other applicable statute or administrative regulation;

(b) Denial, suspension, or revocation of a license in another racing jurisdiction;

(c) Falsification, misrepresentation, or willful omission of information in an application or with regard to matters pertaining to racing;

(d) Failure to comply with an order or ruling of the corporation or its representatives;

(e) Ownership of an interest in, or participation in any manner in, an illegal enterprise, such as bookmaking, touting, bet solicitation, pool-selling;

(f) Association with a person engaged in an illegal activity;

(g) Unqualified by experience or confidence to perform the activity permitted by the license;

(h) Intoxication, profanity, fighting, or other conduct of a disorderly nature on simulcast facility property;

(i) Employment or harboring of persons who are not licensed as required by KRS Chapter 230 or KAR Title 810;

(j) Possession on simulcast facility property of firearms without written permission, or not in compliance with applicable statute and administrative regulation;

(k) Use of profane, abusive, or insulting language to the corporation or its staff;

(l) Offering, promising, giving, accepting or soliciting a bribe, directly or indirectly, to or by a person having a connection with the outcome of a race;

(m) Failure to report knowledge of items specified in paragraph (l) of this subsection;

(n) Addiction to controlled substances or alcohol;

(o) Prior conviction of a crime, subject to the provisions of KRS 335B.010 and 335B.020; and

(p) Substantiation that an applicant does not possess good moral character.

(10) The corporation shall:

(a) Review the information submitted to it by the applicant, pursuant to subsection (7) of this section;

(b) Determine whether it meets the requirements of KRS Chapter 230 and this administrative regulation; and

(c) If it determines that the applicant has not met the requirements of KRS Chapter 230 and this administrative regulation, inform the applicant:

Of its determination; and
Of the reasons for its determination.

Section 3. Renewal. An application to renew a license for a simulcast facility shall be filed no later than November 1 in the year preceding the calendar year for which renewal is requested and shall include all information required by Section 2 of this administrative regulation.

Section 4. General Requirements.

(1) A simulcast facility shall:

(a) Be kept in an excellent state of repair;

(b) Be operated to ensure that the image of racing and pari-mutuel wagering is enhanced; and

(c) Provide adequate security for the public to assure the perception and fact of an honest enterprise free of corrupt practices.

(2) All interstate wagering shall be received only through a host track licensed by the corporation.

(3) A malfunction of the totalizator shall be immediately reported to:

(a) The host track; and

(b) The corporation.

(4) Action needed to correct the mutuel pools at a simulcast facility shall be calculated by the mutuel manager of the host track.

(5) Pools shall be limited to the host track's pools and all payoffs shall be consistent with the common pools of the host track.

(6) A simulcast facility shall meet local and state fire and life safety codes at all times.

(7) A simulcast facility shall report to the corporation:

(a) An accident that results in injury; and

(b) A crime committed on the property of the facility.

(8) Food and dining services shall be of good quality, so as to promote the image of racing and that of a quality establishment.

(9) Proper smoke ventilation shall be provided to ensure adequate fresh air for designated smoking sections.

History

RELATES TO: KRS 230.300, 230.377(1), 230.380
STATUTORY AUTHORITY: KRS 230.300(1), 230.380(1), (4)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.300(1) and 230.380(1) require the corporation to promulgate administrative regulations establishing criteria for the application and licensure of simulcast facilities. This administrative regulation establishes the criteria for application and licensure of simulcast facilities.
History: 45 Ky.R. 1909; 3110; eff. 5-31-2019; TAm eff. 7-1-2024; Crt eff. 5-20-2026.

Chapter 4 Flat and Steeplechase Racing

810 KAR 4:001 Definitions for 810 KAR Chapter 4 {#sec-810-kar-4-001 omnilex-key=us-ky-regs-official--title-810--810 KAR 4:001}

Section 1. Definitions.

(1) "Added money" means the amount of money, exclusive of trophy, added into a stakes race by an association, a sponsor, a state-bred program, or other fund, and that is in addition to stakes fees paid by subscribers.

(2) "Age" means the number of years since a horse was foaled, reckoned as if the horse was foaled on January 1 of the year in which the horse was foaled.

(3) "Allowance race" means a race in which contestants receive weight allowance based on performance or winnings as stipulated in the conditions of the race.

(4) "Also eligible" means in flat racing an eligible horse, properly entered, which is not drawn for inclusion in a race, but which becomes eligible according to preference or lot if another horse is scratched prior to the scratch time deadline.

(5) "Appeal" means a request for the corporation to investigate, consider, and review any decision or ruling of a steward or official of a meeting.

(6) "Arrears" means all sums due by a licensee as reflected by his or her account with the horsemen's bookkeeper, including subscriptions, jockey fees, forfeitures, and any default incident to KAR Title 810.

(7) "Association" is defined by KRS 230.210(6).

(8) "Authorized agent" means in flat racing any person currently licensed as an agent for a licensed owner, jockey, or jockey apprentice by virtue of notarized appointment of agency filed with the corporation.

(9) "Calendar days" means consecutive days counted irrespective of number of racing days.

(10) "Claiming race" means a race in which ownership of a horse participating in the race may be transferred in conformity with 810 KAR 4:050.

(11) "Closing" means the time published by the association after which entries for a race are not accepted by the racing secretary.

(12) "Coggins test" means a blood test used to determine if a horse is positive for Equine Infectious Anemia.

(13) "Commission" is defined by 810 KAR 6:001.

(14) "Conditions" means qualifications that determine a horse's eligibility to be entered in a race.

(15) "Coupled entry" means two (2) or more horses in a race that are treated as a single betting interest for pari-mutuel wagering purposes.

(16) "Day" means any twenty-four (24) hour period beginning at 12:01 a.m. and ending at midnight.

(17) "Declaration" means in flat racing the withdrawal of a horse entered in a race prior to time of closing of entries for the race in conformance with 810 KAR 4:030.

(18) "Directive" means an official order issued by the corporation or the executive director.

(19) "Disciplinary action" means action taken by the stewards or the corporation for a violation of KRS Chapter 230 or KAR Title 810 and can include:

(a) Refusal to issue or renew a license;

(b) Revocation or suspension of a license;

(d) Issuance of a written reprimand or admonishment;

(e) Imposition of fines or penalties;

(f) Denial of purse money;

(g) Forfeiture of purse money; or

(h) Any combination of paragraphs (a) through (g) of this subsection.

(20) "Disqualification" means a ruling of the stewards or the corporation revising the order of finish of a race.

(21) "Draw" means the process of determining post positions by lot.

(22) "Entry" means the act of nominating a horse for a race in conformance with KAR Title 810.

(23) "Equipment" means in flat racing accoutrements other than ordinary saddle, girth, pad, saddle cloth, and bridle carried by a horse, and includes riding crop, blinkers, tongue strap, muzzle, hood, noseband, bit, shadow roll, martingale, breast plate, bandages, boots, and racing plates or shoes.

(24) "Field" or "mutuel field" means a single betting interest, which is not a mutuel entry, involving more than one (1) horse.

(25) "Flipping halter" means a halter used in the starting gate to help prevent a horse from flipping, which is used in Quarter Horse races only.

(26) "Forfeit" means money due by a licensee because of an error, fault, neglect of duty, breach of contract, or alternative ruling of the stewards or the corporation.

(27) "Foul" means any action by any jockey that tends to hinder another jockey or any horse in the proper running of the race.

(28) "Handicap race" means in flat racing a race in which the weights to be carried by the horses are assigned by the association handicapper with the intent of equalizing the chances of winning for all horses entered in the race.

(29) "Horse" means any equine irrespective of age or sex designation and registered for racing with the applicable breed registry.

(30) "Ineligible" means a horse or person not qualified under Title 810 KAR or conditions of a race to participate in a specified racing activity.

(31) "Inquiry" means an investigation by the stewards of a contest prior to declaring the result of the contest official.

(32) "Jockey" means a rider currently licensed to ride in races as a jockey, apprentice jockey, amateur jockey, or a provisional jockey permitted by the stewards to ride in three (3) races prior to applying for a license.

(33) "Lessee" means a licensed owner whose interest in a horse is a leasehold.

(34) "Licensee" means an individual, firm, association, partnership, corporation, trustee, or legal representative that has been duly issued a currently valid license to participate in racing in the Commonwealth.

(35) "Maiden" means in flat racing, a horse that has never won a race at a recognized meeting in any country.

(36) "Meeting" means the entire period of consecutive days, exclusive of dark days, granted by the corporation to a licensed association for the conduct of live horse racing that:

(a) Begins at 10 a.m. of the first racing day; and

(b) Extends through a period ending one (1) hour after the last scheduled race of the last day.

(37) "Month" means calendar month.

(38) "Mutuel entry" means a single betting interest involving two (2) or more horses entered in the same race and joined for pari-mutuel purposes because of common ties as to ownership or training so that a wager on one (1) horse joined in a mutuel entry is a wager on all horses joined in the same mutuel entry.

(39) "Nominator" means the person in whose name a horse is entered for a stakes race.

(40) "Objection" means a verbal claim of foul in a race lodged by the horse's jockey, trainer, or owner before the race is declared official.

(41) "Official order of finish" means the order of finish of the horses in a contest as declared official by the stewards.

(42) "Official time" means the elapsed time from the moment the first horse crosses the timing beam until the first horse crosses the finish line.

(43) "Owner" means any person who holds, in whole or in part, any right, title, or interest in a horse, or any lessee of a horse, who has been duly issued a currently valid owner's license as a person responsible for the horse.

(44) "Pari-mutuel wagering", "mutuel wagering", or "pari-mutuel system of wagering" is defined by KRS 230.210(18).

(45) "Post" means the starting point of a race.

(46) "Post position" means the relative place assigned to each horse, numbered from the inner rail across the track at the starting line, from which each horse is to start a race.

(47) "Post time" means the advertised moment scheduled for the arrival of all horses at the starting point for a race.

(48) "Protest" means a written objection charging that a horse is ineligible to race, alleging improper entry procedures, or citing any act of an owner, trainer, or official prohibited by rules, which, if true, would exclude that horse or jockey from racing.

(49) "Purse" means the gross cash portion of the prize for which a race is run.

(50) "Purse race" means any race for which entries close at a time designated by the racing secretary, and for which owners of horses entered are not required by its conditions to contribute money toward its purse.

(51) "Race" means a running contest between horses, ridden by jockeys at a recognized meeting, during regular racing hours, for a prize.

(52) "Race day" means any period of twenty-four (24) hours beginning at 12:01 a.m. and ending at midnight in which live racing is conducted by an association.

(53) "Racing official" means a corporation member, corporation staff, as duties require, and all association racing department employees, as duties require.

(54) "Recognized meeting" means any meeting with regularly scheduled live horse races, licensed by and conducted under administrative regulations promulgated by a governmental regulatory body, and conducted with the applicable breed registry.

(55) "Registration certificate" means the document, racing permit, or virtual certificate issued by the appropriate breed registry identifying the horse for racing.

(56) "Result" means the part of the official order of finish in a race used to determine the pari-mutuel payoff of pari-mutuel pools.

(57) "Rulings" means all determinations, decisions, or orders of the stewards or of the corporation duly issued in writing and posted.

(58) "Scratch" means the withdrawal of a horse entered for a race after the time of closing of entries for the race.

(59) "Scratch time" means the time set by the racing secretary as a deadline for horsemen to indicate their desire to scratch out of a race.

(60) "Specimen" means a sample of blood, urine, or other biologic sample taken or drawn from a horse for chemical testing.

(61) "Stakes" mean all fees paid by subscribers to an added-money or stakes race for nominating, eligibility, entrance, or starting, as required by the conditions of the race, with the fees to be included in the purse.

(62) "Stakes race" means a race that closes more than seventy-two (72) hours in advance of its running and for which subscribers contribute money towards its purse.

(63) "Starter" means either:

(a) An official who dispatches the horses from the starting gate; or

(b) A horse in a race when the starting gate doors open in front of it at the moment the starter dispatches the horses for the race.

(64) "Steward" means a duly appointed racing official with powers and duties established in 810 KAR 2:040 serving at a current meeting in the Commonwealth.

(65) "Subscription" means nomination or entry of a horse in a stakes race.

(66) "Suspended" means withdrawal of racing privileges by the stewards or corporation.

(67) "Thoroughbred racing" is defined by KRS 230.210(32).

(68) "Tote" or "tote board" means the totalizator.

(69) "Unplaced" means a horse that finishes a race outside the pari-mutuel payoff.

(70) "Walkover" means a race in which the only starter or all starters represent single ownership.

(71) "Weigh in" means in flat racing the presentation of a jockey to the clerk of scales for weighing after a race.

(72) "Weigh out" means in flat racing the presentation of a jockey to the clerk of scales for weighing prior to a race.

History

RELATES TO: KRS Chapter230
STATUTORY AUTHORITY: KRS 230.215, 230.260(8)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2)(a) and (c) authorize the Kentucky Horse Racing and Gaming Corporation to regulate conditions under which thoroughbred racing shall be conducted in Kentucky. KRS 230.260(8) authorizes the corporation to prescribe necessary and reasonable administrative regulations and conditions under which horse racing at a horse race meeting shall be conducted in Kentucky. This administrative regulation defines the terms used in 810 KAR Chapter 4.
History: 45 Ky.R. 1912; 2720; 3111; eff. 5-31-2019; 47 Ky.R. 2130, 48 Ky.R. 355; eff. 8-12-2021; 50 Ky.R. 467, 1282; eff. 3-5-2024; TAm eff. 7-1-2024.

810 KAR 4:010 Horses {#sec-810-kar-4-010 omnilex-key=us-ky-regs-official--title-810--810 KAR 4:010}

Section 1. Definition. "Electronic registration system" means a software application available online and approved by the corporation that allows an association's racing secretary or the secretary's designee, or horse identifier or the identifier's designee, full access to horse and trainer records from all tracks in North America, including current owner information.

Section 2. Registration and Identification Required.

(1) A horse shall not be entered or raced in Kentucky unless:

(a) The horse is duly registered, as applicable, in The Jockey Club breed registry, the American Quarter Horse Association, the Appaloosa Horse Club, the Arabian Horse Association Registry, or the American Paint Horse Association, or their respective successors; and

(b)

The registration certificate, virtual or digital certificate, or racing permit issued by the applicable breed registry for the horse is on file with the racing secretary; or
The information contained on the registration certificate, virtual or digital certificate, or racing permit is available to the racing secretary through the electronic registration system.

(2) The stewards may at any time require presentation of a horse's registration certificate, virtual or digital certificate, or racing permit or other proof of ownership.

(3) Upon claim, sale, or any other transfer of ownership, the horse's registration certificate or racing permit shall be given to the new owner, and any virtual or digital certificate shall be transferred to the new owner electronically. The new owner shall report the change in ownership to the stewards.

(4) If the electronic registration system fails for any reason, the stewards may require presentation of a horse's registration certificate, virtual or digital certificate, or racing permit prior to a horse being entered or raced in Kentucky.

Section 3. Ringers Prohibited.

(1) A horse shall not be entered or raced in Kentucky designated by a name other than the name under which the horse is currently registered with the applicable breed registry. If a horse's name is changed with the applicable breed registry, and the horse has raced under its previous name, the horse's former name shall be shown parenthetically in the daily race program the first three (3) times the horse races after the name change.

(2) A person shall not cause or permit the correct identity of a horse to be concealed or altered. A person shall not refuse to reveal the correct identity of a horse that he or she owns or is in his or her care to a racing official or member of the regular news media.

(3) A horse shall not race in Kentucky unless identified by:

(a) A legible lip tattoo number applied by agents of the Thoroughbred Racing and Protective Bureau, or by the comparable authorized organization applicable to the breed of the horse;

(b) An electronic horse identification microchip that accurately identifies the horse, is compliant with the international standards ISO 11784, is verified by agents of the Thoroughbred Racing Protective Bureau, or its successor, and is documented in The Jockey Club database or by the comparable authorized organization applicable to the breed of the horse; or

(c) With regards to a horse from a foreign jurisdiction participating in a graded stakes race, has otherwise been correctly identified to the stewards' satisfaction.

(4) A horse shall not be entered or raced in Kentucky if previously involved in a "ringer" case to the extent that:

(a) A person having control of the horse knowingly entered or raced the horse while designated by a name other than the name under which the horse was registered with The Jockey Club; or

(b) The person having control of the horse participated in or assisted in the entry or racing of some other horse under the name registered as belonging to the horse in question.

Section 4. Denerving.

(1) A horse that has had a chemical, surgical, or thermal neurectomy at or above the fetlock shall not be permitted to race.

(2) A horse that has had a palmar or plantar digital neurectomy may be permitted to race if:

(a) The neurectomy has been reported by the trainer to the stewards; and

(b) The horse has been approved for racing by the corporation veterinarian prior to being entered to race.

(3) A horse on which a neurectomy has been performed shall have that fact designated on its registration certificate, virtual or digital certificate, racing permit, and entry in the electronic registration system. Responsibility for ensuring that the neurectomy is correctly noted on the horse's registration certificate, virtual or digital certificate, racing permit, and entry in the electronic registration system shall fall:

(a) Jointly on the practicing veterinarian who performed the operation and the trainer of the denerved horse if the neurectomy was performed at a location under the corporation's jurisdiction; and

(b) Solely on the owner of the denerved horse if the neurectomy was performed at a location not under the corporation's jurisdiction.

(4) If a horse races in violation of this administrative regulation and participates in the purse distribution, then a protest shall not be considered unless submitted in writing to the stewards within forty-eight (48) hours after the race.

(5) If a horse races in violation of this administrative regulation and is claimed, then a protest shall not be considered unless the successful claimant submits a protest in writing within forty-eight (48) hours after the race requesting the claim be voided. If the claim is voided, the horse shall be returned to the owner who started the horse in the race, and the claim price shall be returned to the claimant.

(6) A list of all denerved horses shall be posted in the racing secretary's office.

Section 5. Health Certificate Required.

(1) A horse shall not be stabled on the grounds of a licensed association or any training center under the jurisdiction of the corporation unless a Certificate of Veterinary Inspection is issued by an accredited veterinarian:

(a) Not more than ten (10) days prior to the horse's arrival on the grounds; or

(b) Within a lesser interval as prescribed by the racing association in consultation with the Kentucky Department of Agriculture.

(2) Notice of this requirement shall be included in the stall application of all licensed associations and training centers under the jurisdiction of the corporation and all condition books of licensed associations.

Section 6. Workouts. A horse shall not be schooled in the paddock or taken onto a track on association grounds for training or workout, other than during normal training hours posted by the association, without special permission of the stewards.

Section 7. Thoroughbred Age Restrictions.

(1) A maiden six (6) years of age or older that has made five (5) life time starts on the flat shall not be entered or start.

(2) A first time starter five (5) years of age or older shall be approved by a corporation veterinarian prior to entry.

Section 8. Other Age Restrictions. A quarter horse, paint horse, Arabian, or Appaloosa horse six (6) years of age or older shall not be entered or raced in a race restricted to maidens. A horse thirteen (13) years of age or older shall not be entered or raced.

Section 9. Fillies and Mares Bred.

(1) A filly or mare that has been covered by a stallion shall:

(a) Be so reported to the racing secretary prior to being entered in a race; and

(b) Not be entered in a claiming race, unless a written release from the stallion owner is attached to the filly's or mare's registration certificate, or otherwise provided to the stewards, indicating that the stallion service fee has been paid or satisfied.

(2) A list of all fillies and mares so reported, showing the names of stallions to which they have been bred, shall be posted in the racing secretary's office.

(3) A filly or mare in-foal shall not be entered in a race 120 days or more after the date of last cover.

Section 10. Serviceable for Racing. A horse shall not be entered or raced that:

(1) Is not in serviceable, sound racing condition. The stewards may at any time require a horse on association grounds to be examined by a qualified person;

(2) Is posted on a veterinarian's list, stewards' list, or starter's list in any racing jurisdiction, unless the horse on a veterinarian's list, stewards' list, or starter's list has a posted off date on or before the date of the race for which it is being entered;

(3) Has previously raced, but has made no starts in the last 365 days or more, unless approved by a corporation veterinarian prior to entry;

(4) Is suspended in any jurisdiction;

(5) Has been administered any drug in violation of 810 KAR 8:010;

(6) Is blind or has seriously impaired vision in both eyes;

(7) Is not correctly identified to the satisfaction of the stewards; or

(8) Is owned wholly or in part by or is trained by an ineligible person.

Section 11. Equipment.

(1) Riding crops and blinkers shall be used consistently on a horse while racing.

(2) Permission to change use of any equipment used on a horse from its previous start shall be obtained from the stewards.

(3) A horse's tongue may be tied down during a race with a clean bandage or gauze.

(4) A horse's bridle shall not weigh more than two (2) pounds.

(5) Bits shall be of a metallic alloy base of stainless steel or aluminum and may be encased in rubber, plastic, or leather.

(6) War bridles and bitless bridles shall not be used.

(7) Bar shoes may be used for racing only with permission of the stewards.

(8) Any goading device, chain, spurs, electrical or mechanical device, or appliance, except for a riding crop, that can be used to alter the speed of a horse shall not be used on a horse in a race or workout.

(9)

(a) Any riding crop shall be subject to inspection and approval by the stewards or the clerk of the scales to ensure conformity with the specifications of paragraphs (c) through (e) of this subsection.

(b) Only riding crops meeting the specifications of this subsection, including the mandatory shock absorbing characteristics, may be used in thoroughbred racing and training.

Maximum weight of eight (8) ounces;
Maximum length, including flap, of thirty (30) inches; and
Minimum diameter of the shaft of three-eighths (3/8) inch.

(d)

The only additional feature that may be attached to the riding crop is a flap that shall have a:

a. Maximum length from the end of the shaft of one-half (1/2) inch; and

b. Maximum width of one and six-tenths (1.6) inches, with a minimum width of eight-tenths (0.8) inch;

The flap from the end of the shaft shall not contain any reinforcements or additions;
There shall not be binding within seven (7) inches of the end of the flap;
The contact area of the shaft shall be smooth, with no protrusion or raised surface, and covered by shock absorbing material throughout its circumference; and
The flap shall have similar shock absorbing characteristics to that of the contact area.

(e) A riding crop shall not have:

Stingers or projections extending through the hole of a popper; and
Any metal parts.

(10)

(a) Except as established in paragraph (c) of this subsection, the following shall not be used on the front shoes of horses while racing or training on any racing surface:

Horse shoes that have toe grabs;
Bends;
Jar calks;
Stickers; and
Any other traction device worn on the front shoes of horses.

(b) Wear plates with a height no greater than two (2) millimeters may be used on the front shoes of horses while racing or training.

(c) Front horse shoes on quarter horses may have a toe grab that measures up to four (4) millimeters from the ground surface side of the shoe. Hind horse shoes on quarter horses may have a toe grab, that measures up to one-quarter (1/4) inch from the ground surface side of the shoe.

(11) Indiscriminate or brutal use on a horse of a riding crop or any other equipment, as determined by the stewards, at any time on the grounds of a licensed racing association or training center under the jurisdiction of the corporation shall be prohibited.

Section 12. Sex Alteration. Any alteration in the sex of a horse shall be reported by the horse's trainer to the racing secretary and to the appropriate breed registry applicable to the horse. The alteration shall be noted on the horse's registration certificate, racing permit, virtual or digital certificate, or entry in the electronic system.

Section 13. Reporting Death of Horse. A licensed racing association or training center under the jurisdiction of the corporation shall report the death or euthanization of any horse on its grounds immediately to the chief corporation veterinarian.

Section 14. Postmortem Examination. A horse that dies or is euthanized on the grounds of a licensed association or training center under the jurisdiction of the corporation shall undergo a postmortem examination at the discretion of the corporation. If a postmortem examination is conducted:

(1) All shoes and equipment on the horse's legs shall be left on the horse;

(2) The corporation, through its designee:

(a) Shall take possession of the horse upon death;

(b) Shall, if corporation personnel are present, collect and submit for analysis blood, urine, bodily fluids, or other biologic specimens immediately, if possible before euthanization occurs; and

(c) Shall coordinate with the owner or owner's licensed authorized agent to determine and address any insurance requirements.

(3) The remains of the horse shall not be returned after completion of the postmortem examination.

(4) The presence of a prohibited substance in a specimen collected during the postmortem examination may constitute a violation of 810 KAR 8:010.

Section 15. Incorporation by Reference.

(1) "ISO 11784", 2004 is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Horse Racing and Gaming Corporation[Commission], 4047 Iron Works Parkway, Lexington, Kentucky, Monday through Friday, 8 a.m. to 4:30 p.m. This document is also available on the International Organization for Standardization ("ISO") Web site at https://www.iso.org/standard/38799.html.

History

RELATES TO: KRS 230.215
STATUTORY AUTHORITY: KRS 230.215(2)(a), (c), 230.260(8)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2)(a) and (c) and 230.260(8) authorize the Kentucky Horse Racing and Gaming Corporation to promulgate administrative regulations regulating horse racing in Kentucky. This administrative regulation establishes requirements for the participation of horses in horse race meetings, protects the safety and welfare of the horse, and creates a level playing field for participants thereby protecting the integrity of pari-mutuel wagering.
History: 45 Ky.R. 1915; 3113; eff. 5-31-2019; 47 Ky.R. 1274, 1965; eff. 7-6-2021; 48 Ky.R. 2626; eff. 10-4-2022; 50 Ky.R. 470, 1284; eff. 3-5-2024; TAm eff. 7-1-2024.

810 KAR 4:020 Weights {#sec-810-kar-4-020 omnilex-key=us-ky-regs-official--title-810--810 KAR 4:020}

Section 1. Weight Assignments for Horses.

(1) Weight allowance shall be claimed at time of entry and shall not be waived after the posting of entries, except by consent of the stewards.

(2) A horse shall start with only the weight allowance to which it is entitled at the time of starting, regardless of its allowance at time of entry.

(3) Weight penalties shall be mandatory. A horse incurring a weight penalty for a race shall not be entitled to any weight allowance for that race. A horse not entitled to the first weight allowance in a race condition shall not be entitled to any subsequent allowance specified in the race conditions.

(4) Claim of weight allowance to which a horse is not entitled shall not disqualify the horse, unless protest is made in writing and lodged with the stewards at least one (1) hour before post time.

(5) A horse shall not incur a weight penalty or be barred from any race for having been placed second or lower in any race. A horse shall not be given a weight allowance for failure to finish second or lower in any race.

(6)

(a) Except as established in paragraph (b) of this subsection, a horse shall not receive weight allowance and shall not be relieved of extra weight for having been beaten in one (1) or more races.

(b) A horse may receive weight allowances if it has not won a race within a specified period or a race of a specified value as set forth in the race conditions.

(7) Penalties incurred and allowances due in steeplechase or hurdle races shall not apply to races on the flat, and vice versa.

(8) In determining eligibility, allowances, and penalties, the reports, records, and statistics as recorded in racing publications shall be considered official, but may be corrected by the publisher up to forty-five (45) minutes prior to post time of the race.

(9) A maiden winning at an unrecognized meeting shall lose the maiden condition. All other horses winning at unrecognized meetings shall not be considered winners for weight allowance or eligibility in races run thereafter under the jurisdiction of the corporation.

(10) A thoroughbred horse shall not be assigned a weight of less than 118 pounds, unless:

(a) Apprentice allowance is claimed;

(b) The horse is assigned a weight of less than 118 pounds in a handicap race by the racing secretary;

(c) The horse is a three (3) year old entered to run in a race against horses four (4) years old and older from January 1st through September 1,in which case the horse shall not be assigned a weight less than 116 pounds; or

(d) The filly and mare weight allowance in subsection (11) applies.

(11) Except in handicaps, thoroughbred fillies two (2) years old shall be allowed three (3) pounds, and thoroughbred fillies and mares three (3) years old and older shall be allowed five (5) pounds before September 1, and three (3) pounds thereafter in a race that includes horses of the opposite sex.

(12) Arabian minimum scale weights shall be 120 pounds for two (2) year-olds, 122 pounds for three (3) year-olds, and 124 pounds for four (4) year-olds and older.

(13) Quarter Horse, Appaloosa, and Paint Horse minimum scale weights shall be 124 pounds for two-year-olds, 126 pounds for three-year-olds, and 128 pounds for four-year-olds and older.

(14) Five (5) pounds shall be the limit of overweight any horse is permitted to carry.

Section 2. Jockey Weight Procedures and Requirements.

(1) Jockeys shall be weighed out for their respective mounts by the clerk of scales not less than fifteen (15) minutes before post time. Only valets furnished by the association shall assist a jockey in weighing out.

(2) A jockey's weight shall include:

(a) Clothing;

(b) Boots;

(d) Any other equipment except as specified in this subsection.

(3) A jockey's weight shall not include:

(a) Riding crop;

(b) Bridle;

(d) Reins;

(e) Safety helmet;

(f) Safety vest;

(g) Blinkers;

(h) Goggles;

(i) Over-girth;

(j) Breast collar; and

(k) Number cloth.

(4) After a race has been run, the jockey shall ride promptly to the finish line, dismount, and present himself to the clerk of scales to be weighed in. The jockey shall carry to the clerk of scales all pieces of equipment with which he or she weighed out. The post-race weighing of a jockey shall include any sweat, dirt, and mud that have accumulated on the jockey, jockey's clothing, jockey's safety helmet, jockey's safety vest, and over-girth.

(5) Each jockey shall weigh in at no less than the weight at which he or she weighed out. If short, the stewards shall investigate and if warranted take disciplinary action against the individual or individuals responsible for the violation, including disqualification of the horse from receiving what would otherwise be its share of the purse.

(6) If a jockey is prevented from riding his or her mount to the finish line because of an accident or illness either to himself or his mount, the jockey may walk or be carried to the scales, or the jockey may be excused by the stewards from weighing in.

(7) A notice shall be included in the daily program that:

(a) Each jockey shall carry approximately three (3) pounds more than the published weight to account for safety helmets and safety vests not included in required weighing out procedures; and

(b) Upon approval of the stewards, a jockey may be allowed up to three (3) pounds additional clothing and equipment for inclement weather or track conditions.

History

RELATES TO: KRS 230.215, 230.260
STATUTORY AUTHORITY: KRS 230.215(2), 230.260
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) authorizes the corporation to promulgate administrative regulations prescribing conditions under which all horse racing is conducted in the Commonwealth. This administrative regulation provides the requirements for assigning weights to a horse in a race.
History: 45 Ky.R. 1918; 2723; 3115; eff. 5-31-2019; TAm eff. 7-1-2024; Crt eff. 5-19-2026.

810 KAR 4:030 Entries, subscriptions, and declarations {#sec-810-kar-4-030 omnilex-key=us-ky-regs-official--title-810--810 KAR 4:030}

Section 1. Definition. "Subscriber" means an owner who enters a horse into a stakes race and pays the requisite entry fee.

Section 2. Entering Required.

(1) A horse shall not be qualified to start in any race unless the horse has been, and continues to be, entered in the race.

(2) Entries or subscriptions for any horse, or the transfer of entries or subscriptions for any horse, may be refused or cancelled by the association without notice or reason given.

Section 3. Procedure for Making Entries.

(1) An entry, subscription, declaration, or scratch shall be filed with the racing secretary and shall not be effective until received by the racing secretary. The racing secretary shall maintain a record of the time of receipt of an entry, subscription, declaration, or scratch for a period of at least one (1) year.

(2) An entry shall be made by the owner, the trainer, or an authorized agent of the owner or trainer. An entry shall be in the name of a horse's licensed owner, as completely disclosed and registered with the racing secretary pursuant to subsection (3) of this section.

(3) An entry shall be submitted in writing or by telephone to the racing secretary. A telephone entry shall be confirmed in writing if requested by the stewards, the racing secretary, or an assistant to the racing secretary.

(4) An entry shall clearly designate the horse entered as reflected by the horse's registration certificate, racing permit, or virtual certificate.

(a) A horse shall not race unless registered pursuant to 810 KAR 4:010 or otherwise correctly identified to the satisfaction of the stewards.

(b) Establishing the identity of a horse shall be the responsibility of its owner and of any other person required to certify the identity of the horse. Incorrect identification shall be grounds for disciplinary action as established in 810 KAR 8:030.

(5) The entry shall indicate usage of furosemide pursuant to 810 KAR 8:010.

(6) An entry shall not be altered after the closing of entries, except to correct an error with permission of the stewards.

(7)

(a) A horse shall not be entered in two (2) races to be run on the same day, unless:

Both races are graded-stakes races;
The horse will not be in the body of both races; and
The horse is not entered in either race to the exclusion of any horse.

(b) A horse entered in two (2) races to be run on the same day shall be scratched from at least one (1) of the races at the earliest posted scratch time applicable to either race.

(8)

(a) A horse that has not started in the past forty-five (45) days shall not start unless the horse has at least one (1) published workout within twenty (20) days of entry at a distance satisfactory to the stewards. If a horse has performed the requisite workout, but the workout does not appear in the past performances, the horse may start if the stewards determine that the workout failed to be published through no fault of the trainer.

(b) A horse that has not started in the past ninety (90) days shall not start unless the horse has at least two (2) published workouts during the past ninety (90) day period, one (1) of which occurs within twenty (20) days of entry at a distance satisfactory to the stewards. If a horse has performed the requisite workouts, but the workouts do not appear in the past performances, the horse may start if the stewards determine that the workout failed to be published through no fault of the trainer.

(c) A horse that has not started in the past 180 days shall not start unless the horse has at least three (3) published workouts during the past 180-day period, one (1) of which occurs within twenty (20) days of entry, at a distance satisfactory to the stewards. If a horse has performed the requisite workouts, but the workouts do not appear in the past performances, the horse may start if the stewards determine that the workouts failed to be published through no fault of the trainer.

(d) A horse starting for the first time shall not start unless the horse has at least three (3) workouts, one (1) of which is from the starting gate, one (1) of which is within twenty (20) days of entry, and at least one (1) of which is published.

(e) A workout not appearing in the official program shall be publicly displayed on television monitors, the tote board, and, if available, the bulletin boards where photo finishes are shown at the time when mutuel windows are opened and shall be displayed until the conclusion of the race in which the horse is entered.

(f) A horse that has never started shall not be entered until the trainer has produced a document or card issued by the starter indicating that the horse has been adequately trained to race from the starting gate.

(g) Quarter horses that have never raced around a turn shall have completed at least one (1) workout at 660 yards or farther within thirty (30) days prior to entry.

(h) Quarter horses that have previously started in a race around a turn, but have not started in such a race within sixty (60) days, shall complete at least one (1) workout at 660 yards or farther within thirty (30) days prior to entry.

(9) If the published conditions of the race allow, an association may accept in a turf race, an entry designated "main track only." Preference shall apply to all horses drawn into a race, except that horses entered as "main track only" shall be listed as also-eligible and be considered only if the race is taken off the turf.

(10) A horse shall not enter if at the time of entry, the owner, trainer, or an authorized agent of the owner or trainer has not submitted a complete medical record for the horse for the fourteen (14) day period prior to the entry date.

(11) As a condition of entry, quarter horses shall either submit non-positive hair samples with a test date within thirty (30) days of the race or have a hair sample pulled by a corporation veterinarian prior to the race and sent to a testing laboratory. If a hair sample taken by a corporation veterinarian returns a positive finding, the horse shall be disqualified and the owner and trainer may incur penalties established in 810 KAR 8:030. In addition, all quarter horses shall submit to out-of-competition testing as established by 810 KAR 8:040.

Section 4. Limitation as to Spouses.

(1) An entry in a race shall not be accepted for a horse owned wholly or in part or trained by a person whose spouse is under license suspension, revocation, or is otherwise ineligible to be licensed at the time of the entry, except as established in subsection (2) of this section.

(2) If the license of a jockey has been suspended for a routine riding offense, depending on the severity of the offense, the stewards may waive the application of this section as to the licensed spouse of the suspended jockey.

Section 5. Mutuel Entries.

(1) More than two (2) horses having common ties through ownership or training shall not be entered in a purse race.

(2) Horses entered in the same race and owned wholly or in part by the same owner or spouse, may be joined as a mutuel entry and single betting interest.

(3) More than two (2) horses having common ties through ownership or training shall not be joined as a mutuel entry in a purse race. If making a double entry of horses owned wholly or in part by the same owner or spouse, a preference for one (1) of the horses shall be made.

(4)

(a) Two (2) horses having common ties through ownership shall not start in a purse race to the exclusion of a single entry.

(b) In any race, the racing secretary may uncouple entries having common ties through training or ownership to make two (2) separate betting interests.

Section 6. Subscriptions.

(1) A subscriber to a stakes race may transfer or declare a subscription. Transfer or declaration of a subscription shall be made prior to the closing of entries for the race.

(2) Joint subscriptions and entries may be made by any one (1) of the joint owners of a horse. Each owner shall be jointly and severally liable for all payments due.

(3) Death of a horse or a mistake in a horse's entry if the horse is eligible shall not release the subscriber or transferee from liability for all stakes fees due. Fees paid in connection with a subscription to a stakes race that is run shall not be refunded, except as otherwise stated in the conditions of the stakes race.

(4) Death of a nominator or original subscriber to a stakes race shall not render void any subscription, entry, or right of entry. All rights, privileges, and obligations shall attach to the successor owner, including the legal representatives of the decedent.

(5) If a horse is sold privately, sold at public auction, or claimed, stakes engagements for the horse shall be transferred automatically with the horse to the horse's new owner. If the horse is transferred to a person whose license is suspended, revoked, or is otherwise ineligible to be licensed, the subscription shall be void as of the date of the transfer.

(6) All stakes fees paid toward a stakes race shall be allocated to the winner unless otherwise provided by the condition for the stakes race. If a stakes race is cancelled for any reason, all subscription fees paid shall be refunded.

Section 7. Closings.

(1) Entries for purse races and subscriptions to stakes races shall close at the time designated by the association in previously published conditions for the races.

(a) If a race is not split, an entry, subscription, or declaration shall not be accepted after closing time.

(b) If a purse race fails to fill, or in an emergency, the racing secretary may extend the closing time, if the approval of a steward has been obtained.

(2) Entries that have closed shall be compiled without delay by the racing secretary and shall be posted along with declarations.

Section 8. Number of Starters in a Race.

(1) The maximum number of starters in any race shall be limited to the number of starting positions afforded by the association starting gate and any extensions approved by the corporation as can be positioned across the width of the track at the starting point for the race. The maximum number of starters further shall be limited by the number of horses that, in the opinion of the stewards after considering the safety of the horses and riders and the distance from the start to the first turn, may be afforded a fair and equal start.

(2)

(a) A maiden, starter, or claiming race shall be run if:

Eight (8) or more horses are entered;
The horses entered represent different betting interests; and
The race is listed in the printed condition book.

(b) Except as established in paragraph (c) of this subsection, any other purse race shall be run if:

Six (6) or more horses are entered;
The horses entered represent different betting interests; and
The race is listed in the printed condition book.

(c) If a purse race under paragraph (b) of this subsection includes two (2) horses having common ties through training or ownership, the race shall be run if eight (8) or more horses are entered.

(3) If a purse race in the printed condition book fails to fill with the minimum number of entries required by subsection (2) of this section, the association may cancel or declare the race off. The names of all horses entered in the race shall be publicly posted in the office of the racing secretary on the date of entry.

Section 9. Split or Divided Races.

(1) If a race is cancelled or declared off, the association may split any race programmed for the same day that may previously have been closed. Races printed in the condition book shall have preference over substitute and extra races.

(2) If a purse race is split, forming two (2) or more separate races, the racing secretary shall give notice of the split not less than fifteen (15) minutes before the races are closed in order to grant time for the making of additional entries to the split races.

(3) Division of entries upon the splitting of any race shall be made in accordance with the conditions under which entries and subscriptions were made and the conditions established in paragraphs (a) through (c) of this subsection.

(a) Horses originally joined as a mutuel entry may be placed in different divisions of a split race unless the person making the multiple entry, at the time of the entry, indicates the coupling of horses is not to be uncoupled if the race is split.

(b) Division of entries in any split stakes race may be made according to age, sex, or both.

(c) Entries for any split race not divided by any method provided for in this administrative regulation shall be divided by lot so as to provide a number of betting interests as nearly equal as possible for each division of the split race.

Section 10. Post Positions.

(1) Post positions for all races shall be determined by lot, except as established in Section 11(5) of this administrative regulation. Owners, trainers, and their representatives shall have the opportunity to be present at the drawing.

(2) The racing secretary shall assign program numbers for each starter to conform with the post position drawn, except if a race includes two (2) or more horses joined as a single betting interest.

Section 11. Also-Eligible List.

(1) If the number of entries for a race exceeds the number of horses allowed to start, as established by Section 8 of this administrative regulation, the names of no more than eight (8) horses entered, but not drawn into the race as starters, shall be posted on the entry sheet as "also-eligible" to start.

(2) After a horse has been excused from a race at scratch time, also-eligible horses shall be drawn into the body of the race based on preference. If preference is equal, horses shall be drawn by lot, unless otherwise stipulated in the conditions of the race.

(3)

(a) An owner or trainer of a horse on the also-eligible list not wishing to start the horse in a race shall notify the racing secretary prior to scratch time for the race. The horse shall not forfeit any preference to which the horse may have been entitled.

(b) If there are no scratches in the body of a race, a horse on the also-eligible list not drawn into the race shall retain the horse's previously established preference.

(4) A horse on the also-eligible list for a race on the present day that has been drawn into the body of a race on a future race day, shall not be allowed to run in the race on the present day for which the horse had been listed as also-eligible. This shall not include stakes, handicaps, races at subsequent meets, or races in other jurisdictions.

(5) A horse on the also-eligible list shall be assigned a post position by preference. If preference is equal, post positions shall be drawn by lot, unless otherwise stipulated in the published conditions of the race.

(6) If there is a scratch in a straightaway quarter horse race that has an also eligible list, the also eligible horse shall take the post position of the scratched horse. If there is a scratch in a quarter horse race around a turn, the also eligible horse shall take the outside post position in the order drawn from the also eligible list.

Section 12. Preferred List.

(1) The racing secretary shall maintain a list of horses that were entered, but denied an opportunity to race because they were eliminated from a race included in the printed condition book either by overfilling or failure to fill.

(2) The racing secretary shall submit, for approval of the corporation at least thirty (30) days prior to the opening date of a race meeting, a detailed description of the manner in which preference will be allocated.

(3) Preferences shall not be given to a horse otherwise eligible for a race if that horse is also entered for a race on a future race day. This shall not include stakes and handicaps.

Section 13. Arrears. Unless approved by the racing secretary, a horse shall not be entered or raced unless the horse's owner has paid all stakes fees owed.

Section 14. Declarations.

(1) Declarations shall be made in the same form, time, and procedure as required for the making of entries.

(2) Declarations shall be irrevocable.

(3) A declaration fee shall not be required by any licensed association.

Section 15. Scratches.

(1) Scratches shall be irrevocable and shall be allowed under the conditions established in this section.

(a) Except as established in Section 2(7)(b) and paragraph (b) of this subsection, a horse may be scratched from a stakes race for any reason at any time until four (4) hours prior to post time for the race by obtaining approval from the stewards. Upon receiving a scratch from a stakes race, the racing secretary shall immediately notify the stewards and pari-mutuel manager, and shall cause public announcement of the scratch to be made.

(b) If a list of also-eligible horses has been drawn, scratches shall be filed at the regular scratch time as posted by the racing secretary. Scratch time may be extended by the stewards at their discretion if warranted. Thereafter, a horse shall not be scratched unless:

A valid physical reason exists; or
The scratch is related to adverse track conditions or change of racing surface.

The approval of the stewards has been obtained; and
Intention to scratch has been filed in writing with the racing secretary or the secretary's assistant at or before scratch time.

(2) A scratch of one (1) horse coupled in a mutuel entry in a purse race shall be made at or before scratch time, unless permission is granted by the stewards to allow both horses to remain in the race until a later appointed scratch time.

(3) In a purse race, a horse that is physically disabled or sick shall be permitted to be scratched first. If horses representing more than eight (8) betting interests remain in after horses with physical excuses have been scratched, an owner or trainer may scratch horses without physical excuses at scratch time, down to a minimum of eight (8) betting interests. This privilege shall be determined by lot if an excessive number of owners or trainers wish to scratch their horses.

(4) A horse that has been scratched or excused from starting by the stewards because of a physical disability or sickness shall be placed on the corporation's veterinarian list for six (6) calendar days beginning the day after the horse was scratched or excused.

(5) Each association shall keep records and statistics documenting the effect upon field sizes of the six (6) day veterinarian list requirement in subsection (4) of this section. Records and statistics kept pursuant to this section shall be retained by the licensed racing association for at least one (1) year.

Section 16. Official Publication Statistics. In determining eligibility, allowances and penalties, the reports, records, and statistics as published in the Daily Racing Form or similar publication as the corporation considers appropriate to advise the public and the monthly chart books, or corresponding official publications of any foreign country, shall be considered official, but may be corrected until forty-five (45) minutes prior to post time of the race.

Section 17. Entry Examination by Attending Veterinarian.

(1) A horse shall only start if:

(a) The horse has been examined by an attending veterinarian licensed by the veterinary regulatory body in the jurisdiction where the examination occurs within three (3) days after the close of entries and no later than two (2) days before the race; and

(b) The attending veterinarian certifies and electronically submits a report to the Equine Medical Director or its designee that the horse is in serviceable, sound racing condition.

(2) The examination required by subsection (1)(a) of this section shall include, at a minimum, examination of the legs and observation of the horse at rest and while jogging.

(3) If the attending veterinarian who examines the horse prescribes a diagnostic test as part of the evaluation of the horse's soundness, the results of the test shall be provided to the corporation's veterinarian no later than one (1) day before the horse is set to start.

History

RELATES TO: KRS 230.215, 230.240, 230.260, 230.290, 230.310, 230.320
STATUTORY AUTHORITY: KRS 230.215(2)(a), 230.260(8)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2)(a) authorizes the Kentucky Horse Racing and Gaming Corporation to promulgate administrative regulations to establish the conditions under which all horse racing is conducted in Kentucky. KRS 230.260(8) authorizes the corporation to regulate conditions under which horse racing shall be conducted in Kentucky. This administrative regulation establishes requirements for entry, subscription, and declaration of horses in order to race.
History: 810 KAR 004:030. 45 Ky.R. 1919; 3116; eff. 5-31-2019; 46 Ky.R. 2522; 2973; 47 Ky.R. 69; eff. 8-25-2020; 47 Ky.R. 1277; eff. 7-6-2021; 48 Ky.R. 2629; eff. 10-4-2022; 50 Ky.R. 473, 1125, 1286; eff. 3-5-2024; TAm eff. 7-1-2024; 51 Ky.R. 1214, 1791; eff. 7-1-2025.

810 KAR 4:040 Running of the race {#sec-810-kar-4-040 omnilex-key=us-ky-regs-official--title-810--810 KAR 4:040}

Section 1. Post Time. Post time for the first race on each racing day shall be approved by the corporation. Post time for subsequent races on the same program shall be fixed by the pari-mutuels manager. No race shall start after 11:55 p.m.

Section 2. Horses in paddock not to be touched. Only the following persons may touch a horse while in the paddock:

(1) Licensed owner;

(2) Licensed trainer;

(3) Authorized stable personnel;

(4) Paddock judge;

(5) Horse identifier;

(6) Assigned valet;

(7) Steward;

(8) Farrier;

(9) Outrider; or

(10) Jockey.

Section 3. Trainer Responsibility. The trainer shall be responsible for:

(1) Arrival in the paddock, at the time prescribed by the paddock judge, of each horse entered;

(2) Supervising the saddling of each horse entered; and

(3) Providing his or her assistant trainer or another licensed trainer to serve as a substitute if absent from a track where the trainer's horses are participating in races.

Section 4. Withdrawal of a Horse. A horse whose starting is mandatory shall run the course, except that the stewards may order the withdrawal of a horse at any time up to the actual start of a race.

Section 5. Walkover. If at the time for saddling, only one (1) horse, or horses owned by only one (1) stable, will be weighed out, the horse or horses of single ownership shall be ridden past the stewards' stand, go to the post, and then move over the course before determination of the winner.

Section 6. Parade to the Post; Time.

(1) All horses shall parade and carry their declared weight from the paddock to the starting post.

(a) The parade shall pass the stewards' stand.

(b) After passing the stewards' stand once, horses may break formation and canter, warm up, or go as they please to the post.

(2) The parade to the post shall not exceed twelve (12) minutes from the time the field enters upon the track, except in cases of unavoidable delay.

(3) If a jockey is thrown on the way to the post:

(a) The jockey shall remount at the point at which thrown; or

(b) If the jockey is so injured as to require a substitute jockey, the horse shall be returned to the paddock where the horse shall be remounted by a substitute jockey.

Section 7. Lead Pony. A horse may be led to the post by a lead pony. Lead ponies may be excluded from the paddock or walking ring, at the discretion of the stewards.

Section 8. Control of Horses and Jockeys by Starter. Horses and jockeys shall be under the control of the starter from the moment they enter the track until the race is started.

(1) The starter may grant a delay if an injury occurs to any jockey or if a jockey's equipment malfunctions. During the delay, the stewards may require all jockeys to dismount.

(2) The starter shall unload the horses in the gate when instructed by the stewards if:

(a) A horse breaks through the gate or unseats its jockey after any of the field is loaded in the starting gate; and

(b) The horse is not immediately taken in hand by the outrider and brought back for reloading.

(3) The starter shall reload the horses in their proper order upon order of the stewards.

(4) The starter shall report all causes of delay to the stewards.

(5) A person other than the jockey, starter, or assistant starter shall not strike a horse or attempt, by shouting or other means, to assist the horse in getting a start.

Section 9. Starting Gate. Races on the flat shall use a starting gate approved by the corporation unless exempted by the stewards. Exempted races shall not start until the assistant starter has dropped the flag in answer to the starter.

Section 10. Horses Left at Post.

(1) If a door at the front of the starting gate fails to open properly and timely when the starter dispatches the field, or if a horse has inadvertently not been loaded in the starting gate when the field is dispatched, thereby causing the horse to be left at the post, the starter shall immediately report the circumstance to the stewards who shall:

(a) Immediately post the "inquiry" sign;

(b) Advise the public to hold all pari-mutuel tickets; and

(c) Determine, after consulting with the starter and viewing the race replay, whether or not the horse was precluded from obtaining a fair start.

(2) If the stewards determine that the horse was precluded from obtaining a fair start, the stewards shall rule the horse a nonstarter and shall order money wagered on the horse deducted from the pari-mutuel pool and refunded to holders of pari-mutuel tickets on the horse, unless the horse ruled a nonstarter is part of a pari-mutuel entry and another horse in the entry is not left at the post, in which case there shall not be a pari-mutuel refund.

(3) Stakes fees for a ruled nonstarter shall be refunded to the owner.

(4) The starter may, in his or her discretion, place an unruly or fractious horse on the outside of the starting gate and one (1) length behind the starting line. If the horse so stationed outside the starting gate by the starter dwells or refuses to break with the field and is thereby left at the post, there shall not be a refund of pari-mutuel wagers on the horse nor refund of stakes fees paid for the horse.

(5) The use of a flipping halter as safety equipment may be permitted in Quarter Horse races only, at a trainer's discretion, if approved by track management and the starter. The use of a flipping halter shall be noted at time of entry and in the official program.

(6) If the stewards in a quarter horse race determine that a door at the front of the starting gate failed to open properly or timely due to a horse equipped with a flipping halter:

(a) The stewards shall rule the horse to be a starter and eligible for race placement and purse earnings; and

(b) There shall not be a pari-mutuel refund.

Section 11. Horses Failing to Finish. Any horse that starts in a race but does not cross the finish line or is not ridden across the finish line by the jockey with whom it starts the race shall be declared unplaced and shall receive no portion of the purse money.

Section 12. Fouls.

(1) A leading horse if clear is entitled to any part of the track.

(2) If a leading horse or any other horse in a race swerves or is ridden to either side so as to interfere with, intimidate, or impede any other horse or jockey, or to cause the same result, this action shall be deemed a foul.

(3) If a jockey strikes another horse or jockey, it is a foul.

(4) If, in the opinion of the stewards, a foul alters the finish of a race, an offending horse may be disqualified by the stewards.

(5) In a quarter horse straightaway race, every horse shall maintain position as nearly as possible in the lane in which the horse starts.

(6) If a horse is disqualified for interference during the running of quarter horse time trials, the disqualified horse shall receive the time of the horse it is immediately placed behind, plus 1/1000th of a second. The disqualified horse shall be eligible to qualify for a final or consolation race based upon the assigned time.

Section 13. Stewards to Determine Foul Riding.

(1) A jockey shall make a best effort to control and guide his or her mount in such a way as not to cause a foul.

(2) The stewards shall take cognizance of riding that results in a foul, irrespective of whether or not an objection is lodged.

(3) If, in the opinion of the stewards, a foul is committed as a result of a jockey not making a best effort to control and guide his or her mount to avoid a foul, whether or not intentionally or through carelessness or incompetence, the jockey may be penalized at the discretion of the stewards.

Section 14. Horses to be Ridden Out.

(1) Every horse in every race shall be ridden so as to win or finish as near as possible to first and demonstrate the best and fastest performance of which it is capable at the time, while in compliance with Section 15 of this administrative regulation.

(2) A horse shall not be eased up without adequate cause, even if it has no apparent chance to earn a portion of the purse money.

(3) A jockey who unnecessarily causes a horse to shorten stride may be penalized at the discretion of the stewards.

(4) Stewards shall take cognizance of any marked reversal of form of a horse and shall conduct inquiries of the licensed owner, licensed trainer, and all other persons connected with the horse.

(5) If the stewards find that the horse was deliberately restrained or impeded in any way or by any means so as not to win or finish as near as possible to first, any person found to have contributed to that circumstance may be penalized at the discretion of the stewards.

Section 15. Use of Riding Crops.

(1) Although the use of a riding crop is not required, a jockey who uses a riding crop during a race shall do so only in a manner consistent with exerting his or her best efforts to win.

(2) In any race in which a jockey will ride without a riding crop, an announcement of that fact shall be made over the public address system.

(3) An electrical or mechanical device or other expedient designed to increase or retard the speed of a horse, other than a riding crop approved by the stewards pursuant to 810 KAR 4:010, Section 11 shall not be possessed by anyone, or applied by anyone to a horse at any time at a location under the jurisdiction of the corporation.

(4) A riding crop shall not be used on a two (2) year-old horse in races before April 1 of each year.

(5) Allowable Uses of a Riding Crop.

(a) The riding crop may be used at any time, without penalty, if, in the opinion of the stewards, the riding crop is used to avoid a dangerous situation or preserve the safety of other riders or horses in a race.

(b) If necessary during a race, a riding crop may be used in a backhanded or underhanded fashion from the 3/8 pole to the finish line. This use shall not be counted toward the use of the crop six (6) times in the overhand fashion, as allowed in subsection (6) of this section. The use of the crop shall not rise above the rider's helmet at any point.

The horse is tapped on the shoulder with the crop in the down position while both hands are holding onto the reins and both hands are touching the neck of the horse; and
The crop is shown or waved without contact with the horse and the horse is given time to respond before the horse is struck.

(6) A riding crop may be used to make contact with a horse to maintain focus and concentration, to control the horse for safety of the horse and rider, or to encourage a horse, with the following exceptions:

(a) Use of the crop in any manner, other than underhanded or backhanded as established in subsection (5)(b) of this section, or tapping on the shoulder as established in subsection (5)(c) of this section, resulting in more than six (6) times in the overhand manner;

(b) Use of the crop and making contact with the horse more than two (2) successive strikes without allowing the horse a chance to respond;

(d) Use of the crop on the head, flanks, or on any other part of its body other than the shoulders or hindquarters;

(e) Use of the crop during the post parade or after the finish of the race except if necessary to control the horse;

(f) Excessive or brutal use of the crop causing injury to the horse;

(g) Use of the crop causing welts or breaks in the skin;

(h) Use of the crop if the horse is clearly out of the race or has obtained its maximum placing; and

(i) Use of the crop even though the horse is showing no response.

(7) A riding crop shall not be used to strike another person.

(8) After the race, a horse shall be subject to inspection by a racing official or official veterinarian looking for cuts, welts, or bruises in the skin. Any adverse findings shall be reported to the stewards.

(9) A crop may be used during workouts if the use does not violate subsection (6)(c) through (i) of this section.

(10) The giving of instructions by any licensee that, if obeyed, would lead to a violation of this section may result in disciplinary action also being taken against the licensee who gave the instructions.

(11) Only padded/shock absorbing riding crops that have not been modified in any way may be carried in a race.

(12) During a race, if a jockey rides in a manner contrary to this rule, the stewards shall impose a minimum fine of $500, a minimum suspension of three (3) days, or both, if in the opinion of the stewards, the violation is egregious or intentional. Factors in determining whether a violation is egregious shall include at least the following:

(a) Recent history of similar violations;

(b) Number of uses over the total and consecutive limits described in this section; and

Section 16. Other Means of Altering Performance. An electrical or mechanical appliance, other than a riding crop, shall not be used to affect the speed of a horse in a race or workout. A sponge or other object shall not be used to interfere with the respiratory system of a horse. Use or nonuse of ordinary racing equipment shall be consistent and any change of equipment shall be approved by the stewards.

Section 17. Official Order of Finish as to Pari-mutuel Payoff. Once satisfied that the order of finish is correct and that the race has been properly run in accordance with the rules and KAR Title 810, the stewards shall order that the official order of finish be confirmed and the official sign posted for the race. The decision of the stewards as to the official order of finish for pari-mutuel wagering purposes shall be final, and no subsequent action shall set aside or alter the official order of finish for the purposes of pari-mutuel wagering.

History

RELATES TO: KRS 230.215(2), 230.260(1)
STATUTORY AUTHORITY: KRS 230.215(2)(a), (c), 230.260(8)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2)(a) and (c) and 230.260(8) authorize the Kentucky Horse Racing and Gaming Corporation to promulgate administrative regulations prescribing the conditions under which racing shall be conducted in Kentucky. This administrative regulation establishes the standards and requirements governing the running of a horse race.
History: 45 Ky.R. 1923; 3118; eff. 5-31-2019; 48 Ky.R. 610, 1561; eff. 2-1-2022; 50 Ky.R. 477, 1288; eff. 3-5-2024.

810 KAR 4:050 Claiming races {#sec-810-kar-4-050 omnilex-key=us-ky-regs-official--title-810--810 KAR 4:050}

Section 1.

(1) In claiming races a horse shall be subject to claim for its entered price by a licensed owner in good standing, an authorized agent, or by the holder of a claiming license. The procedure for obtaining a claiming license shall be as established in paragraphs (a) and (b) of this subsection and subsection(2) of this section.

(a) An applicant shall, fifteen (15) days prior to entering a claim, submit:

An application for a claiming license;
A financial statement;
To a background check, if requested by the corporation;
The name of a licensed trainer, or person eligible to be licensed as a trainer, who will assume care and responsibility for the horse claimed; and
The requisite fee for a claiming license.

(b) The claiming license shall be valid for the remainder of the calendar year.

(2) Authorized agent.

(a) An agent shall claim only for the account of those for whom he or she is licensed as agent.

(b) The name of the authorized agent and the name of the owner for whom the claim is being made shall appear on the Claim Blank.

(3)

(a) A person shall not claim his or her own horse or cause his or her own horse to be claimed, directly or indirectly, for his or her own account.

(b) A claimed horse shall not remain in the same stable or under the care or management of the owner or trainer from whom it is claimed.

(4)

(a) A person shall not claim more than three (3) horses from a race.

(b) Multiple claims submitted by the same owner, authorized agent, or trainer for a single horse shall not be permitted and shall be void.

(5)

(a) A claimed horse shall not run for thirty (30) days after being claimed in a race in which the determining eligibility price is less than twenty-five (25) percent more than the price for which the horse was claimed.

(b) The day following the day the horse is claimed shall be the first day for purposes of the thirty (30) day period;

(c) The claimed horse shall be entitled to enter as necessary to permit it to start on the 31st calendar day following the claim.

(d) This subsection shall not apply to starter handicaps in which the weight to be carried is assigned by the handicapper, and starter allowance races.

(6)

(a) A horse claimed in a claiming race shall not be sold or transferred, wholly or in part, within thirty (30) days after the day it was claimed, except in another claiming race.

(b) Unless the stewards grant permission for a claimed horse to enter and start at an overlapping or conflicting meeting in Kentucky, a horse shall not race elsewhere until the close of entries of the meeting at which it was claimed.

(7)

(a) A claim shall be:

Made on corporation Claim Blank;
Sealed in a Claim Blank Envelope; and
Deposited in the association's claim box.

(b) The Claim Blank form and envelope shall be filled out completely and accurately.

(8)

(a) Claims shall be deposited in the claim box at least fifteen (15) minutes before post time of the race from which the claim is being made.

(b) Money or its equivalent shall not be put in the claim box.

(c) A claim shall be valid if the claimant at the time of filing the claim has a credit balance in his or her account with the horseman's bookkeeper of not less than the amount of the claim, plus the Kentucky sales tax.

(9) The stewards, or their designated representative, shall:

(a) Open the claim envelopes for each race as soon as the horses leave the paddock en route to the post; and

(b) Check with the horseman's bookkeeper to ascertain whether or not the proper credit balance has been established with the association.

(10) If more than one (1) valid claim is filed for the same horse, title to the horse shall be determined by lot under the supervision of the stewards or their designated representative.

(11)

(a) After the race has been run, a horse that has been claimed shall be delivered to the claimant.

(b) The claimant shall present written authorization for the claim from the racing secretary.

(c) After written authorization has been presented, horses that are sent to the detention area for post race testing shall be delivered.

(d) Other horses shall be delivered in the paddock.

(e) A person shall not refuse to deliver a horse claimed out of a claiming race to the person legally entitled to the horse.

(f) If the owner of a horse that has been claimed refuses to deliver the horse to the claimant, the horse shall be disqualified from further racing until delivery is made.

(12)

(a) A claim shall be irrevocable.

(b) Title to a claimed horse shall be vested in the successful claimant from the time the horse is a starter, and the funds shall be transferred to the account of the previous owner, with the funds immediately available for future claiming transactions.

The horse suffers a fatality during the running of the race or dies or is euthanized before leaving the track; or
The corporation veterinarian determines the horse will be placed on the Veterinarian's List as bled, unsound, or lame before the horse is released to the successful claimant.

(d) The stewards shall not void the claim if, prior to the race in which the horse is claimed, the claimant indicates on the claim blank that he or she elects to claim the horse regardless of whether or not the corporation veterinarian determines the horse will be placed on the Veterinarian's List as bled, unsound, or lame.

(e) A claimed horse shall run in the interest of and for the account of the owner from whom it is claimed.

(13)

(a) A person shall not:

Enter or offer to enter into an agreement to claim or not to claim; or
Attempt or offer to attempt to prevent another person from claiming any horse in a claiming race.

(b) A person shall not attempt by intimidation to prevent anyone from running a horse in a claiming race.

(c) An owner or trainer shall not make an agreement with another owner or trainer for the protection of each other's horse in a claiming race.

(14)

(a) A claim that does not comply with the provisions of this administrative regulation shall be void.

(b) The stewards shall be the judges of the validity of a claim.

(15) A person holding a lien of any kind against a horse entered in a claiming race shall record the lien with the racing secretary or horseman's bookkeeper at least thirty (30) minutes before post time for that race. If none is so recorded, it shall be presumed that none exists.

(16) The engagements of a claimed horse pass automatically with the horse to the claimant.

(17) Notwithstanding any designation of sex or age appearing on the racing program or in any racing publication, the claimant of a horse shall be solely responsible for determining the age or sex of the horse claimed.

(18)

(a) A claimed horse not otherwise selected by the stewards for post-race testing shall be subjected to post-race testing in blood for the presence of substances regulated by 810 KAR Chapter 8. The results of the test shall be reported to the chief state steward.

(b) If a test is positive for a substance associated with a Class A, B, or C penalty or for a TCO2 violation, the claim may be voided at the option of the claimant and the claimant shall be entitled to return of all sums paid for the claimed horse and of all expenses incurred after the date of the claim.

Exercise due care in maintaining and boarding a claimed horse; and
Not materially alter a claimed horse.

Section 2. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Claim Blank", 11/2018; and

(b) "Claim Blank Envelope", 11/2018.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at Kentucky Horse Racing and Gaming Corporation, 4047 Iron Works Pike, Lexington Kentucky 40511, Monday through Friday, 8 a.m. to 4:30 p.m.

History

RELATES TO: KRS 230.215, 230.260
STATUTORY AUTHORITY: KRS 230.215(2), 230.260(8)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) and 230.260(8) authorize the Kentucky Horse Racing and Gaming Corporation to promulgate administrative regulations prescribing the conditions under which racing shall be conducted in Kentucky. This administrative regulation prescribes conditions for claiming races.
History: 45 Ky.R. 1925; 3120; eff. 5-31-2019; TAm eff. 7-1-2024; Crt eff. 5-19-2026.

810 KAR 4:060 Objections and complaints {#sec-810-kar-4-060 omnilex-key=us-ky-regs-official--title-810--810 KAR 4:060}

Section 1. Persons Eligible to Lodge Objections or Complaints.

(1) Except as established by subsection (2) of this section, an objection or complaint against a horse or jockey entered in a race shall be received only if lodged:

(a) In accordance with Sections 2 and 3 of this administrative regulation; and

(b) By the owner or authorized agent of the owner, the trainer, or the jockey of another horse engaged in the same race and whose horse suffered or could suffer by the alleged violation of KAR Title 810.

(2) An inquiry may also be made by a racing official.

Section 2. Procedures for Objections and Complaints.

(1) An objection as to interference or a foul occurring during the running of the race shall be lodged with the stewards orally or by telephone. All other objections or complaints shall be made in writing and be signed by the complainant.

(2) An objection or complaint lodged during a race meeting shall be addressed to the stewards. An objection or complaint lodged after the termination of a race meeting shall be addressed to the corporation at the corporation's general office.

(3) An objection or complaint once lodged shall not be withdrawn without permission of the stewards.

Section 3. Time for Lodging Objections or Complaints.

(1) Except as established by subsection (2) of this section, an objection or complaint based on one (1) of the following violations of KAR Title 810 shall be lodged by an aggrieved person within the time prescribed:

(a) At least one (1) hour before post time of the race, if the objection or complaint is based on incorrect weight allowance claimed for a horse entered to race;

(b) Before the race has been posted as official on the infield results board, if the objection or complaint is based on interference by a horse, improper course run by a horse, foul riding by a jockey, or any other matter occurring during and incident to the running of the race;

(c) Not later than one (1) year from the date the race was run, if the objection or complaint is based on fraudulent or willful misstatement in an entry under which a horse has run;

(d) Not later than forty-eight (48) hours after post time of the race, if the objection or complaint involves the claim of a horse or a violation of 810 KAR 4:010, Section 4; and

(e) Within one (1) week after post time of the race, if the objection or complaint is based on any other violation of KAR Title 810.

(2) A steward may declare a horse ineligible or disqualified at any time.

Section 4. Final Determination of Objections to Acts in Race.

(1) The stewards shall:

(a) Make all findings of fact as to all matters occurring during and incident to the running of a race;

(b) Determine all objections and inquiries based on interference by a horse, improper course run by a horse, foul riding by a jockey, and all other matters occurring during and incident to the running of a race; and

(2) Findings of fact and determination shall be final and shall not be subject to appeal.

(3) In determining the extent of disqualification, the stewards shall consider the seriousness and circumstances of the incident and may:

(a) Disqualify and place the offending horse behind any horse that may have suffered by reason of the foul;

(b) Disqualify and declare the offending horse unplaced;

(d) Declare void a track record set or equaled by a disqualified horse;

(e) Affirm the placing judges' order of finish and suspend the jockey if, in the stewards' opinion, the foul riding had no effect on the order of finish; or

(f) Disqualify the offending horse and not suspend the jockey if, in the stewards' opinion, the interference to another horse in a race was not the result of an intentional foul or careless riding on the part of the jockey.

(g) If, in the opinion of the stewards, the order of finish of the race was affected by deliberate interference that was for the benefit of another horse with common ties through ownership or training, both horses may be subject to the penalties in (3)(a), (b), (c), and (d).

Section 5. Dispute of a Race after Declared Official for Pari-mutuel Payoff. If the result of a race is placed in dispute by the lodging of an objection or complaint or by discovery of an alleged violation of KAR Title 810 after the race has been declared official for pari-mutuel payoff, the procedures established in this section shall apply pending final determination of the disputed race.

(1) The purse money and trophy to which the horse objected to may have been entitled shall be withheld and placed in escrow by the association until final adjudication of the dispute, except the stewards may order any portion of the purse money to be distributed if the distribution would not be affected by the determination of the dispute.

(2) If purse money or trophy has been awarded to an owner prior to the lodging of an objection or discovery of an alleged violation of KAR Title 810 that places the outcome of a race in dispute, the money or trophy shall be returned immediately to the association on order of the stewards. Upon final adjudication of the dispute, the person deemed to be entitled to the purse money or trophy shall be entitled to an order of recovery from any person or association holding the same.

(3) The horse that crossed the finish line first and any other horse that may become the winner of a disputed race shall be considered winners of that race until the matter is finally adjudicated.

Section 6. Determination of a Disputed Race. The stewards shall determine an objection, complaint, or alleged violation of KAR Title 810 lodged or discovered after a race has been declared official for pari-mutuel payoff and shall issue a ruling. If the stewards find that a requirement of KAR Title 810 was violated, the stewards may penalize the persons responsible, disqualify any horses in the disputed race, and award the purse money and trophy in accordance with any resulting revised order of finish in the disputed race.

Section 7. Revised Order of Finish after Race Declared Official for Pari-mutuel Payoff. If a horse is disqualified after a race has been declared official for pari-mutuel payoff and causes revision of the order of finish in the race:

(1) The pari-mutuel payoff shall not be affected in any way; and

(2) The stewards shall ensure that appropriate corrections are made in official records for the race and in racing statistics as might pertain to the respective horses, jockeys, trainers, owners, breeders, sires, dams, and broodmare sires, by reporting the corrections to the racing secretary and to the Daily Racing Form.

Section 8. Complaints Against Officials. A complaint or protest by a licensee based on a decision or act of a racing official other than the stewards, or concerning any matter that may occur on association grounds not provided for by Sections 4 and 5 of this administrative regulation, shall be made in writing, signed by the complainant, and submitted to the stewards. A complaint or protest by a person based on a decision, act, or conduct of the stewards shall be submitted to the corporation as established by 810 KAR 9:010.

History

RELATES TO: KRS 230.215, 230.260
STATUTORY AUTHORITY: KRS 230.215(2), 230.260(8)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) and 230.260(8) authorize the Kentucky Horse Racing and Gaming Corporation to promulgate administrative regulations prescribing conditions under which racing is conducted in Kentucky. This administrative regulation establishes the requirements and procedures for lodging objections and complaints.
History: 45 Ky.R. 1927; 3121; eff. 5-31-2019; 48 Ky.R. 2633; eff. 10-4-2022; TAm eff. 7-1-2024.

810 KAR 4:070 Jockeys and apprentices {#sec-810-kar-4-070 omnilex-key=us-ky-regs-official--title-810--810 KAR 4:070}

Section 1. Probationary Mounts. Any person desiring to participate in this state as a jockey, who has not ridden in a race previously, may ride in three (3) races before applying for a license as a jockey or apprentice jockey if:

(1) The person is a licensed stable employee, assistant trainer, or trainer with at least one (1) year of service with a racing stable;

(2) A licensed trainer certifies in writing to the stewards that the person has demonstrated sufficient horsemanship, as evidenced by control of the animal while mounting, riding, and dismounting in race and nonrace conditions, to be permitted the probationary mounts;

(3) The starter has schooled the person in breaking from the starting gate with other horses and approves the person as capable of starting a horse properly from the starting gate in a race;

(4) The stewards determine that the person:

(a) Intends to become a licensed jockey;

(b) Possesses the physical ability to be a jockey; and

(c) Has demonstrated the ability to ride in a race without jeopardizing the safety of horses or other jockeys in the race; and

(5) The person has prior oral or written approval of the stewards.

Section 2. Qualifications for License. In addition to the requirements applicable to licensees under 810 KAR 3:020, a holder of a license as a jockey or apprentice jockey:

(1) Shall be sixteen (16) years of age or older and licensed under his or her legal name, which shall be listed in the daily race program;

(2) Shall have served at least one (1) year with a racing stable;

(3) Shall have ridden in at least three (3) races; and

(4) Shall, if required by the stewards, to protect the health and safety of the jockey, other jockeys, the horses, or the welfare of the betting public, provide a medical affidavit certifying the person is physically and mentally capable of performing the activities and duties of a licensed jockey.

Section 3. Amateur or Provisional Jockey.

(1) An amateur wishing to ride in races on even terms with professional riders, but without accepting fees or gratuities, shall:

(a) Be approved by the stewards as to competency of horsemanship, as demonstrated by meeting the requirements in Section 1(2), (3), and (4)(b) and (c) of this administrative regulation;

(b) Be granted an amateur jockey's license; and

(2) A licensed owner or licensed trainer, upon approval by the stewards, may be issued a provisional jockey's license to ride his or her own horse or horse registered in his care as trainer.

Section 4. Apprentice Allowance in Thoroughbred Racing.

(1) The provisions of this section apply only to thoroughbred racing.

(2) Any person sixteen (16) years of age or older, who has not been licensed previously as a jockey in any jurisdiction, and who is qualified under Section 2 of this administrative regulation, may claim in all purse races except handicaps the following weight allowances:

(a) Ten (10) pounds until he or she has ridden five (5) winners;

(b) Seven (7) pounds until he or she has ridden an additional thirty-five (35) winners;

(c) If he or she has ridden a total of forty (40) winners prior to the end of one (1) year from the date of riding his fifth winner, he or she shall have an allowance of five (5) pounds until the end of that year; and

(d) If after one (1) year from the date of the fifth winner, the apprentice jockey has not ridden forty (40) winners, the applicable weight allowance shall continue for one (1) additional year, or until the 40th winning mount, whichever occurs first.

(3)

(a) After the completion of conditions in subsection (2) of this section, a contracted apprentice may claim three (3) pounds for one (1) year if riding horses owned or trained by his or her original contract employer if his or her contract has not been transferred or sold since his or her first winner.

(b) The original contract employer shall be the party to the contract who was the employer at the time of the apprentice jockey's first winner.

(c) Apprentice allowance shall not be claimed for a period in excess of two (2) years from the date of the rider's fifth winner unless an extension has been granted in accordance with subsection (4) of this section.

(4) An apprentice jockey may enter into a contract with a licensed owner or licensed trainer qualified under Section 5 of this administrative regulation for a period not to exceed five (5) years.

(a) These contracts shall be:

Approved by the stewards;
Filed with the corporation; and
Binding in all respects on the parties to the contract.

(b) An apprentice who has not entered into a contract pursuant to this subsection shall be given an apprentice jockey certificate.

(5) If an apprentice jockey is unable to ride for a period of seven (7) consecutive days or more because of service in the armed forces of the United States, physical disablement, attendance in an institution of secondary or higher education, restrictions on racing, or other valid reason, the corporation, upon recommendation of the stewards and after consultation with the racing entity that approved the original apprentice contract, may extend the time during which the apprentice weight allowance may be claimed for a period no longer than the period the apprentice rider was unable to ride.

(6) After completion of conditions in subsection (2) of this section, the rider shall be issued a license as a jockey before accepting subsequent mounts. Under these circumstances, the corporation may waive collection of an additional license fee.

Section 5. Rider Contracts.

(1) All riding contracts for terms longer than thirty (30) days, and any amendments, cancellation, or transfer of the contract, shall be in writing with the signatures of the parties notarized, and shall be approved by the stewards and filed with the corporation.

(2) The stewards shall approve a riding contract and permit parties to participate in racing in this state if the stewards determine that:

(a) The contract employer is a licensed owner or licensed trainer who owns or trains at least three (3) horses eligible to race when the contract is executed;

(b) The contract employer possesses the character, ability, facilities, and financial responsibility conducive to developing a competent race rider; and

(c) If it is a contract for an apprentice jockey, the contract provides for fair remuneration, adequate medical care, and an option equally available to both employer and apprentice jockey to cancel the contract after two (2) years from the date of execution.

Section 6. Restrictions as to Contract Riders. A contract rider shall not:

(1) Ride any horse not owned or trained by his contract employer in a race against a horse owned or trained by his or her contract employer;

(2) Ride or agree to ride any horse in a race without consent of his or her contract employer;

(3) Share any money earned from riding with his or her contract employer; or

(4) Accept any present, money, or reward of any kind in connection with his or her riding of any race except through his or her contract employer.

Section 7. Calls and Engagements.

(1) Any rider not prohibited by contract may agree to give first or second call on his or her race-riding services to any licensed owner or trainer.

(2) Any rider employed by a racing stable on a regular salaried basis shall not ride against the stable that employs him or her.

Section 8. Jockey Fees in Thoroughbred Racing.

(1) The fee to a jockey, in the absence of special agreement to the contrary, shall be as follows:

(a) PurseWinning MountSecond Place MountThird Place MountFourth Place MountLosing MountUp to $99,99910%>5% or $140, whichever is greater>5% or $135, whichever is greater>5% or $130, whichever is greater$125$100,000 - $999,99910%5%5%5%$125$1,000,000 and up10%5%5%5%$500

(b) The flat fee amounts as established in paragraph (a) of this subsection are not percentage driven.

(2) A jockey fee shall be considered earned by a rider if he or she is weighed out by the clerk of scales, with the following exceptions:

(a) If a rider does not weigh out and ride in a race for which he or she has been engaged because an owner or trainer engaged more than one (1) rider for the same race, the owner or trainer shall pay an appropriate fee to each rider engaged for the race;

(b) If a rider capable of riding elects to take himself off the mount without, in the opinion of the stewards, reasonable cause; or

(c) If a rider is replaced by the stewards with a substitute rider for a reason other than a physical injury suffered by the rider during the time between weighing out and start of the race.

Section 9. Jockey Fees for Quarter Horse, Paint Horse, Appaloosa, and Arabian Racing.

(1) The fee to a jockey in all races shall be, in the absence of special agreement, as follows:

(2) A jockey fee shall be considered earned by a rider when he or she is weighed out by the clerk of scales, with the following exceptions:

(b) If a such rider capable of riding elects to take himself or herself off the mount without, in the opinion of the stewards, reasonable cause; or

(c) If a such rider is replaced by the stewards with a substitute rider for a reason other than a physical injury suffered by the rider during the time between weighing out and start of the race.

Section 10. Revised Order of Finish After Race is Declared Official. If a winning purse is forfeited through subsequent ruling of the stewards or the corporation, after a race has been declared official, the winning fee shall be paid to the jockey whose mount is ultimately adjudged the winner, and the original winner shall be paid a losing mount fee.

Section 11. Duty to Fulfill Engagements. Every rider shall fulfill his or her duly scheduled riding engagements, unless excused by the stewards due to circumstances under which a jockey could not reasonably be expected to be physically present at the required time. A rider shall not be required to ride a horse he or she believes to be unsound, nor over a racing strip he or she believes to be unsafe. If the stewards find a rider's refusal to fulfill a riding engagement is based on a personal belief unwarranted by the facts and circumstances, the rider may be subject to disciplinary action.

Section 12. Presence in Jockey Room.

(1) Each rider who has been engaged to ride in a race shall be physically present in the jockey room no later than one (1) hour prior to post time for the first race he or she is scheduled to ride, unless excused by the stewards or the clerk of scales due to circumstances under which a jockey could not reasonably be expected to ride. Upon arrival each rider shall report his or her engagements to the clerk of scales. If a rider fails for any reason to arrive in the jockey room no later than one (1) hour before post time of a race in which he or she is scheduled to ride, the clerk of scales shall so advise the stewards who may name a substitute rider and shall cause a public announcement to be made of the rider substitution prior to opening of wagering on the race.

(2) Each rider reporting to the jockey room shall remain in the jockey room until he or she has fulfilled all riding engagements for the day, except to ride in a race, or to view the running of a race from a location approved by the stewards. While a rider is outside of the jockey room, a rider shall not have contact or communication with any person other than an owner or trainer for whom he or she is riding, a racing official, or a media representative authorized by the stewards, until the rider has fulfilled all his riding engagements for the day.

(3) The association shall be responsible for security of the jockey room and for excluding all persons except riders scheduled to ride on the day's program, valets, authorized attendants, racing officials, media representatives authorized by the stewards, and persons having special permission of the stewards to enter the jockey room.

(4) Any rider intending to discontinue riding at a race meeting prior to its conclusion shall notify the stewards of his or her intent to depart after fulfilling his or her final riding engagement of the day.

Section 13. Weighing Out.

(1) Each rider engaged to ride in a race shall report to the clerk of scales for weighing out not more than one (1) hour and not less than fifteen (15) minutes before post time for each race in which he or she is engaged to ride, and when weighing out, the rider shall declare overweight, if any.

(2)

(a) A rider shall not pass the scale with more than one (1) pound overweight, without consent of the owner or trainer of the horse he or she is engaged to ride; and

(b) A rider shall not pass the scale with more than five (5) pounds overweight.

(3) A horse shall not be disqualified because of overweight carried.

(4) Riding crops, blinkers, number cloths, bridles, bits, reins, over-girth, breast collar, goggles, safety helmets, and safety vests shall not be included in a rider's weight.

Section 14. Wagering.

(1) A rider shall not:

(a) Place a wager;

(b) Cause a wager to be placed on his behalf; or

(c) Accept any ticket or winnings from a wager on any race except on his or her own mount, and except through the owner or trainer of the horse he or she is riding.

(2) The owner or trainer placing wagers for his or her rider shall maintain a precise and complete record of all of these wagers, and the record shall be available for examination by the stewards at all times.

Section 15. Attire.

(1) Upon leaving the jockey room to ride in any race, each rider shall be neat and clean in appearance and wear the traditional jockey attire with all jacket buttons and catches fastened.

(2) Each jockey shall wear:

(a) The cap and jacket racing colors registered in the name of the owner of the horse he or she is to ride;

(b) Stock tie;

(d) Top boots;

(e) A safety vest and safety helmet that meet the standards established in subsections (4) and (5) of this section; and

(f) A number on his or her right shoulder corresponding to his mount's number as shown on the saddle cloth and daily racing program.

(3) The clerk of scales and attending valet shall be held jointly responsible with a rider for his neat and clean appearance and proper attire.

(4) A jockey mounted on a horse or stable pony at a location under the jurisdiction of the corporation shall wear a properly secured safety helmet at all times. If requested by a corporation official, the jockey shall provide sufficient evidence that his or her helmet has a tag, stamp, or similar identifying marker indicating that it meets or exceeds one (1) of the following safety standards:

(a) ASTM International Standard, ASTM F1163-04a;

(b) British Standards, BS EN 1384:1997 or PAS 015:1999; or

(5) A jockey mounted on a horse or stable pony at any location under the jurisdiction of the corporation shall wear a safety vest at all times. If requested by a corporation official, the jockey shall provide sufficient evidence that his or her safety vest has a tag, stamp, or similar identifying marker indicating that it meets or exceeds one (1) of the following safety standards:

(a) British Equestrian Trade Association (BETA):2000 Level 1;

(b) Euro Norm (EN) 13158:2000 Level 1;

(d) Shoe and Allied Trade Research Association (SATRA) Jockey Vest Document M6 Issue 3; or

(e) Australian Racing Board (ARB) Standard 1.1998.

Section 16. Advertising.

(1) A jockey shall not wear advertising or promotional material of any kind (whether for a nonprofit or for-profit entity) on clothing within one (1) hour before or after a race, unless:

(a)

The material advertises or promotes the Jockey's Guild in the form of the picture of a jockey's boot or the picture of a wheelchair, with no additional picture or logo;
The material advertises or promotes the Permanently Disabled Jockey's Fund in the form of the pictures of its logo, with no additional picture or logo; or
The picture or logo has previously been approved by the current owner, association, and the stewards under the process established in this administrative regulation, and this approval is reflected in the corporation's official records;

(b) The material complies with the size restrictions of subsection (2)(b) of this section;

(d) Written approval by the following is submitted to the corporation:

The managing owner of the horse, or authorized agent of the managing owner;
The jockey riding the horse or the authorized agent of the jockey;
The licensed racing association, which shall grant approval if it reasonably determines the material meets the standards in subsection (2)(a) of this section; and
The stewards, who shall grant approval if they reasonably determine the material meets the standards in subsections (2)(b) and (3) of this section; and

(e) Written approval required pursuant to subsection (1)(d) of this section is evidenced by completion and return to the corporationof the Request to Wear Advertising and Promotional Materials, form KHRGC-4-070-1. The form shall be completed and submitted to the stewards not later than 5 p.m. at least two (2) days prior to the day of the race in which the advertising and promotional materials will be worn. Other forms of approval shall not be accepted by the corporation.

(2) Advertising or promotional material displayed on jockey clothing shall:

(a) Not compete with, conflict with, or infringe upon sponsorship agreements applicable to the racing association race or to the race meet in progress; and

(b) Comply with the following size restrictions:

A maximum of thirty-two (32) square inches on each thigh of the pants on the outer side between the hip and knee and ten (10) square inches on the rear of the pant at the waistline at the base of the spine;
A maximum of twenty-four (24) square inches on boots and leggings on the outside of each nearest the top of the boot; and
A maximum of six (6) square inches on the front center of the neck area (on a turtleneck or other undergarment).

(3) A sponsorship shall not be permitted by a person or entity whose message, business reputation, or ongoing business activity could be considered as obscene or indecent to a reasonable person.

(4) Any party who fails to comply with this or any other provision established in this administrative regulation shall be subject to penalties by the corporation in accordance with KRS Chapter 230 and KAR Title 810.

(5) As a condition for approval of advertising or promotional material, either the owners, the stewards, or the licensed racing association may require a personal viewing of the proposed material as it is to be displayed, to determine compliance with this section.

(6) The sponsor of a licensed racing association race or race meeting may display advertising or promotional material on an association saddlecloth if it does not interfere with the clear visibility of the number of the horse.

(7) Advertising content other than that approved in accordance with this administrative regulation shall not be permitted.

(8) This administrative regulation shall not infringe upon or limit the common law rights of a racing association to eject or exclude persons, licensed or unlicensed, from association grounds, or to apply the association's internal rules regarding other forms of advertising not addressed in this or any other applicable statute or administrative regulation, if the internal rules have been previously filed with and approved by the corporation or its authorized representative.

Section 17. Race Replay.

(1) Every rider shall check the race replay list posted by the stewards in the jockey room the day after riding in a race.

(2) The posting of the race replayfilm list shall be considered as notice to all riders whose names are listed to present themselves when designated by the stewards to view the race replay.

(3) Any rider may be accompanied by a representative of the jockey organization of which he or she is a member in viewing the race replay or, with the stewards' permission, be represented at the viewing by his or her designated representative.

Section 18. Material Incorporated by Reference.

(1) "Request to Wear Advertising and Promotional Material", KHRGC 4-070-1, 11/2018.

(3) This material may also be obtained from the Kentucky Horse Racing Commission Web site at http://khrc.ky.gov.

History

RELATES TO: KRS 230.215, 230.260
STATUTORY AUTHORITY: KRS 230.215(2), 230.260(8), 230.260 (10), 230.260 (14)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) and KRS 230.260(8) authorize the Kentucky Horse Racing and Gaming Corporation to promulgate administrative regulations prescribing conditions under which all horse racing is conducted. KRS 230.260(10) requires the corporation to promulgate administrative regulations establishing minimum fees for jockeys in the absence of a contract between an employing owner or trainer and a jockey. KRS 230.260(14) authorizes the corporation to promulgate administrative regulations to establish safety standards. This administrative regulation establishes the requirements for jockeys and apprentice jockeys.
History: 45 Ky.R. 1930; 3122; eff. 5-31-2019; 50 Ky.R. 1374, 1890; eff. 6-4-2024; TAm eff. 7-1-2024.

810 KAR 4:080 Steeplechase racing {#sec-810-kar-4-080 omnilex-key=us-ky-regs-official--title-810--810 KAR 4:080}

Section 1. Definitions. "Steeplechase race" means a contest between thoroughbred horses over a prescribed course that sometimes includes obstacles or jumps and is conducted at a racing association licensed by the Kentucky Horse Racing and Gaming Corporation.

Section 2. Unless otherwise provided for in this administrative regulation, all steeplechase races with pari-mutuel wagering shall be conducted in accordance with the provisions of KAR Title 810 pertaining to flat racing.

Section 3. For steeplechase races, "maiden" means a horse which, at the time of starting, has never won a race at a recognized meeting, except:

(1) In flat racing, a horse shall be considered a maiden regardless of whether the horse has been the winner of a steeplechase race; and

(2) In a steeplechase race, a horse shall be considered a maiden regardless of whether or not the horse has been the winner of a flat race.

Section 4. In steeplechase races, a horse shall be considered a starter immediately upon the starter dropping the flag.

Section 5. In steeplechase races, the Scale of Weights for Age in the National Steeplechase Association Rules of Racing shall apply.

Section 6. In steeplechase races, the provisions of 810 KAR 2:070, Section 33 shall not apply.

Section 7. In steeplechase races, the provisions of 810 KAR 4:010, Section 7 shall not apply.

Section 8. In steeplechase races, the provisions of 810 KAR 4:030, Section 3(8) shall not apply.

Section 9. In steeplechase races, except handicap races and stakes races, riders who have never ridden a winner shall be allowed ten (10) pounds.

(1) Non-winners of fifteen races are allowed five (5) pounds.

(2) Weight penalties shall be obligatory.

(3) Weight allowance shall be claimed at time of entry and shall not be waived after the posting of entries except by consent of the stewards.

Section 10. Incorporation by Reference.

(1) "Scale of Weights for Age", included in the National Steeplechase Association, Rules of Racing, 2014 edition, revised 2017, is incorporated by reference.

History

RELATES TO: KRS 230.215, 230.361
STATUTORY AUTHORITY: KRS 230.215(2), 230.361(4)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) and 230.260(8) authorize the Kentucky Horse Racing and Gaming Corporation to promulgate administrative regulations prescribing the conditions under which racing shall be conducted in Kentucky This administrative regulation sets forth the standard under which steeplechase races shall be conducted when there is pari-mutuel wagering.
History: 45 Ky.R. 1934; 3123; eff. 5-31-2019; TAm eff. 7-1-2024; Crt eff. 5-19-2026.

810 KAR 4:090 Race horse owners {#sec-810-kar-4-090 omnilex-key=us-ky-regs-official--title-810--810 KAR 4:090}

Section 1. Owner's License Required. A horse shall not be raced in Kentucky unless the owner or each of the part owners, except as established in Section 4 of this administrative regulation, has been granted a current owner's license or temporary license by the corporation.

Section 2. Owner's License Limitations.

(1) A licensed owner or trainer may personally serve as a farrier or jockey for horses he or she owns or are registered as in his or her care, if he or she has received from the stewards a certification of the licensee's fitness as a competent farrier or jockey.

(2) A licensed owner shall:

(a) Own or have under lease, a horse eligible to race and be prepared to prove same upon call of the stewards; and

(b) Not engage in an activity directly or indirectly involving the racing performance of horses owned by others.

(3)

(a) Except as established in paragraph (b) of this subsection, a licensed owner shall be at least eighteen (18) years old.

(b) The corporation may grant an owner's license to a person less than eighteen (18) years of age who is a son or daughter of a licensed owner in this state, if the parent:

Holds an owner's license in this state; and
Files with the license application of the minor an agreement whereby the parent assumes responsibility for meeting all financial, contractual, or other obligations relating to racing of the applicant son or daughter.

(4) The corporation may deny, suspend, or revoke an owner's license for the spouse or any member of the immediate family or household of a person who is ineligible to hold an owner's license, unless there is a showing on the part of the applicant or licensed owner that his or her participation in racing as an owner shall in no way circumvent the intent of the administrative regulation by allowing a person, under the control or direction of a person ineligible for an owner's license, to serve in essence as a substitute for the ineligible person.

Section 3. Ownership Disclosure.

(1) Licensed owners and licensed trainers shall be jointly responsible for making a full disclosure of the entire ownership of each horse in their care.

(2) Disclosure under this section shall identify in writing all persons who directly, or indirectly through a lien, lease partnership, corporate stockholding, syndication, or other joint venture, hold any present or reversionary right, title, or interest in and to a horse, and those persons who by virtue of any form of interest may exercise control over or benefit from the racing of the horse. The degree and time of ownership held by each person shall also be designated.

(3) Disclosure under this section shall be made when registering each horse with the racing secretary upon arrival on association grounds or at time of entry, whichever event occurs first, and shall be revised immediately upon any subsequent change in the ownership.

(4) Disclosure under this section, together with all written agreements and affidavits setting out oral agreements pertaining to the ownership of or rights to a horse, shall be filed with the stewards.

(5) All documents pertaining to the ownership or lease of a horse filed with the stewards shall be available for public inspection.

(6) The stewards may review the ownership of each horse entered to race. The stewards may determine the validity for racing purposes of all leases, transfers, and agreements pertaining to ownership of a horse and may call for adequate evidence of ownership at any time. The stewards may declare ineligible to race any horse, the ownership or control of which is in question.

Section 4. Joint Ownership.

(1) A person owning five (5) percent or less of a horse shall not be required to obtain a license.

(2) If more than two (2) individuals own interests in a single horse, through a partnership, corporation, syndication, or other joint venture, then those individual persons shall designate a member of the partnership, corporation, syndicate, or joint venture to represent the entire ownership of and be responsible for the horse as the licensed principal owner.

(3) The corporation may deny, suspend, or revoke the license of any owner whose ownership of a horse is qualified or limited in part by rights or interests in or to the horse being held or controlled by any other individual person or persons who would be ineligible to be licensed as an owner.

Section 5. Program Listing of Owners.

(1) Names of all persons licensed as owners of each horse shall be listed in the daily program, in accordance with subsection (2) of this section.

(2) Up to ten (10) individual owners or entities may be listed in the program as owners of a single horse. If space limitations preclude listing of first names, then at least two (2) initials shall precede surnames.

(3) Stable names, partnerships, corporations, syndicates, or other joint ventures may be listed in the program with the principal owner's name shown parenthetically.

(4) Lessees licensed as owners shall be designated on the program as lessees of each leased horse.

Section 6. Leases.

(1) A horse may be raced under lease with approval of the stewards, who may suspend or void approval at any time.

(2) A lease shall not be approved by the stewards for racing purposes unless:

(a) Lessee is licensed as an owner and lessor is either licensed as an owner or is eligible to be licensed as an owner;

(b) Each of the signatures of the lessors and lessees on the lease agreement is subscribed and sworn to before a notary public;

(d) Conditions of the lease specify whether or not the horse can be entered in a race to be claimed. If agreeable to lessor that the horse may be entered in a claiming race, then the lease shall specify the minimum price for which the horse may be entered and the name of the payee of the claiming price;

(e) Conditions of the lease specify that upon claim of the horse, the lease shall terminate and all rights in and to the horse shall pass to claimant as a bona fide purchaser; and

(f) After reviewing the full ownership of the leased horse, and the interests of all persons involved in the lease and the term and conditions of the lease, the stewards in their discretion find that the lease:

Completely divests lessors or sublessors of further control or direction of the racing performance of the horse while under lease; and
The resultant program listing of lessee shall not mislead the betting public by reason of the absence in the program listing of the name of a person or persons possessing a beneficial interest in the leased horse.

Section 7. Thoroughbred Racing Colors.

(1) Thoroughbred owners shall be responsible for designing and providing individual racing colors, consisting of jackets and caps of distinctive color and pattern to be worn by jockeys during a race.

(2) The stewards may refuse to allow the use of racing colors that include advertising, or promotions, symbols or words, or that otherwise, in the opinion of the corporation, are not in keeping with the traditions of the turf.

(3) A thoroughbred shall not be raced in racing colors other than those registered in the name of the horse's owner without special permission of the stewards. If an owner races two (2) or more horses in the same race, jackets shall be identical while caps may be varied in color or design.

(4) Owners and trainers shall be jointly responsible for the condition of racing colors, ensuring that they are neat, clean, and in good repair, and that an adequate number of sets of racing colors are placed in the care of the clerk of scales.

(5) The clerk of scales and the valet serving a jockey shall be jointly responsible for having the correct jacket and cap on each rider upon leaving the jockey room for the paddock.

Section 8. Authorized Agent.

(1) A licensed owner may, as a principal, authorize any person, as an agent, to act on the owner's behalf in all matters pertaining to racing in this state and ownership of horses on association grounds.

(2) A licensed owner shall be jointly liable and responsible with his or her licensed authorized agent for all acts and omissions of the authorized agent in a racing matter.

Section 9. Suspension. A horse owned wholly or in part by an owner whose license has been suspended shall not be permitted to race during suspension.

Section 10. Partnerships.

(1) If requested by the stewards or the corporation, partnerships that own or control a present or reversionary interest in a horse to be raced shall file partnership papers with an owner's license application and shall establish:

(a) The name and address of every person having an interest in the horse involved;

(b) The relative proportion of the interests;

(d) In whose name the horse shall run;

(e) With whom the power of entry and declaration rests;

(f) The terms of any contingency, lease, or any other arrangement; and

(g) The names of the horses involved.

(2) All partnership registrations shall be signed by the principal partner or by his or her authorized agent.

(3) Any alteration in a recorded partnership shall be reported in writing to the corporation and signed by all the partners or their authorized agent.

(4) All the parties in a partnership and each of them shall be jointly and severally liable for all stakes, fees, and other obligations.

History

RELATES TO: KRS 230.215, 230.260, 230.290, 230.310, 230.320
STATUTORY AUTHORITY: KRS 230.215(2), 230.310, 230.320(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) authorizes the Kentucky Horse Racing and Gaming Corporation to promulgate administrative regulations prescribing conditions under which horse racing shall be conducted in Kentucky. KRS 230.310 requires any person who desires to participate in racing in Kentucky as an owner to apply to the corporation for a license, and authorizes the corporation to promulgate administrative regulations pertaining to licensing. KRS 230.320 authorizes the corporation to promulgate administrative regulations under which any license may be denied, suspended, or revoked, and under which any licensee or other person participating in Kentucky horse racing may be assessed an administrative fine or required to forfeit or return a purse. This administrative regulation establishes the requirements for owners to participate in horse racing in Kentucky.
History: 45 Ky.R. 1936; 3123; eff. 5-31-2019; 49 Ky.R. 2375, 50 Ky.R. 665; eff. 12-5-2023; TAm eff. 7-1-2024.

810 KAR 4:100 Trainers {#sec-810-kar-4-100 omnilex-key=us-ky-regs-official--title-810--810 KAR 4:100}

Section 1. Trainer's License Required. A horse shall not be raced in this state unless the trainer has been granted a current trainer's license by the corporation.

Section 2. Trainer's License Limitations.

(1) A holder of a trainer's license shall:

(a) Be a person eighteen (18) years of age or older;

(b) Be qualified by experience or competence to care for and train race horses as determined by a standard examination prescribed and given at any time by the stewards; and

(2) A trainer shall not be licensed to train under an assumed or stable name.

(3) A trainer shall not engage in an activity directly or indirectly involving the racing performance of horses on association grounds other than those registered as being in his or her charge.

(4) A licensed trainer shall not also be currently licensed to participate in racing in this state as a jockey, apprentice jockey, jockey's agent, veterinarian, assistant veterinarian, dental technician, farrier, apprentice farrier, or as an association racing department employee, except as established in 810 KAR 4:070.

(5) The corporation may deny, suspend, or revoke the trainer's license of the spouse, or any member of the immediate family or household, or a licensee ineligible to hold a trainer's license, unless there is a showing on the part of the applicant or licensed trainer, and the corporation so finds, that his or her participation in racing as a trainer shall not circumvent the intent of this administrative regulation by permitting a person, under the control or direction of a licensee ineligible to hold a trainer's license, to serve in essence as a substitute for the ineligible person.

Section 3. Duties and Responsibilities.

(1) In the absence of substantial evidence to the contrary, a licensed trainer shall bear primary responsibility for the proper care, health, training condition, safety, and protection against the administration of prohibited drugs or medication of horses in his or her charge.

(2) A licensed trainer:

(a) Shall register with the racing association security all persons in his or her employ and insure that those persons are duly licensed within twenty-four (24) hours after the employees arrive on association grounds or are employed. Upon discharge of an employee, a trainer shall promptly notify track security and the corporation license administrator;

(b) Shall carry workers' compensation insurance covering his or her employees in connection with racing as required by KRS Chapter 342;

(c) Shall register with the racing secretary all horses in his or her charge. A licensed trainer shall not take or keep in his or her charge a horse owned wholly or in part, or controlled by, a person unlicensed as an owner. A licensed trainer shall not assume responsibility for a horse not under his or her active care and supervision, except as established by subsection (4) of this section;

(d) In the absence of substantial evidence to the contrary, shall bear primary responsibility for horses he or she enters as to eligibility; weight allowance claimed; physical fitness to perform creditably at the distance entered; absence of prohibited drugs or medications; proper shoes, bandages, and equipment; and timely arrival in the saddling paddock. A licensed trainer shall bear joint responsibility with the licensed owner for horses he or she enters as to stakes payments and jockey fees due;

(e) Shall furnish the name of the jockey engaged to ride each horse entered at the time of entry. If no rider has been named at the time of entry or the rider named is unavailable, then the stewards shall name a rider;

(f) Shall personally attend his or horses in the paddock and supervise the saddling thereof, unless excused by the stewards. If a licensed trainer is to be absent from association grounds where his or her horses are stabled, he or she shall provide a substitute to attend the saddling of horses already entered. The substitute shall:

Be his or her assistant trainer or another licensed trainer;
Be approved by the stewards; and
Assume complete responsibility for horses to be entered;

(g) May attend the taking of urine, blood, or other biological sample approved by the corporation from a horse in his or her charge by the corporation veterinarian, or may delegate one (1) of his or her licensed employees to do so;

(h) Shall maintain the stable area assigned in a clean, neat, and sanitary condition at all times, and ensure that fire-prevention laws established by the racing association are strictly observed; and.

(i) Shall promptly report to the corporation veterinarian or stewards any sickness or death of any horse in his or her charge.

Section 4. Ownership Restrictions. A licensed trainer shall not have any interest, by ownership or lease in the racing or breeding qualities, in a horse of which he or she is not the trainer at any race meeting at which the trainer is in charge of a racing stable.

Section 5. Suspension. A horse in the charge of a trainer whose license has been revoked or suspended shall not be permitted to race during such suspension. Upon application by the owners of the suspended horse, the stewards may approve the transfer of the horse to the care of another licensed trainer and, upon the approved transfer, the horse may be entered to race.

Section 6. Assistant Trainer.

(1) A licensed trainer may employ an assistant trainer.

(2) An assistant trainer shall be:

(a) Licensed before acting in on behalf of his or her employer; and

(b) Qualified by experience or competence to care for race horses as determined by a standard examination prescribed and given at any time by the stewards.

(3) A licensed assistant trainer shall assume the same duties and responsibilities as a licensed trainer.

(4) A licensed trainer shall be jointly liable and responsible with his or her licensed assistant trainer for all acts and omissions of the assistant trainer in a racing matter.

History

RELATES TO: KRS 230.215, 230.260, 230.290, 230.310, 230.320, Chapter 342
STATUTORY AUTHORITY: KRS 230.215(2), KRS 230.310
NECESSITY, FUNCTION, AND CONFORMITY: KRS 23.0215(2) authorizes the Kentucky Horse Racing and Gaming Corporation to promulgate administrative regulations prescribing conditions under which horse racing shall be conducted in Kentucky. KRS 230.310 requires any person who desires to participate in racing in Kentucky to apply to the corporation for a license. The function of this administrative regulation is to outline the requirements for trainers to participate in horse racing in Kentucky.
History: 45 Ky.R. 1938; 3126; eff. 5-31-2019; TAm eff. 7-1-2024; Crt eff. 5-19-2026.

Chapter 5 Standardbred Racing

810 KAR 5:001 Definitions for 810 KAR Chapter 5 {#sec-810-kar-5-001 omnilex-key=us-ky-regs-official--title-810--810 KAR 5:001}

Section 1. Definitions.

(1) "Added money" means the amount of money, exclusive of trophy, added into a stakes race by an association, a sponsor, a state-bred program, or other fund, and which is in addition to stakes fees paid by subscribers.

(2) "Age" means the number of years since a horse was foaled, reckoned as if the horse was foaled on January 1 of the year in which the horse was foaled.

(3) "Also eligible" means in standardbred racing:

(a) An eligible horse, properly entered, which is not drawn for inclusion in a race, but which becomes eligible according to preference or lot if another horse is scratched prior to the scratch time deadline; or

(b) The next preferred nonqualifier for the finals, or consolation from a set of elimination trials, which becomes eligible if a finalist is scratched by the judges for a rule violation, or is otherwise eligible if written race conditions permit.

(4) "Appeal" means a request for the corporation to investigate, consider, and review any decision or ruling of a judge or official of a meeting.

(5) "ARCI" means the Association of Racing Commissioners International.

(6) "Association" is defined by KRS 230.210.

(7) "Claiming race" means a race in which ownership of a horse participating in the race may be transferred in conformity with 810 KAR 5:030.

(8) "Closing" means the time published by the association after which entries for a race will not be accepted by the racing secretary.

(9) "Coggins test" means a blood test used to determine if a horse is positive for Equine Infectious Anemia.

(10) "Commission" is defined in 810 KAR 6:001.

(11) "Condition race" means an overnight race in which eligibility is determined according to specified conditions, such as:

(a) Age;

(b) Sex;

(d) Number of starts; or

(e) Positions of finishes.

(12) "Conditions" means qualifications that determine a horse's eligibility to be entered in a race.

(13) "Coupled entry" means two (2) or more horses in a race that are treated as a single betting interest for pari-mutuel wagering purposes.

(14) "Dash" means a race in a single trial or in a series of two (2) or three (3) races governed by one (1) entry fee for the series, in which:

(a) A horse starts in all races with positions drawn for each race; and

(b) The number of purse distributions or payouts awarded does exceed the number of starters in the race.

(15) "Day" means any twenty-four (24) hour period beginning at 12:01 a.m. and ending at midnight.

(16) "Declaration" means the naming of a particular horse as a starter in a particular race.

(17) "Disqualification" means a ruling of the judges or the corporation revising the order of finish of a race.

(18) "Draw" means the process of determining post positions by lot.

(19) "Driver" means a person who is licensed to drive a horse in a race.

(20) "Early closing race" means a race for a definite amount of money in which entries close at least six (6) weeks prior to the race.

(21) "Electronic eligibility" means a computer-generated eligibility certificate that records a horse's racing statistics.

(22) "Elimination heat" means an individual heat of a race in which the contestants qualify for a final heat.

(23) "Entry" means the act of nominating a horse for a race in conformance with KAR Title 810.

(24) "Extended pari-mutuel meeting" means a meeting or series of meetings:

(a) At which an agricultural fair is not in progress;

(b) With an annual total of more than six (6) days duration; and

(25) "Field" or "mutuel field" means a single betting interest involving more than one (1) horse that is not a mutuel entry.

(26) "Forfeit" means money due by a licensee because of an error, fault, neglect of duty, breach of contract, or alternative ruling of the judges or the corporation.

(27) "Foul" means any action by any driver that tends to hinder another driver or any horse in the proper running of the race.

(28) "Futurity" means a stake in which the dam of the competing animal is nominated either when in foal or during the year of foaling.

(29) "Handicap" means a race in which allowances are made according to a horse's:

(a) Age;

(b) Sex;

(d) Performance.

(30) "Horse" means any equine registered for racing with the applicable breed registry, irrespective of age or sex designation.

(31) "Ineligible" means a horse or person not qualified under Title 810 KAR or conditions of a race to participate in a specified racing activity.

(32) "In harness" means that the performance will be to a sulky.

(33) "Judge" means a duly appointed racing official with powers and duties established in 810 KAR 2:050 serving at a current meeting in the Commonwealth.

(34) "Late closing race" means a race for a fixed amount of money in which entries close less than six (6) weeks but more than three (3) days before the race is to be contested.

(35) "Lessee" means a licensed owner whose interest in a horse is a leasehold.

(36) "Licensed premises" is defined by KRS 230.210.

(37) "Licensee" means an individual, firm, association, partnership, corporation, trustee, or legal representative that has been duly issued a currently valid license to participate in racing in the Commonwealth.

(38) "Meeting" means the entire period of consecutive days, exclusive of dark days, granted by the corporation to a licensed association for the conduct of live horse racing that:

(a) Begins at 10 a.m. of the first racing day; and

(b) Extends through a period ending one (1) hour after the last scheduled race of the last day.

(39) "Month" means calendar month.

(40) "Mutuel entry" means a single betting interest involving two (2) or more horses entered in the same race and joined for pari-mutuel purposes because of common ties as to ownership or training so that a wager on one (1) horse joined in a mutuel entry is a wager on all horses joined in the same mutuel entry.

(41) "Nomination" means a subscription or entry of a horse in a stakes or early closing race.

(42) "Nominator" means the person in whose name a horse is entered for a stakes race.

(43) "Objection" means a verbal claim of foul in a race lodged by the horse's driver, trainer, or owner before the race is declared official.

(44) "Official time" means the elapsed time from the moment the first horse crosses the timing beam until the first horse crosses the finish line.

(45) "Overnight race" means a contest for which entries close at a time set by the racing secretary.

(46) "Owner" means any person who holds, in whole or in part, any right, title, or interest in a horse, or any lessee of a horse, who has been duly issued a currently valid owner's license as a person responsible for the horse.

(47) "Pari-mutuel wagering," "mutuel wagering", or "pari-mutuel system of wagering" is defined by KRS 230.210.

(48) "Patron" means an individual present at a track, a licensed premises, or a simulcast facility who observes or wagers on a live or historical horse race.

(49) "Post" means the starting point of a race.

(50) "Post position" means the relative place assigned to each horse, numbered from the inner rail across the track at the starting line, from which each horse is to start a race.

(51) "Post time" means the advertised moment scheduled for the arrival of all horses at the starting point for a race.

(52) "Protest" means a written objection charging that a horse is ineligible to race, alleging improper entry procedures, or citing any act of an owner, trainer, driver, or official prohibited by rules which, if true, would exclude that horse or driver from racing.

(53) "Purse" means the gross cash portion of the prize for which a race is run.

(54) "Purse race" means any race for which entries close at a time designated by the racing secretary, and for which owners of horses entered are not required by its conditions to contribute money toward its purse.

(55) "Race" means a running contest between horses, driven by drivers at a recognized meeting, during regular racing hours, for a prize.

(56) "Race day" means any period of twenty-four (24) hours beginning at 12:01 a.m. and ending at midnight in which live racing is conducted by an association.

(57) "Racing official" means a corporation member, corporation staff, as duties require, and all association racing department employees, as duties require.

(58) "Registration certificate" means the document, racing permit, or virtual certificate issued by the appropriate breed registry identifying the horse for racing.

(59) "Result" means the part of the official order of finish in a race used to determine the pari-mutuel payoff of pari-mutuel pools.

(60) "Rulings" means all determinations, decisions, or orders of the judges or of the corporation issued in writing and posted.

(61) "Scratch" means the withdrawal of a horse entered for a race after the time of closing of entries for the race in conformance with Title 810 KAR.

(62) "Scratch time" means the time set by the racing secretary as a deadline for horsemen to indicate their desire to scratch out of a race.

(63) "Simulcasting" is defined by KRS 230.210.

(64) "Stable name" means a name used other than the actual legal name of an owner or lessee and that has been registered with the United States Trotting Association.

(65) "Stake" means a race that will be contested in a year subsequent to the closing of that year in which:

(a) The money given by the association conducting the race is added to the money contributed by the nominators, all of which, except deductions for breeders or nominator's awards, belongs to the winner or winners; and

(b) Except as established in 810 KAR 5:050, Section 6, all of the money contributed by the nominators belongs to the winner or winners.

(66) "Stakes" mean all fees:

(a) Paid by subscribers to an added-money or stakes race for nominating, eligibility, entrance, or starting, as required by the conditions of the race; and

(b) Included in the purse.

(67) "Starter" means either:

(a) An official who dispatches the horses from the starting gate; or

(b) A horse in a race when the starting gate doors open in front of it at the moment the starter dispatches the horses for the race.

(68) "Subscription" means nomination or entry of a horse in a stakes race.

(69) "Sulky" means a dual-wheel racing vehicle with dual shafts not exceeding the height of the horse's withers.

(70) "Suspended" means withdrawal of racing privileges by the judges or corporation.

(71) "USTA" means the United States Trotting Association.

(72) "Year" means twelve (12) consecutive months beginning with January and ending with December.

History

RELATES TO: KRS 230.210, 230.215, 230.260, 230.3615
STATUTORY AUTHORITY: KRS 230.215, 230.260(8)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) authorizes the Kentucky Horse Racing and Gaming Corporation to promulgate administrative regulations establishing conditions under which standardbred racing shall be conducted in Kentucky. KRS 230.260(8) authorizes the corporation to promulgate necessary and reasonable administrative regulations establishing conditions under which horse racing at a horse race meeting shall be conducted in this state. This administrative regulation defines the terms used in 810 KAR Chapter 5.
History: 45 Ky.R. 1940; 3129; eff. 5-31-2019; 46 Ky.R. 2744; 47 Ky.R. 71; eff. 7-30-2020; 47 Ky.R. 2130; 48 Ky.R. 355; eff. 8-12-2021; TAm eff. 7-1-2024.

810 KAR 5:010 Registration and identification of horses {#sec-810-kar-5-010 omnilex-key=us-ky-regs-official--title-810--810 KAR 5:010}

Section 1. Registration. All matters relating to registration of standardbred horses shall be governed by the rules of the United States Trotting Association.

Section 2. Bona Fide Owner or Lessee. A horse shall race in the name of:

(1) The bona fide owner; or

(2) The lessee, and a copy of the lease shall be recorded with the judges before the horse is permitted to race.

Section 3. Program Information.

(1) A printed program shall be available to the public at any meeting in which horses are raced for purse money. A program shall furnish at a minimum:

(a) Horse's name and sex;

(b) Color and age;

(d) Owner's name; and

(e) Driver's name and colors.

(2) At extended pari-mutuel meetings, the program shall also furnish:

(a) In claiming races, the price for which the horse is entered to be claimed;

(b) At least two (2) accurate performance chart lines. An accurate performance chart line shall include:

Date of race;
Place of race;
Size of track, if other than a half-mile track;
Symbol for free-legged pacers;
Symbol for hobbled trotters;
Track condition;
Type of race;
Distance;
Fractional times of the leading horse including race time;
Post position;
Position of:

a. One-quarter (1/4);

b. One-half (1/2);

c. Three-quarters (3/4);

d. Stretch with lengths behind leader; and

e. Finish with lengths behind leader;

Individual time of the horse;
Closing dollar odds;
Name of the driver; and
Names of the horses placed first, second, and third by the judges. The standard symbols for breaks and park-outs shall be used, if applicable;

(d) Information indicating pacers racing without hobbles;

(e) Information indicating trotters racing with hobbles;

(f) For the current and preceding year, a summary of starts in purse races, earnings, and best win time. A horse's best win time may be earned in either a purse or non-purse race;

(g) The name of the trainer and stable, if applicable; and

(h) The date, place, time, driver, finish, track condition, and distance on the consolidated line, if the race is not one (1) mile.

(3) All horses drawn into an early closer, a late closer, stake, or futurity shall be listed in the official program.

Section 4. Check on Identity of Horse. An association official or member of the corporation, or their respective agents, may request information concerning the identity and eligibility of a horse on the grounds of a track, and may examine that horse for the purpose of establishing the horse's identity or eligibility. If the owner or party controlling that horse refuses to supply the information, allow an examination, or fails to give satisfactory identification, the horse and the owner or party shall be barred and suspended or expelled.

Section 5. Identification Requirements. A horse shall not start at an extended pari-mutuel meeting if the horse has not:

(1) Been tattooed;

(2) Been freeze branded; or

(3) Received an electronic horse identification microchip which:

(a) Accurately identifies the horse; and

(b) Complies with the international standard ISO 11784:1996/Amd 1:2004.

Section 6. False Chart Lines. An official, clerk, or person who enters a chart line on an electronic eligibility certificate if the race has not been charted by a licensed charter shall be in violation of this administrative regulation.

Section 7. Withholding Registration. A person withholding a registration certificate from the owner or lessee of a horse, after proper demand has been made for the return of the certificate, shall be suspended until the certificate is returned.

Section 8. Incorporation by Reference.

(1) "ISO 11784, Radiofrequency identification of animals," 1996/Amd 1:2004, is incorporated by reference.

History

RELATES TO: KRS 230.215(2), 230.260(1)(2), (7)
STATUTORY AUTHORITY: KRS 230.215(2), 230.260(8)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) and 230.260(8) authorize the Kentucky Horse Racing and Gaming Corporation to promulgate administrative regulations prescribing the conditions under which horse racing shall be conducted in Kentucky. This administrative regulation establishes requirements concerning the registration, ownership, and identification of horses, and the furnishing of information about standardbred horses.
History: 45 Ky.R. 1942; 3131; eff. 5-31-2019; TAm eff. 7-1-2024; Crt eff. 5-19-2026.

810 KAR 5:020 Eligibility and classification {#sec-810-kar-5-020 omnilex-key=us-ky-regs-official--title-810--810 KAR 5:020}

Section 1. Electronic Eligibility.

(1) A horse shall not be permitted to start in any betting or non-betting race, qualifying race, time trial, or official workout without first securing an electronic eligibility certificate.

(2) The race secretary shall check each electronic eligibility certificate to certify each horse's eligibility to a race.

Section 2. Racing Season and Recorded Winnings. For purposes of eligibility, a racing season or racing year shall be the calendar year.

Section 3. Sale or Lease during Eligibility Year. If a horse is sold or leased after an electronic eligibility certificate is issued for the current year, the seller or the authorized agent of the seller shall endorse the transfer of the eligibility certificate to the new owner or lessee. The transfer shall be effective upon electronic transfer of the electronic registration certificate by the clerk of the course. Any sale or lease of a horse shall be recorded with the United States Trotting Association.

Section 4. Leased Horses. A horse on lease shall race in the name of the lessee. An electronic eligibility certificate shall not be issued to a horse under lease unless a copy of the lease is filed with the association. For purposes of issuance of electronic eligibility certificates or transfers of ownership, or both, a lease for an indefinite term shall be considered terminable at the will of either party unless extended or reduced to a term certain by written documentation executed by both the lessor and lessee.

Section 5. Correction of Electronic Eligibility Certificate. A correction of an electronic eligibility certificate shall be made only by a representative of the United States Trotting Association or a licensed official.

Section 6. Tampering with Electronic Eligibility Certificates. A person who tampers with an electronic eligibility certificate shall be charged with a violation pursuant to 810 KAR 8:030.

Section 7. Denial of Electronic Eligibility Certificate. An eligibility certificate may be denied to any person who fails to comply with Title 810 KAR and the provisions of KRS Chapter 230 relating to harness racing.

Section 8. Time Bars. A time record or bar shall not be used as an element of eligibility.

Section 9. Conflicting Conditions. If there are conflicting published conditions and neither is withdrawn by the association, the conditions more favorable to the nominator shall govern.

Section 10.

(1) Standards for Overnight Events. The racing secretary shall prescribe standards to determine whether a horse is qualified to race in overnight events at a meeting. The standards shall be posted where declarations are made and shall be printed on all condition and qualifying sheets.

(2) If time standards are established at a meeting for both trotters and pacers, trotters shall be given a minimum of two (2) seconds allowance in relation to pacers.

Section 11. Posting of Overnight Conditions.

(1) At meetings other than extended pari-mutuel meetings, conditions for overnight events shall be posted at least eighteen (18) hours before entries close.

(2) At extended pari-mutuel meetings where races are held five (5) or more days per week, condition sheets shall be prepared. A condition sheet containing at least three (3) days racing programs shall be publicly available at least (3) days prior to entries being taken on any race program contained in the condition sheet. Conditions shall be clearly stated in all condition sheets and shall not state that conditions are TBA (To Be Announced).

(3) The race secretary shall forward copies of each condition book and overnight sheet to the presiding judge as soon as they are available to the public.

Section 12. Types of Races to be Offered.

(1) A racing program shall offer exclusively the following types of races:

(a) Stakes and futurities;

(b) Early closing and late closing events;

(d) Claiming races; and

(e) Preferred races limited to the fastest horses at the meeting.

(2) Preferred races may be free-for-all races or invitationals.

(3) A two (2) year old or three (3) year old horse shall not be eligible to be placed on the preferred or invitational list to race against older horses until it has won at least seven (7) races, unless requested by the owner or authorized agent and approved by the race secretary. The owner or authorized agent may withdraw the request at his or her discretion.

Section 13. Limitation on Conditions. A condition shall not be written so as to deprive a horse of an opportunity to race in normal preference cycles. More than three (3) also eligible conditions shall not be used in writing the conditions of an overnight event.

Section 14. Dashes and Heats. A dash or heat shall be considered a separate race for the purposes of conditioned racing.

Section 15. Selection or Drawing of Horses. For any overnight event, each starter and also eligible shall be drawn by lot from those properly declared in, except that a race secretary shall establish a preference system for races as provided in 810 KAR 5:060, Section 24. However, if necessary to fill a card, a maximum of one (1) race per day shall be divided into a maximum of two (2) divisions after preference has been applied. The divisions shall be selected by the racing secretary. For all other overnight races that day that are divided, the division shall be by lot unless the conditions provide for a division based on performance, earnings, sex, or claiming price.

Section 16. Rejection of Declaration Based Upon Past Performance. The racing secretary may reject the declaration on any horse whose past performance information falls below the competitive level of other horses declared.

Section 17. Substitute and Divided Races.

(1) Substitute races may be provided for each day's program and shall be so designated. A substitute race or a race divided into two (2) divisions shall be used only if regularly scheduled races fail to fill.

(2) If a race fills, it may be carried over one (1) day with the permission of the presiding judge.

Section 18. Qualifying Races. A horse that qualifies in a qualifying race shall not be deprived of its right to start in any race.

Section 19. Equine Infectious Anemia.

(1) A horse that has been determined, by means of a "Coggins test" administered by an approved laboratory, to be infected with or a carrier of equine infectious anemia shall not be permitted to race or be stabled at a licensed track.

(2) A horse shall not be permitted to enter or remain upon the grounds of any association where race meetings are conducted at any time unless a certificate is presented to an association representative certifying that the horse has been given a "Coggins test" during the past twelve (12) months, and that the result of the test was negative. The certificate shall properly identify the horse by tattoo number, freeze brand, or other corporation-approved means of identification.

(3) A horse shall not start in a race unless a negative "Coggins" test written certificate for that horse is furnished to the race secretary, as required by subsection (2) of this section.

(4) An electronic eligibility certificate shall not be issued for a horse for which a positive "Coggins Test" has been reported. If an electronic eligibility certificate is issued for a horse that is later determined to be infected with, or to be a carrier of, equine infectious anemia, the presiding judge shall immediately notify the United States Trotting Association.

History

RELATES TO: KRS 230.215, 230.260
STATUTORY AUTHORITY: KRS 230.215(2), 230.260(8)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) and 230.260(8) authorize the corporation to promulgate administrative regulations prescribing the conditions under which horse racing shall be conducted in Kentucky. This administrative regulation establishes requirements for the eligibility and classification of horses for races and medical tests required.
History: 45 Ky.R. 1944; eff. 5-31-2019; TAm eff. 7-1-2024; Crt eff. 5-19-2026.

810 KAR 5:030 Claiming races {#sec-810-kar-5-030 omnilex-key=us-ky-regs-official--title-810--810 KAR 5:030}

Section 1.

(1) A horse entered in a claiming race may be claimed for its entered price by:

(a) A licensed horse owner who has a horse programmed to start in a pari-mutuel race at that meeting;

(b) A licensed horse owner who has received a claim certificate from the corporation; or

(c) A person who has qualified for a license as a horse owner and who has received a claim certificate from the corporation.

(2) Upon filing with the judges a completed, signed Authorized Agent form (KHRGC 2-060-01), incorporated by reference in 810 KAR 2:060, an authorized agent may claim for a qualified owner in his own right, but only for the account of the person for whom he is agent.

(3) To qualify for a license as an owner, the applicant shall have a current United States Trotting Association or Standardbred Canada membership as an owner or membership as an associate-member.

(4) A person shall not knowingly effect a false claim by inducing another to claim a horse for him or her.

Section 2. Prohibitions.

(1) A person shall not claim his or her own horse and shall not claim a horse trained or driven by him or her.

(2) A person shall not claim more than one (1) horse in a race, and a person shall not have multiple claims on any one (1) horse in a race.

(3) A qualified owner or the owner's agent shall not claim a horse for another person.

(4) An owner shall not cause his or her horse to be claimed directly or indirectly for his or her own account.

(5) A person shall not offer, or enter into an agreement, to claim or not to claim or attempt to prevent another person from claiming any horse in a claiming race.

(6) A person shall not enter a horse that has a mortgage, bill of sale, or lien of any kind pending, unless the written consent of the holder is filed with the clerk of the course of the association conducting that claiming race.

(7) Owners utilizing the same trainer may claim different horses from the same race, but the trainer cannot make the claim on behalf of either owner.

Section 3. Claiming Procedure.

(1) Owner's credit.

(a) A person submitting a claim shall provide to the association:

Proof of possession of a valid license issued by the corporation for the current year;
An amount equivalent to the specified claiming price plus the existing Kentucky sales tax as authorized by KRS 139.531(c); and
The United States Trotting Association fee for transfer of registration.

(b) By accepting the claim, the association assumes responsibility for and shall make payment to the owner of the horse claimed.

(c) The money due for a claimed horse shall be paid to the owner of the claimed horse within forty-eight (48) hours after the end of the race, Sundays excepted, by the association, if the horse has a current test complying with subsection (14) of this section and if a signed claiming authorization and proper registration papers are provided to the clerk of the course.

(2) The claiming price shall be printed on the program, and all claims shall be for the amount so designated. Any horse entered in a claiming race may be claimed for the designated amount.

(3) A claim shall be in writing, sealed, and deposited at least thirty (30) minutes before the time originally scheduled for the race to begin in a locked box or designated location provided for this purpose by the corporation.

(4) The claim shall be examined by the judges or their designee prior to the start of the race. The association's designee shall be prepared to state whether sufficient funds are on deposit in the amount equivalent to the specified claiming price and any other required fees and taxes. The judges shall have a public announcement made and information scrolled on the simulcast video stating there has been a claim made or, in the case of multiple claims, the number of claims made on a horse during the post parade. The successful claimant shall be announced after the completion of the race.

(5) An official shall not open the claim box or give any information on claims filed until after the horses leave the paddock for the post parade.

(6) If more than one (1) claim is filed for the same horse, the owner shall be determined by lot by the judges.

(7) A horse claimed shall be delivered immediately by the original owner or his or her trainer to the successful claimant upon authorization of the judges after the post-race tests are finished; and:

(a) The horse's halter shall accompany the horse;

(b) The horse's shoes shall not be altered or removed; and

(8) An owner shall not refuse to deliver a horse legally claimed out of a claiming race.

(9)

(a) A horse claimed shall race in all heats or dashes of the event in the interest and for the account of the owner who declared it in the event.

(b) Title to the claimed horse shall be vested in the successful claimant from the time the word "go" is given in the first heat or dash.

The horse suffers a fatality during the running of the race or dies or is euthanized before leaving the track; or
The corporation veterinarian determines the horse will be placed on the Veterinarian's List as bled, unsound, or lame before the horse is released to the successful claimant.

(d) The judges shall not void the claim if, prior to the race in which the horse is claimed, the claimant indicates on the claim envelope that he or she elects to claim the horse regardless of whether the corporation veterinarian determines the horse will be placed on the Veterinarian's List as bled, unsound, or lame.

(e) The final vesting of title to a claimed horse shall be subject to the conditions and provisions set forth in this administrative regulation.

(10)

(a) The judges may require any person making a claim for a horse to affirm by affidavit that the claimant is claiming the horse for his or her own account or as authorized agent and not for any other person.

(b) A person shall not knowingly make a false statement regarding the claiming process.

(11)

(a) A claimed horse may start in a race in which the claiming price is less than the price at which the horse was claimed.

(b) If a horse is claimed, a right, title, or interest in that horse shall not be sold or transferred for a period of thirty (30) days following the date of claiming, except in a claiming race.

(c) A claimed horse shall be required to race at the association where claimed for a period of thirty (30) days or the balance of the current racing meeting, whichever occurs first.

(12) A horse that has been claimed shall not be eligible to start in a race in the name or interest of the previous owner for thirty (30) days. The horse shall not remain in the same stable, or under the care or management of the first owner or trainer, or anyone connected with the previous owner unless reclaimed out of another claiming race.

(13) A horse scratched from a claiming race shall not be eligible to be claimed.

(a) If a horse drawn to start in a claiming race is claimed and has been declared to start in a subsequent race, that horse shall be scratched from that race.

(b) For a period of thirty (30) days, a horse scratched from a claiming race and then entered in a subsequent race, regardless of classification, shall be eligible to be claimed for the same price as the claiming race from which the horse was scratched.

The claiming price shall be listed in the program where normal claiming prices are carried;
The announcement of the right to claim shall be made by the track announcer; and
The claiming price shall be scrolled on the simulcast provider.

(14)

(a) A claimed horse not otherwise selected by the judges for post-race testing shall be subjected to post-race testing in blood for the presence of substances regulated by 810 KAR Chapter 8. The results of the test shall be reported to the presiding judge.

(b) If a test is positive for a substance associated with a Class A, B, or C penalty, or for a TCO2 violation, the claim may be voided at the option of the claimant and the claimant shall be entitled to return of all sums paid for the claimed horse and of all expenses incurred after the date of the claim.

Shall exercise due care in maintaining and boarding a claimed horse; and
Shall not materially alter a claimed horse.

(d) An Equine Infectious Anemia (Coggins) test shall not be required of a horse that has been claimed if that horse has a valid certificate stating that within twelve (12) months of the day of the claim the horse has received a Coggins test and is negative for Equine Infectious Anemia. The certificate shall contain the horse's lip tattoo number or a uniform or standardized means of identification approved by the corporation.

(15)

(a) A filly or mare that has been bred shall not be declared into a claiming race for at least forty-five (45) days following the last breeding of the filly or mare. Following that period, a filly or mare that has been bred shall be declared into a claiming race only after a veterinarian has pronounced the filly or mare not to be in foal.

(b) A filly or mare pronounced in foal shall not be declared into a claiming race.

(c) If a filly or mare is claimed out of a claiming race and subsequently proves to be in foal from a breeding that occurred prior to the race from which she was claimed, the claim may be voided by the judges at the option of the claimant, if the mare is subjected to a pregnancy examination no later than twenty-one (21) days after the date of the claim that shows the mare is pregnant.

(d)

A claimant seeking to void the claim shall file a petition to void that claim with the judges within three (3) days after the results of the pregnancy examination are received. Following the filing of the petition, the judges shall conduct a hearing after due notice to all parties.
If the judges determine that the claim is void, the claimant shall receive a reasonable cost from the previous owner to cover the cost of the pregnancy examination and reimbursement from the previous owner of all reasonable costs associated with the claiming process and the post-race test, including the costs of transportation, board, reasonable training fees, and the testing process.

Section 4. In accordance with Section 3(1)(b) of this administrative regulation, the association shall pay the claiming price to the owner when the registration certificate and a signed claiming authorization are delivered for presentation to the successful claimant. The association shall withhold and pay the Kentucky sales tax to the Commonwealth pursuant to KRS 139.531(c).

Section 5. Claiming Conditions.

(1) Unless prior approval is given by the presiding judge, claiming races shall be written to separate horses five (5) years and older from younger horses and to separate males from females.

(2)

(a) If sexes are mixed, mares shall be given a twenty (20) percent minimum price allowance, except there shall not be any price allowance given to a spayed mare racing in a claiming race.

(b) An allowance for age shall be given as follows:

Two (2) year olds shall be given a 100 percent allowance;
Three (3) year olds shall be given a fifty (50) percent allowance; and
Four (4) year olds shall be given a twenty-five (25) percent allowance.

(d) Claiming races for three (3) year olds may have conditions.

(e) A claiming class may have conditions, if deemed necessary by the racing secretary and approved by the judges.

Section 6. Except as provided in 810 KAR 5:020, Section 16, a horse owner shall not be prohibited from determining the price for which his horse shall be entered.

Section 7. To facilitate transfer of claimed horses, the presiding judge or racing secretary may sign the transfer if he or she then sends the registration certificate and claiming authorization to the registrar for transfer.

Section 8. Fraudulent Claim.

(1) A person shall not fraudulently declare a horse to a claiming race. If the judges determine that the declaration of a horse to a claiming race is fraudulent on the part of the declarer, they shall void the claim at the option of the claimant, and order the horse returned to the person declaring it in.

(2) A person shall not submit a fraudulent claim on a horse in a claiming race. If the judges determine that a claim of a horse is fraudulent on the part of the person making the claim, they shall:

(a) Void the claim at the option of the person declaring it in; and

(b) Return the horse to the person declaring it in.

History

RELATES TO: KRS 139.531(1)(c), 230.215, 230.260(1)
STATUTORY AUTHORITY: KRS 230.215(2), 230.260
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) and 230.260 authorize the Kentucky Horse Racing and Gaming Corporation to regulate conditions under which harness racing shall be conducted in Kentucky. This administrative regulation establishes the requirements for claiming races.
History: 45 Ky.R. 1947; 3131; eff. 5-31-2019; 48 Ky.R. 1375; eff. 4-5-2022; TAm eff. 7-1-2024.

810 KAR 5:040 Farm, corporate, or stable name {#sec-810-kar-5-040 omnilex-key=us-ky-regs-official--title-810--810 KAR 5:040}

Section 1.

(1) Registration Required. A racing, farm, corporate, or stable name may be used by an owner or lessee if registered with:

(a) The U.S. Trotting Association; and

(b) The corporation.

(2) A person shall provide his or her name to the corporation if he or she has:

(a) An interest in the stable; or

(b) Intends to utilize its name.

(3) A person listed in a registered stable that is racing a horse shall have a license issued by the Kentucky Horse Racing and Gaming Corporation in accordance with 810 KAR 3:020. An owner and any person listed in a registered stable shall be liable for entry fees and penalties imposed upon the registered stable.

Section 2. Suspension. If one (1) of the owners or persons listed in a registered stable is suspended, all of the horses in that stable shall be included in the suspension.

Section 3. Corporate and Limited Partnership Ownership.

(1)

(a) If a horse is owned by a corporation, the corporation and any officer, director, or stockholder owning five (5) percent or more of the stock shall be licensed by the United States Trotting Association and the corporation.

(b) A stockholder owning less than five (5) percent of the stock shall be reported monthly by the corporation to the corporation, but shall not be required to be licensed by the corporation. The information to be reported shall include names and amount of stock owned, address, Social Security number, and date of birth.

(2)

(a) If a horse is owned by a limited partnership, the general partner and all limited partners owning an interest of five (5) percent or more shall be licensed by the United States Trotting Association and the corporation.

(b) A limited partner owning less than a five (5) percent interest shall be reported monthly to the corporation, and the required information shall include names and interests owned, address, Social Security number, and date of birth. A limited partner owning less than a five (5) percent interest shall not be required to be licensed by the corporation.

History

RELATES TO: KRS 230.215, 230.310
STATUTORY AUTHORITY: KRS 230.215(2), 230.260(9), (11)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) and 230.260(3) authorize the corporation to promulgate administrative regulations prescribing the conditions under which horse racing shall be conducted in Kentucky. This administrative regulation establishes requirements for the licensing of racing stables under the stable name and disclosure of ownership.
History: 45 Ky.R.1949; 3133; eff. 5-31-2019; TAm eff. 7-1-2024; Crt eff. 5-19-2026.

810 KAR 5:050 Stakes and futurities {#sec-810-kar-5-050 omnilex-key=us-ky-regs-official--title-810--810 KAR 5:050}

Section 1.

(1) Application. A stake or futurity sponsor or presenter shall submit an annual application to the corporation for approval not less than 120 days prior to taking payments. The application shall contain:

(a) Satisfactory evidence that purse money is available;

(b) Proposed conditions;

(d) An agreement to file with the corporation a surety bond in the amount of the advertised purse, conditioned on faithful performance of the conditions, including guarantees that:

The stake or futurity will be raced as advertised unless:

a. Unanimous consent is obtained from owners of eligibles to transfer or change the date of the race; or

b. Prevented by a natural disaster or conditions beyond the control of the sponsor; and

Ensure the segregation of funds and an assurance that the sponsor or presenter shall make all payments.
If the association furnishes evidence of the availability of funds to conduct the race in a manner satisfactory to the corporation, that evidence may be accepted in lieu of surety bond.

(2) Waiver of bond. The requirement to post a surety bond may be waived by the corporation:

(a) Upon written request of a sponsor:

That is an association;
Whose financial statement shows a net worth of not less than five (5) times the amount of trust funds received from payments in stakes and futurities; and
Who furnishes a certified copy of the bank deposit in lieu of bond; or

(b) If bond is posted with the United States Trotting Association.

(3) Trust funds. Collections resulting from the forfeiture of a bond shall be paid to the contestants according to the order of finish, or if the race is not contested, shall be divided equally among owners or eligibles on the date the breach of conditions occurs.

(4) Appeal of application rejection. An applicant may appeal the rejection of an application to the corporation by registered mail within twenty (20) days after the mailing of the notice of rejection. The appeal shall be in writing to the executive director.

(5) Receipt of printed conditions. Printed conditions of all stakes and futurities shall be submitted to and received by the corporation by their closing dates.

(6) Conflicting conditions. Stakes and futurities conditions which conflict with KRS Chapter 230 or Title 810 KAR shall be refused.

(7) A sponsor or presenter shall:

(a) Provide or make available to the corporation a list of nominations within sixty (60) days after the date of closing;

(b) Furnish to the corporation, by January 15th of each year, a financial statement for the preceding year and, within thirty (30) days following the day of the race, a final financial statement;

(d) Provide or make available to the corporation, within twenty (20) days of closing, a complete list of all horses remaining eligible, segregated by age, sex, and gait;

(e)

Provide or make available to the owners or agents of all eligibles and to the corporation, within twenty (20) days following the last payment before the starting fee:

a. A complete list of all horses remaining eligible, segregated by age, sex, and gait; and

b. A list of any nominations transferred or substituted, if permitted by the conditions.

The list of eligibles shall include a resume indicating the current financial status of the stake and futurity, or of each individual division if there is more than one (1) division, by listing the number of horses remaining eligible, the amount of money that has been paid in, and the amount to be added. The purse shall constitute this amount plus starting fees, if any;

(f) Set the nominating date and the dates for sustaining payments, except the starting fee, for the 15th day of the month.

There shall not be any payments on yearlings except a nomination payment which shall be due by August 15.
Before receiving any sustaining payments during the year the race is to be contested, the date and place of the race shall be stated. A stake or futurity sustaining fee shall not be due prior to February 15 of any year. There shall not be any conditions that require payments in stakes or futurities after August 15 and before February 15 of the following year.
The date for closing of the nominations of yearlings to stakes shall be May 15 and the date for closing of the nominations to futurities shall be July 15.
There shall be a maximum of one (1) sustaining payment on two (2) year olds in stakes and futurities that do not have a two (2) year old division; and

(g) Advertise the week and place, if possible, that the stake or futurity will be raced before taking nominations. If either the week or place, or both, cannot be announced before taking nominations, that information shall be furnished as soon as the stake or futurity is sold or awarded.

(8) Estimated purse. An estimated purse shall not be advertised or published in excess of the actual purse paid or distributed during the previous year, unless increased by guaranteed added money. A stake or futurity shall not be raced for less than seventy-five (75) percent of the average estimated purse.

Section 2.

(1) If an event is not raced due to circumstances beyond the control of a nontrack operating sponsor, the sponsor shall not be required to contribute a sum as added money, but instead shall only refund such nominating, sustaining, and starting fees as it has collected toward the canceled event.

(2) A stake or futurity shall not be approved for extended pari-mutuel meetings if the added money is not at least thirty (30) percent of the purse. For all other meetings at least ten (10) percent of the purse shall be added.

(3) If a stake or futurity is split into more than two (2) divisions, the conditions of the race shall determine the divisions of the purse.

Section 3. Failure to Make Payment. Failure to make any payment required by the conditions shall constitute an automatic withdrawal from the event.

Section 4. Refund of Nomination Fee. If a mare nominated to a futurity fails to have a live foal, the nominator shall receive a return on his or her payment if notification is given by December 1 of the year the mare failed to foal. If conditions permit, the nominator may substitute.

Section 5. A sponsor shall not pay monetary awards to nominators or breeders from stake or futurity funds.

Section 6. Deductions Prohibited. A deduction, voluntary or involuntary, shall not be made from any purse, stake, or futurity unless the conditions specifically so provide. If deductions are permitted, reasonable deductions may be made for clerical, printing, postage, and surety bond expenses specifically related to the purse, stake, or futurity.

Section 7. Unless otherwise specified in the conditions of a stake or futurity, the money division shall be:

(1) Five (5) or more starters:

(a) Fifty (50) percent to the winning horse;

(b) Twenty-five (25) percent to the horse that finishes second;

(d) Eight (8) percent to the horse that finishes fourth; and

(e) Five (5) percent to the horse that finished fifth;

(2) Four (4) starters only:

(a) Fifty (50) percent to the winning horse;

(b) Twenty-five (25) percent to the horse that finishes second;

(d) Ten (10) percent to the horse that finishes fourth;

(3) Three (3) starters only:

(a) Fifty-five (55) percent to the winning horse;

(b) Thirty (30) percent to the horse that finishes second; and

(4) Two (2) starters only:

(a) Sixty-five (65) percent to the winning horse; and

(b) Thirty-five (35) percent to the horse that finishes second.

History

RELATES TO: KRS 230.215, 230.260(1)
STATUTORY AUTHORITY: KRS 230.215(2), 230.260(8)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) and 230.260(8) authorize the corporation to promulgate administrative regulations prescribing the conditions under which horse racing shall be conducted in Kentucky. This administrative regulation establishes requirements for stakes and futurities.
History: 45 Ky.R. 1951; 3134; eff. 5-31-2019; TAm eff. 7-1-2024; Crt eff. 5-19-2026.

810 KAR 5:060 Entries and starters {#sec-810-kar-5-060 omnilex-key=us-ky-regs-official--title-810--810 KAR 5:060}

Section 1. Entries. An entry shall:

(1) Be made in writing, by telephone, or electronically to the association racing secretary's office;

(2) Include the following information pertinent to the entry:

(a) The name of the horse;

(b) The name of the trainer;

(d) The class of the race into which the horse is to be entered; and

(3) Comply with the provisions of Section 18 of this administrative regulation if the entry concerns an overnight event.

(4) A horse shall only be permitted to enter if at the time of entry, the owner, trainer, or an authorized agent of the owner or trainer submits a complete medical record for such horse for the fourteen (14) day period prior to the entry date.

Section 2. Payment of Entry Fee. An entry fee shall be due and payable with declaration to start and shall not be refunded if the horse fails to start, unless the horse dies between the time of declaration to start and the start of the race.

Section 3. Receipt of Entries for Early Closing Events, Late Closing Events, Stakes and Futurities.

(1) An entry that is not received prior to the hour of closing shall be ineligible.

(a) If an entry or payment in a stake, futurity, or early closing race is payable on a Sunday or a legal holiday that falls on Saturday, the payment shall be due on the following Monday, and if made by mail, the envelope shall be postmarked on or before the following Tuesday.

(b) If a payment is due on a Monday that is a legal holiday, the payment shall be due on the following Tuesday, and if made by mail, the envelope shall be postmarked on or before the following Wednesday.

(2) Postage meter. If an entry is received by letter bearing the postage meter date without a postmark, the postage meter date shall be considered to be a postmark if the letter is received within seven (7) days following the closing date of the event. A letter received later than seven (7) days following the closing date of the event shall not be considered a valid entry or payment.

Section 4. Deviation from Published Conditions. An entry and payment not governed by published conditions shall be void and any deviation from published conditions shall be a violation of this administrative regulation. A nominator who is allowed privileges not in accordance with the published conditions of the race, or which are in conflict with the published conditions or with Title 810 KAR, shall be barred from receiving any portion of the purse, and any person who knowingly allows the privileges shall be in violation of this administrative regulation.

Section 5.

(1) Ineligible Horse in a Stakes Race.

(a) A nominator shall be required to guarantee the identity and eligibility of entries and declarations. If a nominator provides incorrect information, winnings shall be forfeited and redistributed to eligible entries, and the person who provided the information shall be in violation of this administrative regulation.

(b) A person who obtains a purse or money through fraud or error, with the exception of paragraph (c) of this subsection, shall surrender or repay the proceeds upon demand. If the proceeds are not repaid upon demand, the horse that was the subject of the fraud or error, and all persons involved, shall be in violation of this administrative regulation and subject to suspension or revocation until repayment is made.

(c) If a horse is declared ineligible as a result of the negligence of the race secretary, the association shall reimburse the owner for the resultant loss of winnings.

(2) Ineligible horse drawn into overnight race. The trainer shall be responsible for entering the horse in the race for which it is eligible.

Section 6. Transfer of Ineligible Horse. A horse entered in an event for which it is not eligible may be transferred to any event for which it is eligible at the same gait.

Section 7. Withholding Purse on Ineligible Horse. An association shall withhold the purse of a horse, with or without a formal protest, if the association receives information that the entry or declaration was fraudulent or ineligible.

Section 8. Agreement to Race Under Rule. An entry shall constitute an agreement that the horse to be entered and all persons associated with or having control of the horse shall abide by Title 810 KAR.

Section 9. Early Closing Events and Late Closing Races.

(1) Date and place. The sponsor shall state the place and date the event will be raced, and there shall not be a change in the date, program, events, or conditions after the nominations have been taken without the written consent of the owners or trainers of all horses eligible when the conditions are changed.

(2) Filing conditions. An entry blank shall be filed with the corporation.

(3) Payments shall be made on or before the 15th day of the month. Nominations and payments other than starting fees in early closing events shall be advertised to be received on the 15th day of the month.

(4) List of nominations. A complete list of nominations to any late closing race or early closing event shall be made available within twenty (20) days after the date of closing to each nominator and the corporation.

(5) Procedure if event does not fill. If the event does not fill, each nominator and the corporation shall be notified within ten (10) days, and a refund of nomination fees shall accompany the notice.

(6) Transfer provisions for change of gait.

(a) The following conditions shall govern transfers if there is a change of gait, unless the association makes available to the corporation, at least thirty (30) days prior to the first publication, its early closing conditions and receives the approval of the corporation for those conditions:

If a condition published for early closing events allows transfer for change of gait, the transfer shall be to the slowest class for which the horse is eligible, and eligibility shall be determined at time of closing of entries.
The race to which transfer may be made shall be the race nearest in time to the date of the event for which the horse was originally entered.

(b) A two (2) year old, three (3) year old, or four (4) year old entered in a class that corresponds to its age group shall be permitted to transfer only to a class for the same age group at the adopted gait, and shall be the race nearest in time to the date of the original event. If transfer is made, entry fees shall be so adjusted.

Section 10. Subsequent Payments; List of Eligibles. If subsequent payments are required by the published conditions, a complete list of those horses withdrawn or declared out shall be made within fifteen (15) days after:

(1) The payment was due; and

(2) The list has been made available to each nominator and the corporation.

Section 11. Trust Funds. Fees paid in early closing events shall be segregated and held as trust funds until the event is contested.

Section 12. Early Closing Events by New Track. An early closing event at a pari-mutuel meeting shall not be advertised, nor shall nominations be taken for an early closing event, until the event has been approved by the corporation. An association accepting nominations to early closing races, late closing races, stakes, or futurities shall provide stable space to a horse nominated and eligible to the event the day before, the day of, and the day after the race.

Section 13. Limitation on Conditions. Conditions of an early closing event or a late closing race shall not add a horse that has not been nominated to an event or eliminate an already nominated horse from an event by reason of the performance of the horse at an earlier meeting during the same season, and conditions purporting to do so shall be considered to be invalid. An early closing event or a late closing event shall not have more than two (2) also eligible conditions.

Section 14. Purse Requirements. In early closing races, late closing races, and overnight races requiring entry fees, all monies paid in by the nominators in excess of eighty-five (85) percent of the advertised purse shall be added to the advertised purse and the total shall then be considered to be the advertised purse. In addition to adding excess entry fees as provided in this section, the sponsor shall add at least fifteen (15) percent to the advertised purses of late closing races and overnight races. Fifteen (15) percent of all monies paid in by the nominators shall be added to all early closing races by the sponsor.

Section 15. Requirement to Run Race.

(1) An association shall specify how many entries are required for overnight events and, after the condition is fulfilled, the race shall be run unless declared off as provided in 810 KAR 5:070.

(2) If six (6) or more betting interests are declared in to start an early closing event or a late closing event, the race shall be run, unless it is declared off. Stakes and futurities shall be raced if one (1) or more horses are declared in to start unless declared off as provided in 810 KAR 5:070.

(3) In an early closing event, if fewer horses are declared in than are required to start, and all declarers are immediately so notified, the horse or horses declared in and ready to race shall be entitled to the sum of the entry fees submitted.

Section 16. Elimination Heats or Two (2) Divisions.

(1) If the number of horses declared in to start exceeds twelve (12) on a half-mile track or sixteen (16) on a larger track, the association conducting the race shall have the option, before positions are drawn, of announcing that the race shall be run in elimination heats. A maximum of two (2) tiers of horses, allowing eight (8) feet per horse, shall start in any race.

(2) If an early closing event or late closing event is divided, each division shall race for at least seventy-five (75) percent of the advertised purse unless otherwise specified in the conditions of the race.

(3) If a stake race or futurity is divided, the conditions of the race shall determine the number of starters per division and the purse distribution.

Section 17. Elimination Plans.

(1) If elimination heats are required, or are specified in the published conditions, the race shall be run in the following manner unless otherwise stated in the conditions or conducted under another section of this administrative regulation. The field shall be divided by lot, and:

(a) The first division shall race a qualifying dash for thirty (30) percent of the purse;

(b) The second division shall race a qualifying dash for thirty (30) percent of the purse;

(d) The winner of the main event shall be the race winner.

(2) Unless otherwise specified in the conditions of the race, the judges shall draw the starting positions for the main event and shall determine:

(a) Which of the dash winners shall have the pole and which the second position; and

(b) Which of the two (2) horses that have been second shall start in third position, which in fourth position, similarly in succession. An elimination dash and the concluding heat shall be programmed to be raced upon the same day or night, unless special provisions for earlier elimination dashes are set forth in the conditions.

(3) If there are three (3) or more separate heat or dash winners, those winners shall return for a single event race-off to determine the race winner. For that single event race-off, the participating horses shall be assigned post positions according to the order of their finish in the previous heat or dash.

Section 18. Overnight Events. More than nine (9) horses shall not start on a half-mile track in overnight events and more than twelve (12) horses shall not start on larger tracks at extended pari-mutuel meetings allowing eight (8) feet per horse.

Section 19. Elimination Race for Early Closing Event, Stake, or Futurity. If elimination races are provided for in the conditions of an early closing event, stake, or futurity, the elimination race shall be held not more than five (5) days prior to contesting the main event (excluding Sunday) and omitting the day of the race.

Section 20. Declaration.

(1) Extended pari-mutuel meetings. The declaration time shall be the time posted on the condition sheet.

(2) A horse shall not start in more than one (1) race on a racing day.

(3) The time when declarations close shall be the time in use at the meeting.

(4) The association shall provide an entry box with an aperture through which declarations shall be deposited.

(5) At the close of entries the presiding judge or the race secretary shall remove any entries in the box and sort the declarations at the time specified on the condition sheet.

(6) If it is necessary to reopen any race, a minimum of two (2) public announcements shall be made, and the box shall be reopened at the announced time.

(7) In races of a duration of more than one (1) dash or heat at a pari-mutuel meeting, the judges may draw post positions from the stand for succeeding dashes or heats.

(8) Effect of failure to declare on time. If an association requires a horse to be declared at a stated time, failure to declare at that time shall be considered a withdrawal from the event.

(9) After declaration to start has been made, a horse shall be withdrawn only:

(a) Because of sickness, lameness, injury, or hazardous track conditions; and

(b) With the permission of the presiding judge.

(10) Horse omitted through error.

(a) Except as provided in this subsection, a drawing shall be final unless there is conclusive evidence that a horse was properly declared and omitted from the race, and the omission is verified to be due to an error of the association's racing office.

(b) The race shall be redrawn if the error is found prior to scratch time.

(c) If the race has multiple divisions, a horsemen's representative and a judge shall draw the division by lot rather than redraw the entire race.

(d) If there is a division or divisions with short fields, the division or divisions shall be chosen by lot to determine which division shall be drawn.

(e) If the error is found after scratch time, then the horse shall be added to the outside.

Section 21. Qualifying Races. At an extended pari-mutuel meeting, declarations for overnight events shall be governed by the following:

(1)

(a) Within forty-five (45) days of being declared in, a horse that has not raced previously at the gait chosen shall:

Complete a qualifying race in compliance with the conditions set forth by the association under the supervision of a judge holding a presiding or associate judge's license for pari-mutuel meetings; and
Acquire at least one (1) charted line by a licensed charter.

(b) Time and beaten lengths shall be determined by a standard photo finish.

(2)

(a) The requirements of subsection (1) of this section shall apply to a horse that does not show a charted line for:

The previous season; or
Within its last six (6) starts.

(b) Uncharted races contested in a heat of more than one (1) dash, and consolidated according to subsection (4) of this section, shall be considered one (1) start.

(3)

(a) The requirements of subsection (2) of this section shall not apply if a horse:

Has raced at a charted meeting during the current season; and
Has two (2) meetings at which the races are not charted.

(b) The information from the uncharted races may be:

Summarized, including each start; and
Consolidated in favor of charted lines.

(4) If the race is less than one (1) mile, the consolidated line shall list the carry date, place, time, driver, finish, track condition, and distance.

(5)

(a) The judges may require a horse that has been on the judge's list to successfully complete a qualifying race.

(b) If a horse has raced in individual time not meeting the qualifying standards for that class of horse, after making allowance for track variations, the horse shall be required to successfully complete a qualifying race.

(6) A horse shall be required to qualify in a qualifying race if it is on the judge's list for any of the following:

(a) Repeated breaks on a fast or good track or breaks off of a qualifying race on a fast or good track;

(b) Scratched sick or lame in two (2) consecutive starts, scratched sick or lame following a qualifier, or scratched sick or lame prior to or after a break line on a good or fast track;

(c) Refusing to come to the gate. Horses causing two (2) recalls shall be scratched and placed on the starter and qualifying list;

(d) Poor performance; or

(e) Being unmanageable.

(7) Qualifying races shall be:

(a) Held at least one (1) week prior to the opening of a meeting of ten (10) days or more; and

(b) Scheduled as needed through the last week of the meeting.

(8)

(a) A race to qualify drivers and horses shall be charted, timed, and recorded.

(b) A race to qualify only drivers shall not be required to be charted, timed, and recorded.

(9)

(a) If a horse takes a win record in a qualifying race, the record shall be prefaced with the letter "Q".[

(b) The presiding judge shall report the test on the judge's sheet.

(10) Before it is permitted to start in a race with pari-mutuel wagering, a horse shall have a clean charted line within forty-five (45) days, race day to race day, and meet the standards of the meeting.

(11) A horse shall not enter more than one (1) qualifying race per day.

Section 22. Coupled Entries.

(1)

(a) Except as provided by the provisions of this section, two (2) or more horses shall be coupled as a single entry if they are:

Owned or trained by the same person; or
Trained in the same stable by the same management.

(b) A wager on one (1) of the horses coupled as an "entry" shall be a wager on all horses in the entry.

(2)

(a) If a trainer enters two (2) or more horses, under bona fide separate ownerships or the same ownership, each horse may race as a separate betting entry if:

The association has requested they be permitted to race as separate betting entries; and
The judges approve the request.

(b) In overnight events the entries do not exclude any single interest.

(c) In overnight events, part of an uncoupled entry drawing also eligible may not be moved into a race to replace another part of the uncoupled entry.

(d) If more than one (1) horse is trained by the same person, that fact shall be stated prominently in the program.

(e) The judges may place both horses in an uncoupled entry if the judges deem that the actions of one part of the uncoupled entry helped or improved the other.

(f) If the race is split in two (2) or more divisions, horses coupled or uncoupled in a single entry shall be seeded insofar as possible, in the following order, by:

Owners;
Trainers; and
Stables.

(g) Divisions and post positions shall be drawn by lot.

(h) Elimination heats also shall be governed by the provisions of paragraphs (f) and (g) of this subsection.

(3) The presiding judge or the race secretary shall be responsible for coupling horses.

(4)

(a) If it is necessary to protect the public interest, horses that are separately owned or trained may be coupled for pari-mutuel wagering; and

(b) An entry shall not be rejected on that basis.

(5) If an owner, lessor, or lessee has a vested interest in another horse in the same race, it shall constitute an entry.

Section 23. Also Eligibles.

(1) More than two (2) horses shall not be drawn as also eligibles for a race.

(2) The positions of also eligibles shall be drawn along with the starters in the race.

(3) If one (1) or more horses are excused by the judges, the also eligible horse shall:

(a) In handicap races in which the handicap is the same, take the place of the horse that it replaces;

(b) In handicap races in which the handicap is different, take the position on the outside of the horses with a similar handicap; or

(4) A horse shall not be added to a race as an also eligible unless the horse was drawn at the time declarations closed.

(5)

(a) A horse shall not be barred from a race to which it is otherwise eligible by reason of its preference due to the fact that it has been drawn as an also eligible. A horse moved into the race from the also eligible list shall not be drawn without the permission of the judges.

(b) The owner or trainer of a horse moved into the race from the also eligible list shall be notified that the horse is in to go.

(6) A horse on the also eligible list that is not moved into race by scratch time of the track shall be released.

Section 24. Preference.

(1)

(a) Preference shall be given in overnight events according to a horse's last previous purse race during the current year.

(b) The preference date on a horse that has drawn to race and has been scratched shall be the date of the race from which the horse was scratched.

(2) If a horse is racing for the first time in the current year, the date of the first successful qualifier shall be considered the horse's last race date, and preference shall be applied accordingly.

(3)

(a) If an error has been made in determining or posting a preference date, and the error deprives an eligible horse of an opportunity to race, the trainer involved shall report the error to the racing secretary within one (1) hour of the announcement of the draw.

(b) If a preference date error has occurred, the race shall be redrawn.

Section 25. Judge's List.

(1)

(a) A horse shall be placed on a judge's list by the presiding judge if it is unfit to race because it:

Is dangerous;
Is unmanageable;
Is sick;
Is lame;
Is unable to show a performance to qualify for races at the meeting; or
Has exhibited repeated breaks.

(b) The owner or trainer shall be notified in writing:

If a horse is placed on a judge's list; and
Of the specific item listed in paragraph (a) of this subsection upon which the action is based.

(d) If a horse is placed on a judge's list, the clerk of the course shall make a note on the electronic eligibility of the horse stating the:

Date it was placed on the judge's list;
Reason it was placed on the judge's list; and
If the horse has been removed from the judge's list, the date of its removal.

(2)

(a) A presiding judge or other official at a nonextended meeting shall not remove from the judge's list and accept as an entry a horse that:

Has been placed on a judge's list; and
Has not been removed from the judge's list because it is dangerous or unmanageable.

(b) A presiding judge shall refuse declarations on a horse that has been placed on, but not removed from, a judge's list.

(3) A horse scratched from a race because of lameness or sickness shall not race for a period of seven (7) days beginning with the day of the scratch.

Section 26. Driver.

(1) A declaration shall state the name of the horse's driver and the driver's colors.

(2) A driver shall not be changed after scratch time of the track without the permission of the judges. The judges shall grant permission if:

(a) The driver is unable to be on the premises for a good-faith reason beyond his or her control; or

(b) The driver is on the premises but unable to participate due to illness or injury.

(3) If a nominator starts two (2) or more horses, the judges shall approve the second and third drivers if no conflicts of interest exist between the ownership of the horses and the drivers.

Section 27. Withdrawals and Scratches.

(1) The presiding judge shall call a meeting of all horsemen on the grounds before the opening of an extended pari-mutuel meeting to appoint a committee to consist of the presiding judge, a representative of the association, and a representative of the Kentucky Harness Horseman's Association or the Kentucky Harness Association to consider matters relating to the withdrawal of horses due to bad track or weather conditions.

(2)

(a) If track conditions are questionable due to weather, the presiding judge shall call a meeting of the committee established pursuant to subsection (1) of this section.

(b) Upon unanimous decision by the committee that track conditions are safe for racing, withdrawals shall not be made.

(3)

(a) An entrant may scratch a horse if:

A decision by the committee that the track is safe is not unanimous; and
The entrant has posted ten (10) percent of the purse for the race.

(b) A person shall not scratch a horse for a reason other than sickness, lameness, injury, or hazardous track conditions.

(c) If sufficient withdrawals are received to cause the field to be less than six (6), the association shall have the right to postpone an early closing event or stake and cancel an overnight event.

(4)

(a) The money posted pursuant to subsection 3(a)2. of this section shall be forwarded to the corporation.

(b) The corporation shall determine whether a withdrawal was for sickness, lameness, injury, or hazardous track conditions.

Forfeited if the corporation determines that the withdrawal was not for good cause; or
Refunded if the corporation determines that the withdrawal was for good cause.

(5) This section applies only to the withdrawal of horses that have been properly declared in and does not apply to postponement as set forth in 810 KAR 5:070.

Section 28. Length of Race and Number of Heats.

(1) A race or dash shall be listed at a stated distance in units no shorter than one-sixteenth (1/16) of a mile.

(2) The length of the race and the number of heats shall be stated in the conditions.

(3) If a distance or number of heats is not specified, any race shall be a single mile dash, except at fairs and meetings of a duration of six (6) days or less where they shall be conducted in two (2) dashes at one (1) mile distances.

Section 29. Two (2) Year Olds. A two (2) year old shall not be permitted to:

(1) Start in a dash or heat exceeding one (1) mile in distance; or

(2) Race in more than two (2) heats or dashes per day.

History

RELATES TO: KRS 230.215, 230.260(1)
STATUTORY AUTHORITY: KRS 230.215(2), 230.260(8)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) and 230.260(8) authorize the Kentucky Horse Racing and Gaming Corporation to promulgate administrative regulations prescribing the conditions under which horse racing shall be conducted in Kentucky. This administrative regulation establishes requirements for entries.
History: 45 Ky.R. 1953; 3136; eff. 5-31-2019; 46 Ky.R. 2526; eff. 8-25-2020; 48 Ky.R. 1378; eff. 4-5-2022; TAm eff. 7-1-2024.

810 KAR 5:070 Running of the race {#sec-810-kar-5-070 omnilex-key=us-ky-regs-official--title-810--810 KAR 5:070}

Section 1. Driving Violations. A leading horse shall be entitled to any part of the track. After selecting a position in the home stretch, a driver of a horse shall not:

(1) Change either to the right or left during any part of the race if another horse is so near the driver that in altering positions, the driver:

(a) Compels the horse behind to shorten strides; or

(b) Causes the driver of any other horse to pull the horse out of his stride;

(2) Jostle, strike, hook wheels, or interfere with another horse or driver;

(3) Cross sharply in front of a horse or cross over in front of a field of horses in a reckless manner, endangering other drivers;

(4) Swerve in and out or pull up quickly;

(5) Crowd a horse or driver by "putting a wheel under him";

(6) "Carry a horse out" or "sit down in front of him", take up abruptly in front of other horses so as to cause confusion or interference among the trailing horses, or do any other act that constitutes "helping";

(7) Allow a horse to pass inside needlessly or otherwise help another horse to improve its position in the race;

(8) Lay off a normal pace and leave a hole if it is well within the horse's capacity to keep the hole closed;

(9) Commit an act that impedes the progress of another horse or causes the horse to "break";

(10) Change course after selecting a position in the home stretch and swerve in or out, or bear in or out, in a manner that interferes with another horse or causes the horse to change course or take back;

(11) Drive in a careless or reckless manner or fail to maintain reasonable control of the horse at all times during the race;

(12) Whip under the arch of the sulky;

(13) Cross the inside limits of the course;

(14) Fail to set or maintain a pace comparable to the class being raced, including traveling an excessively slow quarter or any other distance that changes the normal pattern, overall timing, or general outcome of the race; or

(15) Kick a horse. Removal of a foot from the stirrups in and of itself shall not constitute the act of kicking.

Section 2. Leaving the Course.

(1) A horse or a horse's sulky that leaves the course by brushing, running over, or going inside of a pylon demarcation shall have violated this administrative regulation and may be penalized by a disqualification if in the opinion of the judges:

(a) The action results in the horse gaining an unfair advantage over other horses in the race;

(b) The action helps the horse improve its position in the race; or

(2) A horse using the inside to pass shall have complete clearance of the pylons.

(3) A driver striking pylons but not gaining an unfair advantage may be cited for a violation of this administrative regulation unless he was forced to strike the pylons by circumstances beyond his control.

(4) If an act of interference causes a horse or part of a horse's sulky to be in violation of this administrative regulation and the horse is disqualified, the offending horse shall be placed behind the horse with which it interfered.

Section 3. Penalties.

(1) A horse that violates Section 1 or 2 of this administrative regulation shall:

(a) Be placed back one (1) or more positions in the heat or dash behind the horse with which the horse interfered;

(b) Be disqualified from receiving any winnings, if a horse is prevented from finishing as a result of the violation; or

(c) Be placed last among finishing horses, if a horse which the violating horse interfered with fails to finish the race due to a separate and unrelated incident.

(2) If a violation established in Section 1 or 2 of this administrative regulation is committed by a person driving a horse coupled as an entry in the betting, the judges shall set both horses back, if the judges determine that the violation may have affected the finish of the race. Otherwise, penalties shall be applied individually to the drivers of any entry.

Section 4. Complaints, Reports of Interference.

(1) Complaints.

(a) A complaint by a driver relating to driving or other misconduct during a heat shall be made at the termination of the heat, unless the driver is prevented from doing so by an accident or injury.

(b) A driver desiring to enter a claim of foul or other complaint of violation of the rules shall, before dismounting, indicate to the judges the driver's intention to enter a claim or complaint, and immediately upon dismounting, the driver shall proceed to the telephone or judges' stand where the claim, objection, or complaint shall be immediately entered.

(c) The judges shall not cause the official sign to be displayed until the claim, objection, or complaint has been entered and considered.

(2) Report of interference. A driver shall report to the designated official any interference to himself or herself or to the driver's horse by another horse or driver during a race.

Section 5. Unsatisfactory Drive; Fraud.

(1) A heat in a race shall be fairly contested by each horse in the race, and each horse shall be driven to the finish.

(2) A horse shall not be driven:

(a) With design to prevent the horse from winning a heat or dash which the horse was evidently able to win;

(b) In an inconsistent manner with the intent to improperly manipulate the outcome of a race; or

(3) The judges shall substitute a competent and reliable driver at any time prior to the start of the heat or race if the judges have reason to doubt the competence or reliability of the original driver.

Section 6. Removal and Substitution of Driver. A driver may be removed and another driver substituted after the positions have been assigned in a race if, in the opinion of the judges, a driver:

(1) Is unfit or incompetent to drive;

(2) Refuses to comply with the directions of the judges; or

(3) Is reckless in his or her conduct and endangers the safety of horses or other drivers in the race.

Section 7. Failure to Finish. If, for any cause other than being interfered with or broken equipment, a horse fails to finish after starting in a heat, that horse shall be ruled "did not finish."

Section 8. Disruptive Conduct.

(1) A driver shall not engage in disruptive or distracting, improper conduct during a race.

(2) A driver may remove a foot from the stirrup temporarily for the purpose of pulling earplugs.

Section 9. Whipping.

(1) A driver may have a whip that does not exceed four (4) feet with a snapper not longer than six (6) inches.

(2) Except for the ordinary whip or crop, a person shall not use any goading device, chain or mechanical device, or appliance upon a horse in any race, training exercise, or while on association grounds.

(3)

(a) A whip or crop shall not be used in a brutal, excessive, or indiscriminate manner during a race, training exercise, or while on association grounds.

(b) A driver shall use a whip only in the conventional manner, by holding the handle and whipping the horse only above the shafts with wrist and elbow movement only. Full swings or going behind the head is prohibited.

(c) Welts, cuts, or whip marks on a horse resulting from whipping shall constitute a prima facie violation of this section.

(d) A driver shall not:

Whip a horse under the arch or shafts of the sulky;
Kick a horse;
Punch a horse;
Jab a horse;
Use the whip so as to interfere with or cause disturbance to any other horse or driver in a race;
Whip a horse after a race; or
Whip a horse that is exhausted or no longer in contention to win the race.

(4) A driver shall keep a line in each hand and both hands shall stay in front of the body of the driver from the start of the race until the finish of the race. The left line shall be held in the left hand and the right line shall be held in the right hand.

Section 10. Hopples.

(1) A horse shall not wear hopples in a race unless it has qualified in hopples.

(2) Having so started, the horse shall continue to wear them to the finish of the race.

(3) A person shall not remove or alter a horse's hopples during a race, or between races, for the purpose of fraud.

(4) A horse habitually wearing hopples shall not start in a race without them unless:

(a) The horse performs satisfactorily in a qualifying race; or

(b) The presiding judge excuses the horse from performing in a qualifying race.

(5) A horse habitually racing free-legged shall not wear hopples in a race unless:

(a) The horse performs satisfactorily in a qualifying race; or

(b) The presiding judge excuses the horse from performing in a qualifying race.

(6) A horse shall not wear a head pole protruding beyond its nose.

Section 11. Breaking.

(1) If a horse breaks from its gait in trotting or pacing, the driver shall at once, if clearance exists, take the horse to the outside and pull it to its gait.

(2) A driver shall not:

(a) Fail to properly attempt to pull the horse to its gait;

(b) Fail to take to the outside or inside if clearance exists;

(d) Fail to prevent extended break.

(3) If there has been no failure on the part of the driver in complying with subsection (2) of this section, the horse shall not be set back unless a contending horse on its gait is lapped on the hind quarter of the breaking horse at the finish.

(4) A driver shall not allow a horse to break for the purpose of fraudulently losing a heat.

(5) If a horse or driver's actions cause another horse to be off-stride at the wire, the offending horse shall be placed behind the horse with whom it interfered after all other placements have been made.

(6) A horse making a break, which causes interference with other contesting horses, shall be placed behind all offended horses.

(7) The judges shall set a horse back one (1) or more places if this section is violated.

Section 12. Breaks. One (1) of the judges shall call out every break made, and the clerk shall at once note the break and its character in writing.

Section 13. Time Between Heats and Races. The time between separate heats of a single race shall be no less than forty (40) minutes. A heat shall not be called after sunset if the track is not lighted for night racing. The time between races shall not exceed thirty (30) minutes.

Section 14. Accidents.

(1) If any horse in the current program falls, runs uncontrollably on the track, or is involved in an accident after starting to warm up, that horse shall be permitted to start only after examination and approval by the corporation veterinarian.

(2) If an accident occurs, the judges shall allow adequate time in between posts to clear the track. A driver involved in an accident shall be cleared by an emergency medical technician or paramedic before resuming driving engagements.

Section 15. Sulkies.

(1) A driver shall be seated in his sulky at the finish of the race or the horse shall be placed as not finishing.

(2) The owner and trainer shall provide every sulky used in a race with uncolored or colorless wheel discs on the inside and outside of the wheel of a type approved by the corporation. If necessary, the presiding judge may order the use of mud guards to be provided by the owners or trainers.

(3) A sulky shall not be used in a race unless it meets the requirements of the rules and regulations of the United States Trotting Association, 2018, Rule 18, Section 25, "Sulky Performance Standards".

Section 16. Helmets. A protective helmet, securely fastened under the chin and meeting the Snell Memorial Foundation 2000 Standard for Protective Headgear for Use in Harness Racing, shall be worn at all times on the premises of an association while:

(1) Racing, parading, or warming up a horse prior to racing; or

(2) Jogging, training, or exercising a horse at any time.

Section 17. Safety Vests. A safety vest shall be worn while racing, parading, or warming up a horse prior to racing.

Section 18. A licensee shall not:

(1) Refuse to comply with an order or ruling of a member or employee of the corporation, a racing official, or judge;

(2) Interfere with the performance of the duty of a person specified in subsection (1) of this section;

(3) Threaten, strike, or harass an owner, trainer, driver or attendant of a horse, or an employee of the association or corporation;

(4) Sexually harass an owner, trainer, driver or attendant of a horse, or an employee of the association or corporation; or

(5) Use force or intimidation against an owner, trainer, driver or attendant of a horse, or an employee of the association or corporation.

Section 19.

(1) A person or association shall not offer any money, benefit, or other inducement to any licensee, employee of the corporation, or officer of a racing association to affect the entries to a race, the running of a race, or the outcome of a race.

(2) Any action prohibited by subsection (1) of this section shall be immediately reported to the judges who shall promptly inform the racing association and the corporation.

Section 20.

(1) An owner, trainer, agent, or driver of a horse shall not threaten or join with others in threatening not to race, or not to declare in, because of the entry of a certain horse or a particular stable, thereby compelling or attempting to compel the racing secretary to reject an eligible entry.

(2) An action prohibited by subsection (1) of this section shall be immediately reported to the corporation.

Section 21. An owner, agent, or driver who has entered a horse shall not demand of the association a bonus of money or other special award or consideration as a condition for starting the horse.

Section 22. Wagering.

(1) A driver shall not place a wager, or cause a wager to be placed on his or her behalf, or accept a ticket or winnings from a wager on a race, except:

(a) A race on the horse he is driving; and

(b) Through the owner or trainer of the horse he is driving.

(2) An owner or trainer who places a wager for his driver shall:

(a) Maintain a complete record of the wager; and

(b) Make the record available for examination by the judges upon request.

Section 23. Duty to Report Fraudulent Proposal. A person shall immediately report to the presiding judge the details of an offer, promise, or request for a bribe or wager intended to affect the outcome of a race.

Section 24. Denerving.

(1) A horse that has had a chemical, surgical, or thermal neurectomy at or above the fetlock shall not be permitted to race.

(2) A horse that has had a palmar or plantar digital neurectomy may be permitted to race if:

(a) The neurectomy has been reported by the trainer to the stewards; and

(b) The horse has been approved for racing by the corporation veterinarian prior to being entered to race.

(3) A horse on which a neurectomy has been performed shall have that fact designated on its registration certificate, virtual certificate, racing permit, and entry in the electronic registration system. Responsibility for ensuring that the neurectomy is correctly noted on the horse's registration certificate, virtual certificate, racing permit, and entry in the electronic registration system shall fall:

(a) Jointly on the practicing veterinarian who performed the operation and the trainer of the denerved horse if the neurectomy was performed at a location under the corporation's jurisdiction; and

(b) Solely on the owner of the denerved horse if the neurectomy was performed at a location not under the corporation's jurisdiction.

(4) If a horse races in violation of this section and participates in the purse distribution, a protest shall not be considered unless submitted in writing to the stewards within forty-eight (48) hours after the race.

(5) If a horse races in violation of this section and is claimed, a protest shall not be considered unless the successful claimant submits a protest in writing within forty-eight (48) hours requesting that the claim be voided. If the claim is voided, the horse shall be returned to the owner who started the horse in the race, and the claim price shall be returned to the claimant.

(6) A list of all denerved horses shall be made publicly available.

Section 25. Spayed Mares. If a mare has been spayed:

(1) It shall be noted on the:

(a) Registration certificate;

(b) Electronic eligibility certificate; and

(2) The owner shall:

(a) Notify the United States Trotting Association that the mare has been spayed; and

(b) Return the mare's papers to the United States Trotting Association for correction.

Section 26. Starting Gate.

(1) Starter's control. The starter shall have control of the horses from the formation of the parade until the word, "go", is given.

(2) Before or during the parade, the starter shall inform the drivers of the number of scores permitted. After one (1) or two (2) preliminary warming up scores, the starter shall notify the drivers to proceed to the starting gate.

(3) A horse shall not be brought to the starting gate nearer than one eighth (1/8) of a mile before the start, if the length of the stretch permits.

(4) On a mile track, a horse shall be brought to the starting gate at the head of the stretch.

(5) The starting point shall be a point on the inside rail a distance of at least 200 feet from the first turn. The starter shall give the word "go" at the starting point.

(6) When a speed has been reached in the course of a start there shall not be a decrease except in the case of a recall.

(7) If a recall is necessary, a light plainly visible to the driver shall be flashed and a recall sounded and, if possible, the starter shall leave the wings of the gate extended and gradually slow the speed of the gate to assist in stopping the field of horses. The starter may close the wings of the gate if an emergency situation arises.

(8) There shall not be a recall after the word "go" has been given and any horse, regardless of position or accident, shall be considered a starter from the time the horse enters into the starter's control, unless dismissed by the starter or judges pursuant to subsection (10) of this section.

(9) The starter shall endeavor to start all horses in position and on gait, but a recall shall not be sounded for a breaking horse.

(10) The starter may sound a recall only for the following reasons, if the starter believes the integrity of the race may be jeopardized:

(a) A horse scores ahead of the gate;

(b) There is interference;

(d) A horse falls before the word "go" is given;

(e) There is a malfunction of the starting gate;

(f) A horse comes to the gate out of position; or

(g) A circumstance arises that will not allow a fair start, as determined by the starter.

(11) A driver shall not:

(a) Delay the start;

(b) Fail to obey the starter's instructions;

(d) Come to the starting gate out of position;

(e) Cross over before reaching the starting point;

(f) Interfere with another driver during the start; or

(g) Fail to come up into position.

(12) Unless granted permission by the presiding judge, a person other than the starter, or the starter's driver or operator, shall not be allowed to ride in the starting gate.

(13) Use of a mechanical loudspeaker for any purpose other than to give instructions to drivers shall be prohibited. The volume shall not be higher than necessary to carry the voice of the starter to the drivers.

Section 27. Holding Horses Before Start.

(1) A horse shall not be held on the backstretch for more than three (3) minutes awaiting post time, except if delayed by an emergency or by permission of the judges.

(2) Post time shall be posted no later than two (2) minutes following a previous race with the exception of mutuel malfunction.

(3) Horses shall not be held on the track more than ten (10) minutes unless permission is granted by the Presiding Judge.

Section 28. Two (2) Tiers.

(1) If there are two (2) tiers of horses, the withdrawal of a horse that has drawn or earned a position in the front tier shall not affect the position of the horses that have drawn or earned positions in the second tier.

(2)

(a) If a horse is drawn from any tier, horses on the outside shall fill the vacancy.

(b) If a horse has drawn a post position in the second tier, the driver of the horse may elect to score out behind any horse in the first tier, if the driver does not interfere with another trailing horse or deprive another trailing horse of a drawn position.

Section 29. Starters.

(1) A horse shall be considered to have started when the word, "go", is given by the starter, and a horse shall be required to complete the course except in case of accident, broken equipment, or other circumstance which, in the opinion of the judges, makes it impossible or unsafe to complete the course.

(2) For the purpose of declaring a horse a nonstarter, the judges shall consider the actual starting point on the track regardless if there was a start.

Section 30. Unmanageable Horse.

(1) If, in the opinion of the judges or the starter, a horse is unmanageable or may cause accidents or injury to another horse or to any driver, it shall be scratched. The starter shall notify the judges of the scratch, who shall then notify the public.

(2) A horse shall be considered unmanageable if it causes two (2) recalls in the same dash or heat, in which case it shall be scratched.

Section 31. Bad Acting Horse. At a meeting where there is no wagering, the starter may place a bad acting horse on the outside. At a pari-mutuel meeting, this action may be taken only if there is time for the starter to notify the judges, who shall in turn notify the public prior to the sale of tickets for the race. If tickets have been sold, the bad acting horse shall be scratched under the provisions of Section 30 of this administrative regulation.

Section 32. Post Positions; Heat Racing. The horse winning a heat shall take the pole (or inside position) in the succeeding heat, unless otherwise specified in the published conditions, and all others shall take their positions in the order they were placed in the last heat. If two (2) or more horses finish in a dead heat, their positions shall be settled by lot.

Section 33. Shield. The arms of a starting gate shall be provided with a screen or a shield in front of the position for each horse, and the arms shall be perpendicular to the rail.

Section 34. Unfair Advantage Prior to Start. If a horse comes to the gate out of its assigned post position and gains an unfair advantage by moving either to the left or right to its assigned post position before the starter gives the word, "go," that horse shall be disqualified and placed by the judges.

Section 35. Malfunction of the Gate. A licensed starter shall check the starting gate for malfunctions before commencing a meeting and shall practice the measures to be followed if there is a malfunction. Both the starter and the driver of the gate shall know and practice emergency measures, and the starter shall be responsible for the training of drivers in taking emergency measures.

Section 36. Timing Races. The time of a heat shall be taken by:

(1) One electronic timing device; and

(2) One hand-held timing device.

Section 37. Track Measurement Certificate. An association shall file with the corporation a certificate from a duly licensed civil engineer or land surveyor attesting that the track has been measured from wire to wire three (3) feet out from the pole or inside hub rail, and certifying in linear feet the result of the measurement. If there is a change or relocation of the hub rail, the track shall be measured and recertified.

Section 38. Time for Lapped on Break. The leading horse shall be timed and his time only shall be announced. A horse shall not obtain a win race record by reason of the disqualification of another horse unless the horse's actual race time can be determined by photo finish or electronic timing.

Section 39. Time for Dead Heat. If there is a dead heat, the time shall constitute a record for the horses making a dead heat and both shall be considered winners.

Section 40. Timing Procedure. The time shall be taken from the first horse leaving the point from which the distance of the race is measured until the winner reaches the wire.

Section 41. Time Performances. Time performances shall be permitted with the permission of the presiding judge subject to the following:

(1) A urine test or blood test or both shall be required for any horse with a winning time performance; and

(2) A workout for the judges or time trial performance shall not be used to qualify a horse to race.

Section 42. Unless otherwise provided in the conditions, a purse shall be distributed on the dash basis with the money awarded according to a horse's position in each separate dash or heat of the race. Purse money distribution in overnight events shall be limited to the first five (5) finishers.

Section 43. Dashes.

(1) Except for stakes or futurities as established in 810 KAR 5:050, Section 7, unless otherwise specified in the conditions, the money distribution in dashes shall be in the following percentages: fifty (50), twenty-five (25), twelve (12), eight (8), and five (5).

(2) In early closing races, late closing races, or added money events, if there are less than five (5) starters, the remaining purse shall go to the race winner unless the conditions call for a different distribution.

(3) In overnight events, if there are less than five (5) starters, the purse for the position for which there are no starters shall be retained by the association.

(4) If there is a purse for which horses have started but were unable to finish due to an accident, all non-offending horses that did not finish shall share equally in the premium or premiums.

(5) If there is a purse for which horses have started but were unable to finish and the situation is not covered by subsection (4) of this section, the purse shall be paid to the winner.

Section 44. If unfavorable weather or other unavoidable cause exists that necessitates postponement of a race, and the judges consent, an association shall postpone a race in the following manner:

(1) Early closing races, stakes, and futurities shall be postponed to a definite hour the next fair day and good track.

(2) A late closing race, early closing race, stake, or futurity (except as provided in subsections (4) and (5) of this section) that cannot be raced during the scheduled meeting shall be declared off, and the entrance money and forfeits shall be divided equally among the nominators who have horses declared in and eligible to start.

(3) A late closing race or early closing race that has been started and remains unfinished on the last day of the scheduled meeting shall be declared ended and the full purse divided according to the summary. A late closing race or early closing race that has been started but postponed by rain earlier in the meeting shall be declared ended and the full purse divided according to the summary, if there is sufficient time to conduct the race during the scheduled meeting.

(4) A stake or futurity shall be raced where advertised, and the race meeting, if necessary, shall be extended. A stake or futurity that has been started and remains unfinished on the last day of the scheduled meeting shall be declared ended and the full purse divided according to the summary, unless the association elects to extend the meeting to complete the race. A horse that is scratched after a heat and before a race is declared finished shall not participate in purse distribution from subsequent heats.

(5) Unless otherwise provided in the conditions of the race, unanimous consent shall be obtained from the association and from those with eligibles in the race before a stakes race or futurity may be transferred to another meeting.

(6) At a meeting of more than five (5) days duration, an overnight event may be postponed and carried over for a maximum of two (2) racing days.

(7) At a meeting of five (5) days duration or less, an overnight event or late closing race shall be cancelled and starting fees shall be returned if postponement occurs, unless the association adds the postponed race to the advertised program and the race is held within two (2) weeks of cancellation.

(8) A postponed race may, at the option of the association, be contested in a single mile dash. If a race is postponed under this administrative regulation, the association shall select the order in which the events shall be raced in any combined program.

Section 45. Post Time.

(1) If racing is conducted at night or twilight, the racing program shall be completed no later than 12:00 a.m., midnight.

(2) Post time for the first race of the evening shall be fixed by the association. A delay in the first post of not more than ten (10) minutes from the established post time may be taken without prior approval of the corporation.

Section 46. Number of Races Per Program.

(1) If eight (8) races are programmed, four (4) completed races shall constitute a completed program.

(2) If nine (9) races are programmed, five (5) completed races shall constitute a completed program.

(3) If ten (10) or more races are programmed, six (6) completed races shall constitute a completed program.

Section 47. Postponements.

(1) Racing shall not be conducted by an association over a track that is dangerous to drivers or horses.

(2) If inclement weather or other conditions appear to make the track dangerous, the presiding judge, a representative of the association, and a representative of the Kentucky Harness Horseman's Association or the Kentucky Harness Association shall determine whether racing shall be conducted or postponed.

(3) If a difference of opinion exists between the representative of the association and the representative of the Kentucky Harness Horseman's Association or the Kentucky Harness Association as to whether racing shall be conducted or postponed, the decision of the presiding judge shall be final.

Section 48. Protests. Protests shall:

(1) Be made only by:

(a) An owner;

(b) A manager;

(d) A driver;

(2) Be made at any time before distribution of the purse is made;

(3) Be made in writing;

(4) Be sworn to; and

(5) Contain at least one (1) specific charge questioning eligibility which, if true, would prevent the offending horse from competing in the race.

Section 49. The judges shall, in case of protest, demand that the driver and the owner or owners, if present, shall immediately testify under oath. If a person refuses to testify after being ordered to do so and the race has not yet started, that person's horse shall not be allowed to start or continue in the race, but shall be ruled out, and any entrance money shall be forfeited.

Section 50. Unless the judges find satisfactory evidence to warrant excluding the horse, they shall allow a horse to start or continue in the race under protest. If the purse is won by that horse, it shall be retained by the association on behalf of the corporation to allow the interested parties to continue the protest proceeding, in accordance with Section 53 of this administrative regulation.

Section 51. A person shall not knowingly, and with intent to influence the results of a race, protest a horse falsely and without cause.

Section 52. This administrative regulation shall not affect the distribution of the pari-mutuel pools at tracks where pari-mutuel wagering is conducted, if the distribution is made upon the official placing at the conclusion of the heat or dash.

Section 53.

(1) A protest shall be reviewed and appealed in accordance with the procedures set forth in 810 KAR 8:030 and KRS Chapter 13B.

(2) The purse money affected shall be deposited with the association pending the decision of the protest review or appeal.

Section 54. A judge shall not refuse to accept a protest.

Section 55. A person who has knowledge, prior to a race, of information that would prevent an ineligible horse from running in a race, and who fails to file a protest prior to the race with regard to that horse, shall have waived the right to protest after the race if the protest would have prevented the ineligible horse from running in the race.

Section 56. Material Incorporated by Reference.

(1) The following material is incorporated by reference:

(a) Rules and Regulations of the United States Trotting Association, 2018, Rule 18, Section 25, "Sulky Performance Standards"; and

(b) The Snell Memorial Foundation's "2000 Standard for Protective Headgear for Use in Harness Racing".

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the office of the Kentucky Horse Racing and Gaming Corporation, 4047 Iron Works Parkway, Lexington, Kentucky 40511, Monday through Friday, 8 a.m. to 4:30 p.m.

History

RELATES TO: KRS Chapter 13B, 230.215, 230.260(1), 230.280, 230.290(2), (3), 230.300, 230.310, 230.320
STATUTORY AUTHORITY: KRS 230.215(2), 230.260(8), 230.320(1), 230.361(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) and 230.260(8) authorize the Kentucky Horse Racing and Gaming Corporation to promulgate administrative regulations prescribing the conditions under which horse racing shall be conducted in Kentucky. KRS 230.320(1) authorizes the corporation to promulgate administrative regulations setting out the conditions under which licenses may be denied, revoked, or suspended. KRS 230.361(1) requires the corporation to promulgate regulations concerning the pari-mutuel wagering system. This administrative regulation establishes track rules and requirements concerning proper racing conduct, the starting and timing of races, placing, money distribution, post time and postponements, and protests.
History: 45 Ky.R. 1958; 3139; eff. 5-31-2019; 46 Ky.R. 2531; 47 Ky.R. 73; eff. 7-30-2020; 48 Ky.R. 1383; eff. 4-5-2022; TAm eff. 7-1-2024.

810 KAR 5:080 Kentucky Proud Series {#sec-810-kar-5-080 omnilex-key=us-ky-regs-official--title-810--810 KAR 5:080}

Section 1. Eligibility. A horse shall be eligible to participate in a two (2) or three (3) year old Kentucky Proud Series stakes race if the horse is a two (2) year old or a three (3) year old that is "Kentucky-bred" as defined by 810 KAR 7:040.

Section 2. Track Requirements.

(1) A fair shall have a safe and adequate track, and the entire track, including start and finish lines, shall be visible to judges and spectators.

(2) The track shall be inspected and approved by a representative of the corporation.

(3) A track shall have a hub rail or pylons approved by the corporation.

(4)

(a) A fair shall have safe and adequate stalls for participating horses.

(b) If permanent stalls are not available, tents or other tie-in type stalls may be used.

(c) Except as established by paragraph (d) of this subsection, a county fair shall not charge stall rent for horses racing at the fair.

(d) A county fair may charge stall rent if the fair is held on state-owned property.

Section 3. Officials.

(1) The host track shall submit to the corporation, at least sixty (60) days prior to the opening of a race meeting, a written list of racing officials and applicable employees.

(2) 810 KAR 2:050 shall govern the judges and racing officials at Kentucky Proud Series stakes races.

(3) Officials shall be paid by the entity hosting the races, with the exception of judges. Judges shall be paid by the corporation. The corporation shall determine the number of judges, notwithstanding any provision of 810 KAR 2:050 to the contrary.

Section 4. Requirements. Each race shall be held in accordance with KRS Chapter 230 and 810 KAR Chapters 2, 3, 5, 6, 7, and 8.

Section 5. Kentucky Sire Stakes Panel. No later than December 15 of each calendar year, the Kentucky Sire Stakes advisory panel established in 810 KAR 7:040 may annually address, and the corporation may annually approve, based on promoting the best interests of racing, at least the following conditions, which shall, once approved, be placed in the condition book for the following year:

(1) The purse for each race;

(2) Race dates;

(3) Fees, such as nomination, sustaining, starting, and finals fees;

(4) Distribution of revenue for the Kentucky Proud Series;

(5) Early closers; and

(6) Other conditions necessary to participate in the Kentucky Proud Series.

Section 6. Drug Testing.

(1) The winning horse at a fair race and any other horse or horses as selected by the judges may be required to take a drug test as established in 810 KAR 8:010 and 810 KAR 8:060.

(2) A fair shall provide two (2) enclosed stalls and bedding to be used by the corporation veterinarian for drug testing.

(3) The stalls required by subsection (2) of this section shall be located as close to the race track as possible.

(4) The stalls shall be positioned to allow the track announcer to be heard.

(5) The expense of the testing laboratory or other testing processes, whether furnished by contract or otherwise, together with all supplies and equipment used in connection therewith, shall be paid by the entity operating harness races under this administrative regulation.

Section 7. Violations. A person or association that violates a provision of this administrative regulation shall be subject to the penalties established in 810 KAR 8:030, Section 10.

History

RELATES TO: KRS 230.215, 230.260, 230.280, 230.290, 230.310, 230.398
STATUTORY AUTHORITY: KRS 230.215, 230.260, 230.398
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) and 230.260(8) authorize the Kentucky Horse Racing and Gaming Corporation to promulgate administrative regulations prescribing the conditions under which horse racing shall be conducted in Kentucky. KRS 230.398 authorizes the corporation to promulgate administrative regulations governing the conduct of county fair races, branded as the Kentucky Proud Series. This administrative regulation establishes conditions, purses, and payments in races conducted as part of the Kentucky Proud Series, in which funds for purses are provided by the corporation, and regulates eligibility for participation in the Kentucky Proud Series.
History: 45 Ky.R. 1963; 3144; eff. 5-31-2019; 47 Ky.R. 2135; 48 Ky.R. 27; eff. 10-5-2021; TAm eff. 7-1-2024; Crt eff. 5-20-2026.

Chapter 6 Pari-Mutuel Wagering

810 KAR 6:001 Definitions for 810 KAR Chapter 6 {#sec-810-kar-6-001 omnilex-key=us-ky-regs-official--title-810--810 KAR 6:001}

Section 1. Definitions.

(1) "Added money" means:

(a) Cash, exclusive of trophy or other award, added by the association to stakes fees paid by subscribers to form the total purse for a stakes race; or

(b) In the context of pari-mutuel wagering, any amounts provided by an association in addition to the amounts wagered by patrons and any carryover amounts.

(2) "Age" means the number of years since a horse was foaled, reckoned as if the horse was foaled on January 1 of the year in which the horse was foaled.

(3) "Appaloosa horse" means a horse duly registered with the Appaloosa Horse Club, Inc., Moscow, Idaho.

(4) "Appaloosa racing" is defined by KRS 230.210(3).

(5) "Arabian horse" means "arabian" as defined by KRS 230.210.

(7) "Association" is defined by KRS 230.210(5).

(8) "Authorized agent" means any person currently licensed as an agent for a licensed owner or jockey by virtue of notarized appointment of agency filed with the corporation.

(9) "Betting interest" means a single horse, or more than one (1) horse joined as a mutuel entry or joined in a mutuel field, on which a single pari-mutuel wager can be placed.

(10) "Bleeder" means any horse known to have bled internally or from its nostrils during a workout or race.

(11) "Breakage" means the net pool minus payout.

(12) "Breeder" means the owner of the dam of a horse when the horse was foaled. A horse is "bred" at the place of its foaling.

(13) "Calendar days" means consecutive days counted irrespective of number of racing days.

(14) "Carryover" means nondistributed pool monies that are retained and added to a corresponding pool in accordance with 810 KAR 6:020.

(15) "Claiming race" means any race in which every horse running in the race can be transferred in conformity with 810 KAR 4:050.

(16) "Closing" means the time published by the association after which entries for a race will not be accepted by the racing secretary.

(17) "Commission" means, if used in the context of pari-mutuel wagering, the amount an association is authorized to withhold from a pari-mutuel wager pursuant to KRS 230.3615, KRS 230.750, and KAR Title 810. This meaning can also refer to "takeout" as defined by subsection (83) of this section.

(18) "Communications Technology" means the methods used and the components employed to facilitate the transmission of information, such as electronic communications, and transmission and reception systems based on wire, cable, radio, microwave, light, optics, or computer data networks or any similar electronic agent.

(19) "Control Program" means any software, source language, or executable code that controls the entertaining award display, such as software, source language, or executable code associated with:

(a) Race selection or related events;

(b) Accounting and reporting meter and log information;

(d) Any other processes established in the internal controls or as approved by the corporation.

(20) "Corporation" means "Kentucky Horse Racing and Gaming Corporation".

(21) "Day" means any twenty-four (24) hour period beginning at 12:01 a.m. and ending at midnight.

(22) "Dead heat" means a finish of a race in which the noses of two (2) or more horses reach the finish line at the same time.

(23) "Declaration" means the withdrawal of a horse entered in a race prior to time of closing of entries for the race in conformance with 810 KAR Chapter 6.

(24) "Designated area" means any enclosed area that the corporation has approved for the location of terminals used for wagering on historical horse races.

(25) "Disciplinary action" means action taken by the stewards or the corporation for a violation of KRS Chapter 230 or KAR Title 810 and can include:

(a) Refusal to issue or renew a license;

(b) Revocation or suspension of a license;

(d) Issuance of a written reprimand or admonishment;

(e) Imposition of fines or penalties;

(f) Denial of purse money;

(g) Forfeiture of purse money; or

(h) Any combination of paragraphs (a) through (g) of this subsection.

(26) "Disqualification" means a ruling of the stewards or the corporation revising the order of finish of a race.

(27) "Driver" means a person who is licensed to drive a horse in a harness race.

(28) "Entertaining Award Display" or "Interactive Award Display" means an entertaining system utilizing mechanical or digital components to display the outcome of a pari-mutuel wager through the use of spinning reels, wheels, games, or other types of interactive components that are represented by animations or audio cues. An Entertaining or Interactive Award Display is connected to a totalizator approved by the corporation. Entertaining or interactive displays are only used in conjunction with pari-mutuel wagering on a historical horse race or races.

(29) "Entry" means the act of nominating a horse for a race in conformance with KAR Title 810.

(30) "Equipment" means:

(a) Accoutrements other than ordinary saddle, girth, pad, saddle cloth, and bridle carried by a horse, and includes whip, blinkers, tongue strap, muzzle, hood, noseband, bit, shadow roll, martingale, breast plate, bandages, boots, and racing plates or shoes; or

(b) Racing, system components or other equipment found suitable by the corporation or its designee that is required to operate entertaining or interactive award displays and interactive terminals.

(31) "Exhibition race" means a race between horses of diverse ownership for which a purse is offered by the association, but on which pari-mutuel wagering is not permitted.

(32) "Exotic wager" means any pari-mutuel wager placed on a live or historical horse race or races other than a win, place, or show wager placed on a live horse race.

(33) "Field" or "mutuel field" means a single betting interest involving more than one (1) horse that is not a mutuel entry.

(34) "Forfeit" means money due by a licensee because of an error, fault, neglect of duty, breach of contract, or alternative ruling of the stewards or the corporation.

(35) "Free handicap" means a handicap for which a nominating fee is not required to be weighted, but an entrance or starting fee can be required for starting in the race.

(36) "Handicap race" means a race in which the weights to be carried by the horses are assigned by the association handicapper with the intent of equalizing the chances of winning for all horses entered in the race.

(37) "Handle" means the aggregate of all pari-mutuel pools, excluding refundable wagers.

(38) "Historical horse race" means any horse race that:

(a) Was previously run at a licensed pari-mutuel facility located in the United States or a pari-mutuel facility approved by the KHRGC located outside the United States;

(b) Concluded with official results; and

(39) "Horse" means any equine (including and designated as a mare, filly, stallion, colt, ridgeling, or gelding).

(40) "Ineligible" means a horse or person not qualified under 810 KAR Chapter 6 or conditions of a race to participate in a specified racing activity.

(41) "Interactive terminal" or "HHR terminal" means "terminal" as defined by subsection (89)(b) of this section.

(42) "Internal controls," "minimum internal control standards," or "control standards" means the system of internal procedures, as well as administrative and accounting controls related to the integrity of pari-mutuel wagering. This type of system can be required by the corporation as a condition to conduct live horse racing, simulcasting, and pari-mutuel wagering.

(43) "Jockey" means a rider currently licensed to ride in races other than harness races as a jockey, apprentice jockey, amateur jockey, or a provisional jockey permitted by the stewards to ride in three (3) races prior to applying for a license.

(44) "Judge" means a duly appointed racing official with powers and duties established in 810 KAR 2:050 serving at a current meeting in the Commonwealth.

(45) "Lessee" means a licensed owner whose interest in a horse is a leasehold.

(46) "Licensed premises" is defined by KRS 230.210.

(47) "Licensee" means an individual, firm, association, partnership, corporation, trustee, or legal representative that has been duly issued a currently valid license to participate in racing in the Commonwealth.

(48) "Maiden" means a horse that has never won a race on the flat at a recognized meeting in any country. A maiden that was disqualified after finishing first remains a maiden. Race conditions referring to maidens are interpreted as meaning maidens at the time of starting.

(49) "Match race" means a race that is between two (2) horses and for which other horses are not eligible.

(50) "Meeting" means the entire period of consecutive days, exclusive of dark days, granted by the corporation to a licensed association for the conduct of live horse racing that:

(a) Begins at 10 a.m. of the first racing day; and

(b) Extends through a period ending one (1) hour after the last scheduled race of the last day.

(51) "Minus pool" means a pari-mutuel pool in which the amount of money to be distributed on winning wagers exceeds the amount of money contained in that pari-mutuel pool.

(52) "Month" means calendar month.

(53) "Mutuel entry" means a single betting interest involving two (2) or more horses entered in the same race and joined for pari-mutuel purposes because of common ties as to ownership or training so that a wager on one (1) horse joined in a mutuel entry is a wager on all horses joined in the same mutuel entry.

(54) "Net pool" means the total amount wagered less refundable wagers and takeout.

(55) "Nomination" means a subscription or entry of a horse in a stakes or early closing race.

(56) "Nominator" means the person in whose name a horse is entered for a race.

(57) "Owner" means any person who holds, in whole or in part, any right, title, or interest in a horse, or any lessee of a horse, who has been duly issued a currently valid owner's license as a person responsible for the horse.

(58) "Pari-mutuel wagering," "mutuel wagering", or "pari-mutuel system of wagering" is defined by KRS 230.210.

(59) "Pari-mutuel pool" means any pool into which pari-mutuel wagers made by patrons are placed. For every wager placed into a pari-mutuel pool by a patron, that patron is eligible to receive at least a minimum payout on a winning wager.

(60) "Patron" means an individual present at a track, licensed premises, or a simulcast facility who observes or wagers on live or historical horse races.

(61) "Payout" means the amount of the net pool payable to an individual patron on his or her winning wager.

(62) "Place," if used in the context of a single position in the order of finish in a race, means second; if used in the context of pari-mutuel wagering, a "place" wager means one involving a payoff on a betting interest that finished first or second in a race; or if used in the context of multiple positions in the order of finish in a race, "place or placing" means finishing first or second.

(63) "Player-funded pool" means a pool of money funded by patrons wagering on a live or historical horse race or races that is only used to ensure that a patron will receive a payout on a winning wager in the event of a "minus pool" as defined in this administrative regulation.

(64) "Post" means the starting point of a race.

(65) "Post position" means the relative place assigned to each horse, numbered from the inner rail across the track at the starting line, from which each horse is to start a race.

(66) "Post time" means the advertised moment scheduled for the arrival of all horses at the starting point for a race.

(67) "Prize" means the combined total of any cash, premium, trophy, and object of value awarded to the owners of horses according to order of finish in a race.

(68) "Purse" means the gross cash portion of the prize for which a race is run.

(69) "Quarter horse" is defined by KRS 230.210.

(70) "Purse race" means any race for which entries close at a time designated by the racing secretary, and for which owners of horses entered are not required by its conditions to contribute money toward its purse.

(71) "Race" means a running contest between horses, ridden by jockeys or driven by drivers, over a prescribed course free of obstacles or jumps, at a recognized meeting, during regular racing hours, for a prize.

(72) "Race day" means any period of twenty-four (24) hours beginning at 12:01 a.m. and ending at midnight in which live racing is conducted by an association.

(73) "Racing official" means a corporation member, corporation staff as duties require, and all association racing department employees, as duties require.

(74) "Recognized meeting" means any meeting with regularly scheduled live horse races for thoroughbreds on the flat, licensed by and conducted under administrative regulations promulgated by a governmental regulatory body, to include foreign countries that are regulated by a racing authority that has reciprocal relations with The Jockey Club and whose race records can be provided to an association by The Jockey Club.

(75) "Registration certificate" means, with respect to thoroughbreds:

(a) The document issued by The Jockey Club certifying the name, age, color, sex, pedigree, and breeder of a horse as registered by number with The Jockey Club; or

(b) The document known as a "racing permit" issued by The Jockey Club in lieu of a registration certificate if a horse is recognized as a thoroughbred for racing purposes in the United States, but is not recognized as a thoroughbred for breeding purposes insofar as registering its progeny with the Jockey Club.

(76) "Result" means the part of the official order of finish in a race used to determine the pari-mutuel payoff of pari-mutuel pools.

(77) "Rulings" means all determinations, decisions, or orders of the stewards or of the corporation duly issued in writing and posted.

(78) "Scratch" means the withdrawal of a horse entered for a race after the time of closing of entries for the race in conformance with KAR Title 810.

(79) "Scratch time" means the time set by the racing secretary as a deadline for horsemen to indicate their desire to scratch out of a race.

(80) "Secretary" means the duly appointed and currently serving secretary of the corporation.

(81) "Simulcasting" is defined by KRS 230.210.

(82) "Specimen" means a sample of blood, urine, or other biologic sample taken or drawn from a horse for chemical testing.

(83) "Stakes" means all fees:

(a) Paid by subscribers to an added-money or stakes race for nominating, eligibility, entrance, or starting, as required by the conditions of the race; and

(b) Included in the purse.

(84) "Stakes race" means a race that closes more than seventy-two (72) hours in advance of its running and for which subscribers contribute money towards its purse, or a race for which horses are invited by an association to run for a guaranteed purse of $50,000 or more without payment of stakes. With the exception of stakes races in North America, "stakes race" excludes races not listed by The Jockey Club Information System International Cataloguing Standards, Part One (1).

(85) "Starter" means a horse in a race when the starting-gate doors open in front of it at the moment the starter dispatches the horses for a race.

(86) "Steward" means a duly appointed racing official with powers and duties specified in 810 KAR 2:040 serving at a current meeting in the Commonwealth.

(87) "Subscription" means nomination or entry of a horse in a stakes race.

(88) "Takeout" means "commission" as defined by subsection (17)(b) of this section

(89) "Terminal" means:

(a) Any corporation approved self-service device or other totalizator-based peripheral equipment used by a patron to place a pari-mutuel wager on a live or historical horse race or races; or

(b) Any corporation approved mechanical, electrical, or other device, contrivance, or machine that, upon funding of any pari-mutuel wager on a historical horse race or races, is capable of placing a pari-mutuel wager on that historical horse race or races. These devices can provide handicapping methods approved by the corporation, in addition to manual handicapping. In the event of a winning wager, a terminal displays and either delivers or entitles the patron to receive a payout pursuant to 810 KAR 6:030. Payouts are issued by the terminal itself or by the licensed association approved to operate the interactive terminal and related pari-mutuel pool.

(90) "Thoroughbred racing" is defined by KRS 230.210.

(91) "Totalizator" means the system, including hardware, software, communications equipment, and electronic devices that accepts and processes the cashing of wagers, calculates the odds and prices of the wagers, and records, displays, and stores pari-mutuel wagering information.

(92) "Unplaced" means a horse that finishes a race outside the pari-mutuel payoff.

(93) "Wagering pool" means "pari-mutuel pool" as defined by this administrative regulation.

(94) "Walkover" means a race in which the only starter or all starters represent single ownership.

(95) "Weigh in" means the presentation of a jockey to the clerk of scales for weighing after a race.

(96) "Weigh out" means the presentation of a jockey to the clerk of scales for weighing prior to a race.

(97) "Weight for age" means the standard assignment of pounds to be carried by horses in races at specified distances during specified months of the year, scaled according to the age of the horse as established in 810 KAR 4:020.

(98) "Workout" means the training exercise of a horse on the training track or main track of an association during which the horse is timed for speed over a specified distance.

(99) "Year" means twelve (12) consecutive months beginning with January and ending with December.

Section 2. Severability. If any provision or administrative regulation of this chapter is found to be invalid, the remaining provisions of this chapter shall not be affected nor diminished thereby.

History

RELATES TO: KRS Chapter 230
STATUTORY AUTHORITY: KRS 230.215(2), 230.260(8), 230.361(1), 230.370
CERTIFICATION STATEMENT: This certifies that this administration regulation complies with the requirements of 2025 RS HB6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) authorizes the Kentucky Horse Racing and Gaming Corporation to regulate conditions under which horse racing shall be conducted in Kentucky. KRS 230.260(8) authorizes the corporation to prescribe necessary and reasonable administrative regulations and conditions under which horse racing at a horse race meeting shall be conducted in Kentucky. KRS 230.361(1) requires the corporation to promulgate administrative regulations governing and regulating pari-mutuel wagering on horse races under the pari-mutuel system of wagering. This administrative regulation defines the terms used in 810 KAR Chapter 6.
History: 810 KAR 006:001. KSRC Ch. 1, 1.01 to .64; 1 Ky.R. 891; eff. 5-14-1975; 10 Ky.R. 652; eff. 3-1-1984; 15 Ky.R. 2277; 16 Ky.R. 163; eff. 7-14-1989; 18 Ky.R. 1977; eff. 2-19-1992; 24 Ky.R. 2445; 25 Ky.R. 852; eff. 10-12-1998; TAm eff. 8-9-2007; 37 Ky.R. 825; 2852; eff. 7-1-2011; 46 Ky.R. 2738; 47 Ky.R. 64; eff. 7-30-2020; Recodified from 810 KAR 1:001, 2-24-2021; 2138; 48 Ky.R. 359; eff. 8-12-2021; 1929; 2416; eff. 5-31-2022; TAm eff. 7-1-2024; TAm eff. 3-20-2025; 52 Ky.R. 115; eff. 2-3-2026.

810 KAR 6:010 Exotic wagering {#sec-810-kar-6-010 omnilex-key=us-ky-regs-official--title-810--810 KAR 6:010}

Section 1. All Pari-mutuel Wagers on a Historical Horse Race or Races Shall be Exotic Wagers. All pari-mutuel wagers other than win, place, or show wagers on a live horse race shall be exotic wagers.

Section 2. Exotic Wagers Shall be Approved by Corporation.

(1) An association shall not offer an exotic wager on any live or historical horse race or races without the prior written approval of the corporation.

(2) An association making a request to offer an exotic wager on a live or historical horse race may make an oral presentation to the corporation regarding the wager prior to the corporation deciding on the request.

(a) The presentation shall be made by the association during a meeting of the corporation.

(b) The presentation shall be limited to the information contained in the written request and any supplemental information relevant to the corporation's determination of the suitability of the wager.

(c) The corporation may require an association to clarify or otherwise respond to questions concerning the written request as a condition of approval for the exotic wager.

(3) The corporation may request additional information from an association regarding the exotic wager if the additional information would assist the corporation in deciding whether or not to approve it.

(4) In reviewing a written request for an exotic wager, the corporation may consider any information, data, reports, findings, or other factors available that the corporation considers important or relevant to its determination regarding wager approval.

(5) The corporation or its designee shall review and test the exotic wager and shall give its approval if it is satisfied that the wager:

(a) Will not adversely affect the safety or integrity of horse racing or pari-mutuel wagering in the Commonwealth; and

(b) Complies with KRS Chapter 230 and KAR Title 810.

(6) The corporation shall notify the association if the corporation determines that the criteria established in subsection (5) of this section are no longer being met and the corporation intends to withdraw approval of a particular exotic wager.

(7) An association shall not implement any change or modification to the practices, procedures, or representations upon which the approval of the exotic wager was based without the prior written approval of the corporation.

Section 3. Exotic Wagers on a Live Horse Race or Races.

(1) Except as established in subsection (2) of this section, an association shall submit a written request to the commission for permission to offer any exotic wager on a live horse race or races, which shall include a detailed description of the rules that apply to the pari-mutuel wager and the method of calculating payouts.

(2) If the rules have not been modified since the wager was approved by the corporation, an association shall not be required to seek the corporation's approval to offer the following previously approved exotic wagers on live horse races: Exacta, Perfecta, Quinella, Trifecta, Superfecta, Double Perfecta, Big Q, Twin Trifecta, Daily Double, Super High 5, Pick-3, Pick-4, and Pick-6.

Section 4. Exotic Wagers on a Historical Horse Race or Races.

(1) An association shall submit a written request to the corporation for permission to offer any exotic wager on a historical horse race or races, which shall include:

(a) The types, number, and denominations of pari-mutuel wagers to be offered;

(b) A detailed description of the rules that apply to the pari-mutuel wager, the trust account, if applicable, and the player-funded pool or pools, if applicable, as well as the method of calculating payouts;

(d) A detailed description of the proposed designated area and the terminal or terminals on which the pari-mutuel wagers will be made, including:

An architect's rendering of the proposed designated area which describes the size, construction, layout, capacity, number of terminals, and location of surveillance and other security equipment; and
At least one (1) photograph of the designated area once construction is completed;

(e) The practices and procedures that will ensure the security, safety, and comfort of patrons in the designated area;

(f) The manufacturer, make, and model of the terminal, including a copy of all literature supplied by the manufacturer of the terminal;

(g) The maintenance and repair procedures that will ensure the integrity of the terminals;

(h) A complete list of individuals who are authorized to examine and repair the terminals for any reason; and

(i) A memorandum stating the terms of the agreement established in Section 6(2) of this administrative regulation between the association and one (1) of the following horsemen's organizations, as applicable:

For thoroughbred associations operating historical horse racing, the Kentucky Horsemen's Benevolent and Protective Association, the Kentucky Thoroughbred Association/Kentucky Thoroughbred Owners and Breeders, or their successors;
For standardbred associations operating historical horse racing, the Kentucky Harness Horsemen's Association, the Kentucky Harness Association, or their successors;
For quarterhorse associations operating historical horse racing, the Kentucky Quarter Horse Racing Association or its successor;
For Arabian associations operating historical horse racing, the Arabian Jockey Club, or its successor; and
For appaloosa associations operating historical horse racing, a horsemen's organization representing appaloosa racing.

(2)

(a) Except as established in paragraph (b) of this subsection, each association that is approved by the corporation to offer exotic wagering on historical horse racing shall request, in any application submitted for a license, to conduct live horse racing pursuant to KRS 230.300 and 810 KAR 3:010:

No less than 100 percent of the number of racing days initially requested by the association in its application, incorporated by reference in 810 KAR 3:010, to conduct racing for the 2010 racing year; and
No less than 100 percent of the number of races initially requested by the association in its application, incorporated by reference in 810 KAR 3:010, to conduct racing for the 2010 racing year.

(b) An association may apply for less than 100 percent of the number of racing days initially applied for by the association in its application to conduct racing for 2010, or the number of races initially applied for by the association in its application to conduct racing for 2010, if written approval is obtained from the corporation, and from one (1) of the following horsemen's organizations, as applicable:

For thoroughbred associations operating historical horse racing, the Kentucky Horsemen's Benevolent and Protective Association, the Kentucky Thoroughbred Association/Kentucky Thoroughbred Owners and Breeders, or their successors;
For standardbred associations operating historical horse racing, the Kentucky Harness Horsemen's Association, the Kentucky Harness Association, or their successors;
For quarterhorse associations operating historical horse racing, the Kentucky Quarter Horse Racing Association or its successor;
For Arabian associations operating historical horse racing, the Arabian Jockey Club, or its successor; and
For appaloosa associations operating historical horse racing, a horsemen's organization representing appaloosa racing.

Section 5. Terminals Used for Wagering on a Historical Horse Race or Races.

(1) Wagering on historical horse races shall be conducted only on terminals approved by the corporation as established in Section 2(5) of this administrative regulation and subsection (2) of this section. The corporation shall not require any particular make of terminal.

(2)

(a) The corporation shall require testing of each terminal used for wagering on historical horse races by an independent testing laboratory to ensure the terminal's integrity and proper working order.

(b) The independent testing laboratory shall be chosen by the corporation, based on promoting the best interests of racing, and the expense of the testing shall be paid by the association offering the wagering on historical horse races.

(3) Each terminal for wagering on historical horse races shall display odds or pool amounts that the patron will receive for a winning wager on each pari-mutuel wagering pool.

Section 6. Takeout.

(1) Each association conducting exotic wagering on historical horse races shall deduct a takeout, which shall not exceed the percentages established in KRS 230.3615 or KRS 230.750, as applicable.

(2)

(a) Each association shall enter into an agreement with one (1) of the following horsemen's organizations, as applicable, to establish the allocation of the takeout on all exotic wagers on historical horse races offered by the association:

For thoroughbred associations operating historical horse racing, the Kentucky Horsemen's Benevolent and Protective Association, the Kentucky Thoroughbred Association/Kentucky Thoroughbred Owners and Breeders, or their successors;
For standardbred associations operating historical horse racing, the Kentucky Harness Horsemen's Association, the Kentucky Harness Association, or their successors;
For quarterhorse associations operating historical horse racing, the Kentucky Quarter Horse Racing Association or its successor;
For Arabian associations operating historical horse racing, the Arabian Jockey Club, or its successor; and
For appaloosa associations operating historical horse racing, a horsemen's organization representing appaloosa racing.

(b) The agreement shall apply to all exotic wagers on historical horse races offered, or to be offered, by the association during the term of the agreement.

(c) The agreement shall include provisions allocating a percentage of the takeout to purses on live races run by the association.

(d) Each association shall provide a memorandum outlining the terms of the agreement to the corporation.

Section 7. Severability. In the event that any provision or administrative regulation of this chapter is found to be invalid, the remaining provisions of this chapter shall not be affected nor diminished thereby.

History

RELATES TO: KRS 230.300, 230.361, 230.3615, 230.370, 230.398, 230.750
STATUTORY AUTHORITY: KRS 230.210, 230.215, 230.361, 230.370
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) authorizes the Kentucky Horse Racing and Gaming Corporation to regulate conditions under which horse racing and pari-mutuel wagering thereon shall be conducted in Kentucky. KRS 230.361(1) requires the corporation to promulgate administrative regulations governing and regulating pari-mutuel wagering on horse races under the pari-mutuel system of wagering. This administrative regulation establishes the procedures and regulations governing exotic wagering under KRS Chapter 230 and KAR Title 810.
History: 47 Ky.R. 2181; 48 Ky.R. 362; eff. 8-12-2021; TAm eff. 7-1-2024.

810 KAR 6:020 Calculation of payouts and distribution of pools {#sec-810-kar-6-020 omnilex-key=us-ky-regs-official--title-810--810 KAR 6:020}

Section 1. Definitions.

(1) "Broken consolation price" means the profit per dollar, plus one (1) dollar, rounded down to the break point.

(2) "Consolation payout" means a payout to individuals who do not correctly choose all of the selections in a multiple-pick wager, or a payout to individuals who wager on a horse in a multi-pick wager that is subsequently scratched.

(3) "Covered betting interest" means a betting interest or combination of betting interests that has been wagered upon.

(4) "Gross pool" means the sum of all wagers less refunds.

(5) "Individual" means a natural person, at least eighteen (18) years of age, except does not include any corporation, partnership, limited liability company, trust, or estate.

(6) "Multi-commission pari-mutuel pool" means a pari-mutuel pool where entities accepting wagers use different takeout rates.

(7) "Performance" means a specified number of races on a given race day that constitutes a full card of racing.

(8) "Profit" means the net pool less the gross amount wagered if using the standard price calculation procedure and the net pool less the net amount wagered if using the net price calculation procedure.

(9) "Profit split" means to calculate a payout by splitting a pari-mutuel pool equally between each winning combination and dividing each portion by the number of winning tickets.

(10) "Single commission pari-mutuel pool" means a pari-mutuel pool where all entities accepting wagers use the same takeout rate.

(11) "Single price pool" means a pari-mutuel pool in which the entire profit is paid to holders of winning tickets after the deduction of the takeout.

(12) "Unbroken consolation price" means the profit per dollar plus one (1) dollar.

Section 2. General Requirements for Live Horse Races.

(1) All pari-mutuel pools for live races shall be separately and independently calculated and distributed. The takeout shall be deducted from each gross pool as stipulated by KRS 230.3615. The remainder of the pool shall be the net pool for distribution as payoff on winning pari-mutuel wagers.

(2)

(a) Single commission pari-mutuel pools may be calculated using either the standard price calculation procedure or the net price calculation procedure.

(b) Multi-commission pari-mutuel pools shall be calculated using the net price calculation procedure.

(3) The standard price calculation procedure shall be as follows:

(a) Single price pools - Win pool

(b) Profit split - Place pool. Profit shall be net pool less gross amount bet on all place finishers. Finishers shall split profit 1/2 and 1/2 (place profit), then divide by gross amount bet on each place finisher for two (2) unique prices.

(c) Profit split - show pool. Profit shall be net pool less gross amount bet on all show finishers. Finishers shall split profit 1/3 and 1/3 and 1/3 (show profit), then divide by gross amount bet on each show finisher for three (3) unique prices.

(4) The net price calculation procedure shall be as follows:

(a) Single price pool - Win pool

(b) Profit split - Place pool. Total profit shall be the total net pool less the total net amount bet on all place finishers. Finishers shall split total profit 1/2 and 1/2 (place profit), then divide by total net amount bet on each place finisher for two (2) unique unbroken base prices.

(c) Profit split - Show pool. Total profit shall be the total net pool less the total net amount bet on all show finishers. Finishers shall split total profit 1/3 and 1/3 and 1/3 (show profit), then divide by total net amount bet on each show finisher for three (3) unique unbroken base prices.

(5) Each association shall disclose the following in its license application, incorporated by reference in 810 KAR 3:010:

(a) Which price calculation method it will use for single commission pari-mutuel pools;

(b) The ticket denominations for each type of pari-mutuel wager;

(d) The takeout for each type of pari-mutuel wager;

(e) Which pari-mutuel wagers will include carryover and consolation pools and the percentages of the net pool assigned to each; and

(f) For each type of pari-mutuel wagering involving more than one (1) live horse race, the procedures to be used if a race is cancelled.

(6) The individual pools described in this administrative regulation may be given alternative names by each association if prior approval is obtained from the corporation.

(7) A mutuel entry or a mutuel field in any race shall be a single betting interest for the purpose of each of the wagers described in this administrative regulation and the corresponding pool calculations and payouts. If either horse in a mutuel entry, or any horse in a mutuel field, is a starter in a race, the entry or the field selection shall remain as the designated selection for any of the wagers described in this administrative regulation and the selection shall not be deemed scratched.

Section 3. Pools Dependent Upon Entries for Live Horse Races.

(1) Except as provided in subsection (3) of this section, when pools are opened for wagering all associations may:

(a) Offer win wagering on all races with four (4) or more betting interests;

(b) Offer place wagering on all races with five (5) or more betting interests;

(d) Offer Quinella wagering on all races with four (4) or more betting interests;

(e) Offer Exacta wagering on all races with four (4) or more betting interests;

(f) Offer Trifecta wagering on all races with five (5) or more betting interests;

(g) Offer Superfecta wagering on all races with six (6) or more betting interests;

(h) Offer Big Q wagering on all races with three (3) or more betting interests; and

(i) Offer Super High 5 wagering on all races with seven (7) or more betting interests.

(2) Except as provided in subsection (4) of this section, when pools are opened for wagering, associations shall not offer Twin Trifecta wagering on any races with six (6) or fewer betting interests.

(3) The chief state steward or presiding judge, or his or her designee, may authorize an association to offer a subject wager with less than the number of horses required by this section if:

(a) Requested by the association; and

(b) The integrity of the wager would not be affected by the smaller field.

(4) If a horse is scratched by the judges or stewards after wagering has commenced or a horse is prevented from running in a live horse race because of a failure of the starting gate, and the number of actual starters representing different betting interests is reduced below the requirements in subsection (1) or (2) of this section, the association may cancel the affected wagers and refund the entire affected pools with the approval of the Chief State Steward or Presiding Judge, or his or her designee.

(5) In all cases in which the Chief State Steward or Presiding Judge, or his or her designee, authorizes the changes described in subsection (4) or (5) of this section, the association shall provide a written report to the corporation within twenty-four (24) hours of the post time of the race explaining the need to cancel the wagering pool.

Section 4. Win Pools.

(1) The amount wagered on the betting interest that finishes first shall be deducted from the net win pool and the balance remaining shall be the profit. The profit shall be divided by the amount wagered on the betting interest finishing first and the result shall be the profit per dollar wagered to win on that betting interest.

(2) The net win pool shall be distributed as a single price pool in the following precedence based upon the official order of finish:

(a) To individuals whose selection finishes first, except if there are not any of those wagers, then;

(b) To individuals whose selection finishes second, except if there are not any of those wagers, then;

(d) The entire pool shall be refunded on win wagers for that race.

(3)

(a) If there is a dead heat for first involving horses representing the same betting interest, the win pool shall be distributed as if no dead heat occurred.

(b) If there is a dead heat for first involving horses representing two (2) or more betting interests, the win pool shall be distributed as a profit split.

Section 5. Place Pools.

(1) The amounts wagered to place on the first two (2) betting interests to finish shall be deducted from the net pool and the balance remaining shall be the profit. The profit shall be divided into two (2) equal portions, with each portion assigned to each winning betting interest and divided by the dollar amount wagered to place on that betting interest. The result shall be the profit per dollar wagered to place on that betting interest.

(2) The net place pool shall be distributed in the following precedence based upon the official order of finish:

(a) If horses in a mutuel entry or mutuel field finish in the first two (2) places, as a single price pool to individuals who selected the mutuel entry or mutuel field, otherwise;

(b) As a profit split to individuals whose selection is included within the first two (2) finishers, except if there are not any of those wagers on one (1) of those two (2) finishers, then;

(c) As a single price pool to individuals who selected the one (1) covered betting interest included within the first two (2) finishers, except if there are not any of those wagers, then;

(d) As a single price pool to individuals who selected the third-place finisher, except if there are not any of those wagers, then;

(e) The entire pool shall be refunded on place wagers for that race.

(3)

(a) If there is a dead heat for first involving horses representing the same betting interest, the place pool shall be distributed as a single price pool.

(b) If there is a dead heat for first involving horses representing two (2) or more betting interests, the place pool shall be distributed as a profit split.

(4)

(a) If there is a dead heat for second involving horses representing the same betting interest, the place pool shall be distributed as if no dead heat occurred.

(b) If there is a dead heat for second involving horses representing two (2) or more betting interests, the place pool shall be divided, with one-half (1/2) of the profit distributed to place wagers on the betting interest finishing first and the remainder of the profit distributed equally among place wagers on the betting interests involved in the dead heat for second.

Section 6. Show Pools.

(1) The amounts wagered to show on the first three (3) betting interests shall be deducted from the net pool and the balance remaining shall be the profit. The profit shall be divided into three (3) equal portions, with each portion assigned to each winning betting interest and divided by the amount wagered to show on that betting interest. The result shall be the profit per dollar wagered to show on that betting interest.

(2) The net show pool shall be distributed in the following precedence based on the official order of finish:

(a) If horses in a mutuel entry or mutuel field finish in the first three (3) places, as a single price pool to individuals who selected the mutuel entry or mutuel field, otherwise;

(b) If horses of a mutuel entry or mutuel field finish as two (2) of the first three (3) finishers, the profit shall be divided with two-thirds (2/3) distributed to individuals who selected the mutuel entry or mutuel field and one-third (1/3) distributed to individuals who selected the other betting interest included within the first three (3) finishers, otherwise;

(c) As a profit split to individuals whose selection shall be included within the first three (3) finishers, except if there are not any of those wagers on one (1) of those three (3) finishers, then;

(d) As a profit split to individuals who selected one (1) of the two (2) covered betting interests included within the first three (3) finishers, except if there are not any of those wagers on two (2) of those three (3) finishers, then;

(e) As a single price pool to individuals who selected the one (1) covered betting interest included within the first three (3) finishers, except if there are not any of those wagers, then;

(f) As a single price pool to individuals who selected the fourth-place finisher, except if there are not any of those wagers, then;

(g) The entire pool shall be refunded on show wagers for that race.

(3)

(a) If there is a dead heat for first involving two (2) horses representing the same betting interest, the profit shall be divided with two-thirds (2/3) to individuals who selected the first-place finishers and one-third (1/3) distributed to individuals who selected the betting interest finishing third.

(b) If there is a dead heat for first involving three (3) horses representing a single betting interest, the show pool shall be distributed as a single price pool.

(c) If there is a dead heat for first involving horses representing two (2) or more betting interests, the show pool shall be distributed as a profit split.

(4)

(a) If there is a dead heat for second involving horses representing the same betting interest, the profit shall be divided with one-third (1/3) distributed to individuals who selected the betting interest finishing first and two-thirds (2/3) distributed to individuals who selected the second-place finishers.

(b) If there is a dead heat for second involving horses representing two (2) betting interests, the show pool shall be distributed as a profit split.

(c) If there is a dead heat for second involving horses representing three (3) betting interests, the show pool shall be divided with one-third (1/3) of the profit distributed to show wagers on the betting interest finishing first and the remainder shall be distributed equally among show wagers on those betting interests involved in the dead heat for second.

(5)

(a) If there is a dead heat for third involving horses representing the same betting interest, the show pool shall be distributed as if no dead heat occurred.

(b) If there is a dead heat for third involving horses representing two (2) or more betting interests, the show pool shall be divided with two-thirds (2/3) of the profit distributed to show wagers on the betting interests finishing first and second and the remainder shall be distributed equally among show wagers on those betting interests involved in the dead heat for third.

Section 7. Exacta Pools.

(1) The Exacta shall require the selection of the first two (2) finishers, in their exact order, for a single race.

(2) The net Exacta pool shall be distributed in the following precedence based upon the official order of finish:

(a) If horses of a mutuel entry or mutuel field finish as the first two (2) finishers, as a single price pool to individuals selecting the mutuel entry or mutuel field combined with the next separate betting interest in the official order of finish, otherwise;

(b) As a single price pool to individuals whose combination finished in the correct sequence as the first two (2) betting interests, except if there are not any of those wagers, then;

(c) As a single price pool to individuals whose combination included the betting interest that finishes first, except if there are not any of those wagers, then;

(d) As a single price pool to individuals whose combination included the betting interest that finished second, except if there are not any of those wagers, then;

(e) The entire pool shall be refunded on Exacta wagers for that race.

(3)

(a) If there is a dead heat for first involving horses representing the same betting interest, the Exacta pool shall be distributed as a single price pool to individuals who selected the mutuel entry or mutuel field combined with the next separate betting interest in the official order of finish.

(b) If there is a dead heat for first involving horses representing two (2) or more betting interests, the Exacta pool shall be distributed as a profit split.

(4) If there is a dead heat for second involving horses representing the same betting interest, the Exacta shall be distributed as if no dead heat occurred.

(5) If there is a dead heat for second involving horses representing two (2) or more betting interests, the Exacta pool shall be distributed to ticket holders in the following precedence based upon the official order of finish:

(a) As a profit split to individuals combining the first-place betting interest with any of the betting interests involved in the dead heat for second, except if there is only one (1) covered combination, then;

(b) As a single price pool to individuals combining the first-place betting interest with the one (1) covered betting interest involved in the dead heat for second, except if there are not any of those wagers, then;

(c) As a profit split to individuals whose wagers correctly selected the winner for first-place and any of the betting interests which finished in a dead-heat for second-place, except if there are not any of those wagers, then;

(d) The entire pool shall be refunded on Exacta wagers for that race.

Section 8. Quinella Pools.

(1) The Quinella shall require the selection of the first two (2) finishers, irrespective of order, for a single race.

(2) The net Quinella pool shall be distributed in the following precedence based upon the official order of finish:

(b) As a single price pool to individuals whose combination finished as the first two (2) betting interests, except if there are not any of those wagers, then;

(c) As a profit split to individuals whose combination included either the first or second place finisher, except if there are not any of those wagers on one (1) of those two (2) finishers, then;

(d) As a single price pool to individuals whose combination included the one (1) covered betting interest included within the first two (2) finishers, except if there are not any of those wagers, then;

(e) The entire pool shall be refunded on Quinella wagers for that race.

(3)

(a) If there is a dead heat for first involving horses representing the same betting interest, the Quinella pool shall be distributed to individuals selecting the mutuel entry or mutuel field combined with the next separate betting interest in the official order of finish.

(b) If there is a dead heat for first involving horses representing two (2) betting interests, the Quinella pool shall be distributed as if no dead heat occurred.

(c) If there is a dead heat for first involving horses representing three (3) or more betting interests, the Quinella pool shall be distributed as a profit split.

(4) If there is a dead heat for second involving horses representing the same betting interest, the Quinella pool shall be distributed as if no dead heat occurred.

(5) If there is a dead heat for second involving horses representing two (2) or more betting interests, the Quinella pool shall be distributed to individuals in the following precedence based upon the official order of finish:

(a) As a profit split to individuals combining the winner with any of the betting interests involved in the dead heat for second, except if there is only one (1) covered combination, then;

(b) As a single price pool to individuals combining the winner with the one (1) covered betting interest involved in the dead heat for second, except if there are not any of those wagers, then;

(c) As a profit split to individuals combining the betting interests involved in the dead heat for second, except if there are not any of those wagers, then;

(d) As a profit split to individuals whose combination included the winner and any other betting interest and wagers selecting any of the betting interests involved in the dead heat for second, except if there are not any of those wagers, then;

(e) The entire pool shall be refunded on Quinella wagers for that race.

Section 9. Trifecta Pools.

(1) The Trifecta shall require selection of the first three (3) finishers, in their exact order, for a single race.

(2) For Trifecta price calculations only, the highest placed finisher of any part of a mutuel entry or mutuel field shall be used, eliminating all other parts of that mutuel entry or mutuel field from consideration regardless of finishing order.

(3) The Trifecta pool shall be distributed in the following precedence based upon the official order of finish:

(a) As a single price pool to individuals whose combination finished in correct sequence as the first three (3) betting interests, except if there are not any of those wagers, then;

(b) As a single price pool to individuals whose combination included, in correct sequence, the first two (2) betting interests, except if there are not any of those wagers, then;

(c) As a single price pool to individuals whose combination correctly selected the first-place betting interest only, except if there are not any of those wagers, then;

(d) The entire pool shall be refunded on Trifecta wagers for that race.

(4)

(a) If less than three (3) betting interests finish and the race is declared official, payouts shall be made based upon the order of finish of those betting interests that finish the race.

(b) The balance of any selection beyond the number of betting interests completing the race shall be ignored.

(5)

(a) If there is a dead heat for first involving horses representing three (3) or more betting interests, all of the wagering combinations selecting three (3) betting interests that correspond with any of the betting interests involved in the dead heat shall share in a profit split.

(b) If there is a dead heat for first involving horses representing two (2) betting interests, both of the wagering combinations selecting the two (2) betting interests that finish in a dead heat, irrespective of order, along with the third place betting interest shall share in a profit split.

(6) If there is a dead heat for second, all of the combinations correctly selecting the winner combined with any of the betting interests involved in the dead heat for second shall share in a profit split.

(7) If there is a dead heat for third, all wagering combinations correctly selecting the first two (2) finishers, in correct sequence, along with any of the betting interests involved in the dead heat for third shall share in a profit split.

(8)

(a) Trifecta wagering shall not be conducted on any race having fewer than five (5) separate betting interests.

(b) If fewer than five (5) horses start due to a late scratch or malfunction of the starting gate, the Trifecta shall be cancelled and the gross pool shall be refunded.

Section 10. Superfecta Pools.

(1) The Superfecta shall require selection of the first four (4) finishers, in their exact order, for a single race.

(2) The net Superfecta pool shall be distributed in the following precedence based upon the official order of finish:

(a) As a single price pool to individuals whose combination finished in correct sequence as the first four (4) betting interests, except if there are not any of those wagers, then;

(b) As a single price pool to individuals whose combination included in correct sequence, the first three (3) betting interests, except if there are not any of those wagers, then;

(c) As a single price pool to individuals whose combination included, in correct sequence, the first two (2) betting interests, except if there are not any of those wagers, then;

(d) As a single price pool to individuals whose combination correctly selected the first-place betting interest only, except if there are not any of those wagers, then;

(e) The entire pool shall be refunded on Superfecta wagers for that race.

(3)

(a) If less than four (4) betting interests finish and the race is declared official, payouts shall be made based upon the order of finish of those betting interests completing the race.

(b) The balance of any selection beyond the number of betting interests completing the race shall be ignored.

(4)

(a) If there is a dead heat for first involving horses representing four (4) or more betting interests, all of the wagering combinations selecting betting interests which correspond with any of the betting interests involved in the dead heat shall share in a profit split.

(b) If there is a dead heat for first involving horses representing three (3) betting interests, all of the wagering combinations selecting the three (3) betting interests that finish in a dead heat, irrespective of order, along with the fourth-place betting interest shall share in a profit split.

(c) If there is a dead heat for first involving horses representing two (2) betting interests, both of the wagering combinations selecting the two (2) dead-heated betting interests, irrespective of order, along with the third-place and fourth-place betting interests shall share in a profit split.

(5)

(a) If there is a dead heat for second involving horses representing three (3) or more betting interests, all of the wagering combinations correctly selecting the winner combined with any of the three (3) betting interests involved in the dead heat for second shall share in a profit split.

(b) If there is a dead heat for second involving horses representing two (2) betting interests, all of the wagering combinations correctly selecting the winner, the two (2) dead-heated betting interests, irrespective of order, and the fourth-place betting interest shall share in a profit split.

(6) If there is a dead heat for third, all wagering combinations correctly selecting the first two (2) finishers, in correct sequence, along with any two (2) of the betting interests involved in the dead heat for third shall share in a profit split.

(7) If there is a dead heat for fourth, all wagering combinations correctly selecting the first three (3) finishers, in correct sequence, along with any interest involved in the dead heat for fourth, shall share in a profit split.

(8) Superfecta wagering shall not be conducted on any race having fewer than six (6) separate betting interests. If fewer than six (6) horses start due to a late scratch or malfunction of the starting gate, Superfecta wagering shall be cancelled and the gross pool shall be refunded.

Section 11. Super High-Five Pools.

(1) The Super High-Five shall require selection of the first five (5) finishers, in their exact order, for a single race.

(2) Unless otherwise stated, the net Super High-Five pool shall be distributed as a single-priced pool to those who have selected all five (5) finishers, in exact order, based upon the official order of finish.

(3)

(a) Each association shall disclose in its license application whether it intends to schedule Super High-Five wagering and, if so, shall disclose:

The percentage of the pool to be retained for the winning wagers; and
The designated amount of any cap to be set on the pool to be retained for the winning wagers.

(b) Any subsequent changes to the Super High-Five scheduling shall require prior approval from the commission or its designee.

(4) If there are no winning wagers selecting all five (5) finishers, in exact order, the entire Super High-Five pool shall be added to the carryover.

(5) If due to a late scratch the number of betting interests in the Super High-Five pool is reduced to fewer than seven (7), the Super High-Five pool shall be cancelled and shall be refunded, except not the Super High-Five carryover pool.

(6) If a betting interest in the Super High-Five pool is scratched from the race, there shall not be any more wagers accepted selecting that scratched runner and all tickets previously sold designating that horse shall be refunded and that money shall be deducted from the gross pool.

(7) If any dead-heat occurs in any finishing position, all wagers selecting either of the runners finishing in a dead heat with the correct runners not finishing in a dead heat shall be winners and share the Super High-Five pool. Payouts shall be calculated by splitting the pool equally between each winning combination, then dividing each portion by the number of winning tickets.

(8) On the final day of a meeting, an association shall make a final distribution of all accumulated carryovers along with the net pool of the Super High-Five pool conducted on the final day of the meeting as a single price pool to:

(a) Individuals with tickets selecting the first five (5) finishers, in exact order, for the designated race, or, if there are not any of those wagers, to;

(b) Individuals with tickets selecting the first four (4) finishers, in exact order, for the designated race, or, if there are not any of those wagers, to;

(c) Individuals with tickets selecting the first three (3) finishers, in exact order, for the designated race, or, if there are not any of those wagers, to;

(d) Individuals with tickets selecting the first two (2) finishers, in exact order, for the designated race, or, if there are not any of those wagers, to;

(e) Individuals with tickets selecting the winner for the designated race, or, if there are not any of those wagers;

(f) All money wagered into the Super High-Five pool that day shall be refunded and any carryover shall be retained and added to the Super High -Five pool on the first racing day of the next meeting.

(9) If, for any reason, the Super High-Five carryover shall be held over to the corresponding Super High-Five pool of a subsequent meeting, the carryover shall be deposited in an interest-bearing account approved by the corporation. The Super High-Five carryover plus accrued interest shall then be added to the net Super High-Five pool of the following meeting on a date and performance approved by the corporation.

Section 12. Double Pools.

(1) The double pool shall require the selection of the first-place finisher in each of two (2) specified races.

(2) The net double pool shall be distributed in the following precedence based upon the official order of finish:

(a) As a single price pool to individuals whose selections finished first in each of the two (2) races, except if there are not any of those wagers, then;

(b) As a profit split to individuals who selected the first-place finisher in either of the two (2) races, except if there are not any of those wagers, then;

(c) As a single price pool to individuals who selected the one (1) covered betting interest that finished first in either race, except if there are not any of those wagers, then;

(d) As a single price pool to individuals whose selection finished second in each of the two (2) races, except if there are not any of those wagers, then;

(e) The entire pool shall be refunded on the double wagers for those races.

(3)

(a) If there is a dead heat for first in either of the races involving horses representing the same betting interest, the double pool shall be distributed as if no dead heat occurred.

(b) If there is a dead heat for first in either of the races involving horses representing two (2) or more betting interests, the double pool shall be distributed as a profit split if there is more than one (1) covered winning combination.

(4) If a betting interest in the first half of the double is scratched prior to the close of wagering on the first double contest, all money wagered on combinations including the scratched betting interest shall be deducted from the double pool and refunded.

(5) If a betting interest in the second half of the double is scratched prior to the close of wagering on the first double race, all money wagered on the combinations including the scratched betting interest shall be deducted from the double pool and refunded.

(6) If a betting interest in the second half of the double is scratched after the close of wagering on the first double race, all wagers combining the winner of the first race with the scratched betting interest in the second race shall be allocated a consolation payout.

(a) In calculating the consolation payout, the net double pool shall be divided by the total amount wagered on the winner of the first race and an unbroken consolation price obtained.

(b) The broken consolation price shall be multiplied by the dollar value of wagers on the winner of the first race combined with the scratched betting interest to obtain the consolation payout.

(d) The consolation payout shall be deducted from the net double pool before calculation and distribution of the winning double payout.

(e) Dead heats including separate betting interests in the first race shall result in a consolation payout calculated as a profit split.

(7) If either of the double races is cancelled prior to the first double race, or the first double race is declared "no contest," the entire double pool shall be refunded on double wagers for those races.

(8)

(a) If the second double race is cancelled or declared a "no contest" after the conclusion of the first double race, the net double pool shall be distributed as a single price pool to individuals who selected the winner of the first double race.

(b) If there is a dead heat involving separate betting interests, the net double pool shall be distributed as a profit split.

Section 13. Big Q Pools.

(1) The Big Q shall require selection of the first two (2) finishers, irrespective of order, in each of two (2) designated races.

(a) Each winning ticket for the first Big Q race shall be exchanged for a free ticket on the second Big Q race in order to remain eligible for the second half Big Q pool.

(b) Exchange tickets shall be exchanged at attended ticket windows prior to the second race comprising the Big Q.

(d) Each of the designated Big Q races shall be included in only one (1) Big Q pool.

(2) In the first Big Q race only, winning wagers shall be determined using the following precedence based on the official order of finish for the first Big Q race:

(a) If a mutuel entry or mutuel field finishes as the first two (2) finishers, those who selected the mutuel entry or mutuel field combined with the next separate betting interest in the official order of finish shall be winners, otherwise:

(b) Individuals whose combination finished as the first two (2) betting interests shall be winners, except if there are not any of those wagers, then;

(c) Individuals whose combination included either the first- or second-place finisher shall be winners, except if there are not any of those wagers on one (1) of the two (2) finishers, then;

(d) Individuals whose combination included the one (1) covered betting interest included within the first two (2) finishers shall be winners, except if there are not any of those wagers, then;

(e) The entire pool shall be refunded on Big Q wagers for that race.

(3)

(a) In the first Big Q race only, if there is a dead heat for first involving horses representing the same betting interest, individuals who selected the mutuel entry or mutuel field combined with the next separate betting interest in the official order of finish shall be winners.

(b) In the first Big Q race only, if there is a dead heat for first involving horses representing two (2) betting interests, the winning Big Q wagers shall be determined as if no dead heat occurred.

(c) In the first Big Q race only, if there is a dead heat for first involving horses representing three (3) or more betting interests, individuals whose combination included any two (2) of the betting interests finishing in the dead heat shall be winners.

(4) In the first Big Q race only, if there is a dead heat for second, the winners shall be those who combined the first place finisher with any of the runners involved in the dead heat for second.

(5) In the second Big Q race only, the entire net Big Q pool shall be distributed to individuals in the following precedence based upon the official order of finish for the second Big Q race:

(a) If a mutuel entry or mutuel field finishes as the first two (2) finishers, as a single price pool to individuals who selected the mutuel entry or mutuel field combined with the next separate betting interest in the official order of finish, otherwise;

(b) As a single price pool to individuals whose combination finished as the first two (2) betting interests, except if there are not any of those wagers, then;

(c) As a profit split to individuals whose combination included either the first- or second- place finisher, except if there are not any of those wagers on one (1) of those two (2) finishers, then;

(d) As a single price pool to individuals whose combination included one (1) of the covered betting interests included within the first two (2) finishers, except if there are not any of those wagers, then;

(e) As a single price pool to all exchange ticket holders for that race, except if there are not any of those wagers, then;

(f) In accordance with subsection (2) of this section.

(6)

(a) In the second Big Q race only, if there is a dead heat for first involving horses representing the same betting interest, the net Big Q pool shall be distributed to individuals selecting the mutuel entry or mutuel field combined with the next separate betting interest in the official order of finish.

(b) In the second Big Q race only, if there is a dead heat for first involving horses representing two (2) betting interests, the net Big Q pool shall be distributed as if no dead heat occurred.

(c) In the second Big Q race only, if there is a dead heat for first involving horses representing three (3) or more betting interests, the net Big Q pool shall be distributed as a profit split to individuals whose combination included any two (2) of the betting interests finishing in the dead heat.

(7) In the second Big Q race only, if there is a dead heat for second involving horses representing two (2) or more betting interests, the Big Q pool shall be distributed to individuals in the following precedence based upon the official order of finish:

(a) As a profit split to individuals combining the winner with any of the betting interests involved in the dead heat for second, except if there is only one (1) covered combination, then;

(b) As a single price pool to individuals combining the winner with the one (1) covered betting interest involved in the dead heat for second, except if there are not any of those wagers, then;

(c) As a profit split to individuals combining the betting interests involved in the dead heat for second, except if there are not any of those wagers, then;

(d) As a profit split to individuals whose combination included the winner and any other betting interest and wagers selecting any of the betting interests involved in the dead heat for second, then;

(e) As a single price pool to all exchange ticket holders for that race, except if there are not any of those tickets, then;

(f) In accordance with subsection (2) of this section.

(8) If a winning ticket for the first half of the Big Q is not presented for exchange prior to the close of betting on the second half Big Q race, the ticket holder shall forfeit all rights to any distribution of the Big Q pool resulting from the outcome of the second race.

(9) If a betting interest in the first half of the Big Q is scratched, the Big Q wagers including the scratched betting interest shall be refunded.

(10)

(a) If a betting interest in the second half of the Big Q is scratched, an immediate public announcement and immediate posting on the association's video monitors and Web site concerning the scratch shall be made and a reasonable amount of time shall be provided for exchange of tickets that include the scratched betting interest.

(b) If tickets have not been exchanged prior to the close of betting for the second Big Q race, the ticket holder shall forfeit all rights to the Big Q pool.

(11) If either of the Big Q races is cancelled prior to the first Big Q race, or the first Big Q race is declared "no contest," the entire Big Q pool shall be refunded on Big Q wagers for that race.

(12) If the second Big Q race is cancelled or declared "no contest" after the conclusion of the first Big Q race, the net Big Q pool shall be distributed as a single price pool to wagers selecting the winning combination in the first Big Q race and all valid exchange tickets. If there are not any of those wagers, the net Big Q pool shall be distributed as described in subsection (2) of this section.

Section 14. Pick-(n) Pools.

(1) The Pick-(n) shall require the selection of the first place finisher in each of (n)-specified races designated by the association and approved by the corporation where (n) is any number of races greater than 2. Any changes to the Pick-(n) format shall be approved by the corporation before implementation.

(2) The Pick-(n) pari-mutuel pool consists of amounts contributed for a win only selection in each of (n) races designated by the association. Each individual placing a Pick-(n) wager shall designate the winning horse in each of (n) races comprising the Pick-(n).

(3) The net Pick-(n) pool shall be apportioned in one the following methods based upon the official order of finish:

(a) Method 1, Pick-(n) with Carryover: The net Pick-(n) pool and carryover, if any, shall be distributed as a single price pool to those who selected the first-place finisher in each of the Pick-(n) contests, based upon the official order of finish. If there are not any of those wagers, then a designated percentage of the net pool shall be distributed as a single price pool to those who selected the first-place finisher in the greatest number of Pick-(n) contests; and the remainder shall be added to the carryover. Where there is no correct selection of the first-place finisher in at least one of the Pick-(n) contests, based upon the official order of finish, the day's net pool shall be refunded and the previous carryover pool amount, if any, shall be carried over to the next scheduled corresponding pool.

(b) Method 2, Pick-(n) with 100 percent Carryover: The net Pick-(n) pool and carryover, if any, shall be distributed as a single price pool to those who selected the first-place finisher in each of the Pick-(n) contests, based upon the official order of finish. If there are not any of those wagers, then 100 percent of that day's net pool shall be added to the carryover. Where there is no correct selection of the first-place finisher in at least one of the Pick-(n) contests, based upon the official order of finish, the day's net pool shall be refunded and the previous carryover pool amount, if any, shall be carried over to the next scheduled corresponding pool.

(c) Method 3, Pick-(n) with Minor Pool and Carryover: The major share of the net Pick-(n) pool and the carryover, if any, shall be distributed to those who selected the first-place finisher in each of the Pick-(n) contests, based upon the official order of finish. The minor share of the net Pick-(n) pool shall be distributed to those who selected the first place finisher in the second greatest number of Pick-(n) contests, based upon the official order of finish. If there are no wagers selecting the first-place finisher of all Pick-(n) contests, the minor share of the net Pick-(n) pool shall be distributed as a single price pool to those who selected the first-place finisher in the greatest number of Pick-(n) contests; and the major share shall be added to the carryover. Where there is no correct selection of the first-place finisher in at least one (1) of the Pick-(n) contests, based upon the official order of finish, the day's net pool shall be refunded and the previous carryover pool amount, if any, shall be carried over to the next scheduled corresponding pool.

(d) Method 4, Pick-(n) with No Minor Pool and No Carryover: The net Pick-(n) pool shall be distributed as a single price pool to those who selected the first-place finisher in the greatest number of Pick-(n) contests, based upon the official order of finish. If there are no winning wagers, the pool shall be refunded.

(e) Method 5, Pick-(n) with Minor Pool and No Carryover: The major share of the net Pick-(n) pool shall be distributed to those who selected the first place finisher in the greatest number of Pick-(n) contests, based upon the official order of finish. The minor share of the net Pick-(n) pool shall be distributed to those who selected the first-place finisher in the second greatest number of Pick-(n) contests, based upon the official order of finish. If there are no wagers selecting the first-place finisher in a second greatest number of Pick-(n) contests, the minor share of the net Pick-(n) pool shall be combined with the major share for distribution as a single price pool to those who selected the first-place finisher in the greatest number of Pick-(n) contests. If the greatest number of first-place finishers selected is one (1), the major and minor shares shall be combined for distribution as a single price pool. If there are no winning wagers, the pool shall be refunded.

(f) Method 6, Pick-(n) with Minor Pool and No Carryover: The major share of net Pick-(n) pool shall be distributed to those who selected the first-place finisher in each of the Pick-(n) contests, based upon the official order of finish. The minor share of the net Pick-(n) pool shall be distributed to those who selected the first-place finisher in the second greatest number of Pick-(n) contests, based upon the official order of finish. If there are no wagers selecting the first-place finisher in all Pick-(n) contests, the entire net Pick-(n) pool shall be distributed as a single price pool to those who selected the first-place finisher in the greatest number of Pick-(n) contests. If there are no wagers selecting the first-place finisher in a second greatest number of Pick-(n) contests, the minor share of the net Pick-(n) pool shall be combined with the major share for distribution as a single price pool to those who selected the first-place finisher in each of the Pick-(n) contests. If there are no winning wagers, the pool shall be refunded.

(g) Method 7, Pick-(n) with Carryover and "Unique Winning Ticket" Provision: The net Pick-(n) pool and carryover, if any, shall be distributed to the holder of a unique winning ticket that selected the first-place finisher in each of the Pick-(n) contests, based upon the official order of finish. If there are multiple tickets selecting the first-place finisher in each of the Pick-(n) contest(s), a share that has been declared by the association and approved by the commission, of the net Pick-(n) shall be distributed as a single price pool to those who selected the first-place finisher in each of the Pick-(n) contests and the remaining share shall be added to the carryover. If there are no tickets selecting the first-place finisher in each of the Pick-(n) contests, then; the entire net Pick-(n) pool shall be added to the carryover. Associations may suspend previously approved unique winning ticket wagering with the prior approval of the commission. Any carryover shall be held until the suspended unique winning ticket wagering is reinstated. Where there is no correct selection of the first-place finisher in at least one (1) of the Pick-(n) contests, based upon the official order of finish, the day's net pool shall be refunded and the previous carryover pool amount, if any, shall be carried over to the next scheduled corresponding pool. In obtaining authorization for operating the Pick-(n) pool under this subsection, associations shall clearly identify which definition under subsection (16)(b) of this section will be relied upon for determining the existence of a unique winning ticket.

(4) If there is a dead heat for first place in any of the Pick-(n) races involving contestants representing the same betting interest, the Pick-(n) pool shall be distributed as if no dead heat occurred.

(5) If there is a dead heat for first place in any of the Pick-(n) races involving contestants representing two (2) or more betting interests, the Pick-(n) pool shall be distributed as a single price pool with each winning wager receiving an equal share of the profit.

(6) If a betting interest is scratched or is designated to run for purse money only from any leg of the Pick-(n), the association shall use 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, and shall be substituted for the betting interest that was scratched or designated to run for purse money only for all purposes, including pool calculations. If the Win pool total for two (2) or more favorites is identical, the substitute selection shall be the betting interest with the lowest program number. 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.

(7) If for any reason more than half of the races comprising the Pick-(n) are cancelled or declared a "no contest", and there was no previous carryover amount, wagering on the Pick-(n) shall be cancelled and all wagers shall be refunded.

(8) If for any reason more than half of the races comprising the Pick-(n) are cancelled or declared a "no contest", and a previous carryover amount existed, the carryover amount shall be frozen and added to the next scheduled Pick-(n) event. Wagering on the Pick-(n) for the cancelled Pick-(n) wager races shall be cancelled and all wagers shall be refunded.

(9) If the condition of the turf course warrants a change of racing surface in any races of the Pick-(n), and the change has not been disclosed to the public prior to "off time" of the first race of the Pick-(n), the stewards shall declare the changed races an "all win" race for Pick-(n) wagering purposes only. An "all win" race shall assign the winner of that race to each Pick-(n) ticket holder as their selection for that race.

(10) The Pick-(n) carryover may be capped at a designated level approved by the corporation so that if, at the close of any performance, the amount in the Pick-(n) carryover equals or exceeds the designated cap, the Pick-(n) carryover will be frozen until it is won or distributed under other provisions of this rule. After the Pick-(n) carryover is frozen, 100 percent of the net pool, part of which ordinarily would be added to the Pick-(n) carryover, shall be distributed to those whose selection finished first in the greatest number of Pick-(n) contests for that performance.

(11) A written request for permission to distribute the Pick-(n) carryover on a specific performance may be submitted to the corporation. The request shall be for a specified date no greater than one (1) year from the date the request is submitted and contain justification for the distribution, an explanation of the benefit to be derived, and the intended date and performance for the distribution.

(12) If the Pick-(n) carryover is designated for distribution on a specified date and performance in which there are no wagers selecting the first-place finisher in each of the Pick-(n) contests, the entire pool shall be distributed as a single price pool to those whose selection finished first in the greatest number of Pick-(n) contests. The Pick-(n) carryover shall be designated for distribution on a specified date and performance only under the following circumstances:

(a) Upon written approval from the corporation as provided in subsection (11) of this section;

(b) Upon written approval from the corporation when there is a change in the carryover cap, a change from one (1) type of Pick-(n) wagering to another, or when the Pick-(n) is discontinued; or

(13) Notwithstanding subsections (10) and (12) of this section, if for any reason the Pick-(n) carryover must be held over to the corresponding Pick-(n) pool of a subsequent meet, the carryover shall be deposited in an interest-bearing account approved by the corporation. The Pick-(n) carryover plus accrued interest shall then be added to the net Pick-(n) pool of the following meet on a date and performance designated by the association and approved by the corporation.

(14) With the written approval of the corporation, the association may contribute to the Pick-(n) carryover a sum of money up to the amount of any designated cap.

(15) The association may suspend previously-approved Pick-(n) wagering with the prior approval of the corporation. Any carryover shall be held until the suspended Pick-(n) wagering is reinstated. An association may request approval of a Pick-(n) wager or separate wagering pool for specific performances.

(16) As it relates to any distribution method under subsection (3)(g) of this section which contains a unique winning ticket provision:

(a) A written request for permission to distribute the Pick-(n) unique winning ticket carryover on a specific performance may be submitted to the corporation. The request shall contain justification for the distribution, an explanation of the benefit to be derived, and the intended date and performance for the distribution. If the Pick-(n) unique winning ticket net pool and any applicable carryover is designated for distribution on a specified date and performance in which there is no unique winning ticket, the entire pool shall be distributed as a single price pool to those who selected the first-place finisher in the greatest number of Pick-(n) contests.

(b) Associations shall clearly identify which selection under subparagraphs 1 and 2 of this paragraph will be relied upon for determining the existence of a unique winning ticket:

There is one (1) and only one (1) winning ticket that correctly selected the first place finisher in each of the Pick-(n) contests, based upon the official order of finish, to be verified by the unique serial number assigned by the tote company that issued the winning ticket; or
The total amount wagered on one (1) and only one (1) winning combination selecting the first-place finisher in each of the Pick-(n) contests, based up on the official order of finish, is equal to the minimum allowable wager.

(17)

(a) Each association shall disclose in its license application whether it intends to schedule Pick-(n) races and, if so, shall disclose:

The percentage of the pool to be retained for the winning wagers, and
The designated amount of any cap to be set on the pool to be retained for the winning wagers.

(b) Any changes to the Pick-(n) scheduling shall require prior approval from the corporation or its designee.

(18) An association may request permission from the corporation to distribute the Pick-(n) carryover on a specific performance. The request shall contain justification for the distribution, an explanation of the benefit to be derived, and the intended date and performance for the distribution.

(19) Upon written approval of the corporation, a sum of money up to the amount of any designated cap may be contributed to the Pick-(n) carryover by an association. The association may supply information to the general public regarding the winning dollars in the Pick-(n) pool. The information shall not be selectively distributed. This shall not prohibit necessary communication between totalizator and pari-mutuel department employees for processing of pool data.

Section 15. Twin Trifecta Pools.

(1) The Twin Trifecta shall require the selection of the first three (3) finishers, in their exact order, in each of two (2) designated races.

(a) Each winning ticket for the first Twin Trifecta race shall be exchanged for a free ticket on the second Twin Trifecta race in order to remain eligible for the second half Twin Trifecta pool.

(b) The winning tickets may only be exchanged at attended ticket windows prior to the second Twin Trifecta race.

(d) Both of the designated Twin Trifecta races shall be included in only one (1) Twin Trifecta pool.

(2) After wagering closes for the first half of the Twin Trifecta, and the takeout has been deducted from the pool, the net pool shall then be divided into two (2) separate pools: the first half Twin Trifecta pool and the second half Twin Trifecta pool.

(3) In the first Twin Trifecta race only, winning wagers shall be determined using the following precedence based upon the official order of finish for the first Twin Trifecta race:

(a) As a single price pool to individuals whose combination finished in the correct sequence as the first three (3) betting interests, except if there are not any of those wagers, then;

(b) As a single price pool to individuals whose combination included, in correct sequence, the first two (2) betting interests, except if there are not any of those wagers, then;

(c) As a single price pool to individuals whose combination correctly selected the first-place betting interest only, except if there are not any of those wagers, then;

(d) The entire Twin Trifecta pool shall be refunded on Twin Trifecta wagers for that race and Twin Trifecta wagering on the second half shall be cancelled.

(4) Except as established in subsection (16) of this section, if no first half Twin Trifecta ticket selects the first three (3) finishers of that race in exact order:

(a) Exchange tickets for the second half Twin Trifecta pool shall not be distributed; and

(b) The second half Twin Trifecta pool shall be retained and added to any existing Twin Trifecta carryover pool.

(5)

(a) Tickets from the first half of the Twin Trifecta that correctly select the first three (3) finishers shall be exchanged for tickets selecting the first three (3) finishers of the second half of the Twin Trifecta.

(b) The second half Twin Trifecta pool shall be distributed to individuals in the following precedence based upon the official order of finish for the second Twin Trifecta race:

As a single price pool, including any existing carryover monies, to individuals whose combination finished in correct sequence as the first three (3) betting interests except if there are not any of those wagers, then;
The entire second half Twin Trifecta pool for that race shall be added to any existing carryover monies and retained for the corresponding second half Twin Trifecta pool of the next consecutive performance.

(c) If a winning first half Twin Trifecta ticket is not presented for cashing and exchange prior to the second half Twin Trifecta race, the ticket holder may still collect the monetary value associated with the first half Twin Trifecta pool except the ticket holder shall forfeit all rights to any distribution of the second half Twin Trifecta pool.

(6) Mutuel entries and mutuel fields shall be prohibited in Twin Trifecta races.

(7) If a betting entry in the first half of the Twin Trifecta is scratched, Twin Trifecta wagers including the scratched betting interest shall be refunded.

(8)

(a) If a betting interest in the second half of the Twin Trifecta is scratched, an immediate public announcement and immediate posting on the association's video monitors and Web site concerning the scratch shall be made and a reasonable amount of time shall be provided for exchange of tickets that include the scratched betting interest.

(b) If tickets have not been exchanged prior to the close of betting for the second Twin Trifecta race, the ticket holder shall forfeit all rights to the second half Twin Trifecta pool.

(9) If, due to a late scratch, the number of betting interests in the second half of the Twin Trifecta is reduced to fewer than the minimum, all exchange tickets and outstanding first half winning tickets shall be entitled to the second half pool for that race, except they shall not be entitled to the Twin Trifecta carryover.

(10)

(a) If there is a dead heat or multiple dead heats in either the first or second half of the Twin Trifecta, all Twin Trifecta wagers selecting the correct order of finish, counting a betting interest involved in a dead heat as finishing in any dead-heated position, shall be winning wagers.

(b) If the dead heat occurs in the first half of the Twin Trifecta, the payout shall be calculated as a profit split.

(c) If the dead heat occurs in the second half of the Twin Trifecta, the payout shall be calculated as a single price pool.

(11) If the first Twin Trifecta race is canceled or declared "no contest", the entire Twin Trifecta pool shall be refunded on Twin Trifecta wagers for that race and the second half shall be cancelled.

(12)

(a) If the second half Twin Trifecta race is cancelled or declared "no contest", all exchange tickets and outstanding first half winning Twin Trifecta tickets shall be entitled to the net Twin Trifecta pool for that race as a single price pool, except they shall not be entitled to the Twin Trifecta carryover.

(b) If there are no outstanding first half winning Twin Trifecta tickets, the net Twin Trifecta pool shall be distributed as described in subsection (3) of this section.

(13)

(a) The Twin Trifecta carryover may be capped at a designated level approved by the corporation so that if, at the close of any performance, the amount in the Twin Trifecta carryover equals or exceeds the designated cap, the Twin Trifecta carryover shall be frozen until it is won or distributed under the provisions of this administrative regulation.

(b) After the Twin Trifecta carryover is frozen, 100 percent of the net Twin Trifecta pool for each individual race shall be distributed to winners of the first half of the twin Trifecta pool.

(14) A written request for permission to distribute the Twin Trifecta carryover on a specific performance may be submitted to the corporation. The request shall contain:

(a) Justification for the distribution;

(b) An explanation of the benefit to be derived; and

(15) If the Twin Trifecta carryover is designated for distribution on a specified date and performance, the following precedence shall be followed in determining winning tickets for the second half of the Twin Trifecta after completion of the first half of the Twin Trifecta:

(a) As a single price pool to individuals whose combination finished in correct sequence as the first three (3) betting interests, except if there are not any of those wagers, then;

(b) As a single price pool to individuals whose combination included, in correct sequence, the first two (2) betting interests, except if there are not any of those wagers, then;

(c) As a single price pool to individuals whose combination correctly selected the first-place betting interest only, except if there are not any of those wagers, then;

(d) As a single price pool to holders of valid exchange tickets, except if there are not any of those wagers, then;

(e) As a single price pool to holders of outstanding first half winning tickets.

(16) For a performance designated to distribute the Twin Trifecta carryover, exchange tickets shall be issued for those combinations selecting the greatest number of betting interests in their correct order of finish for the first half of the twin Trifecta.

(a) If there are no wagers correctly selecting the first-, second-, and third-place finishers, in their exact order, then exchange tickets shall be issued for combinations correctly selecting the first-and second-place finishers.

(b) If there are no wagers correctly selecting the first- and second-place finishers, in their exact order, exchange tickets shall be issued for combinations correctly selecting only the first-place finisher.

(c) If there are no wagers selecting the first-place finisher only in the first half of the Twin Trifecta, all first half tickets shall be winning tickets and shall be entitled to 100 percent of that performance's net Twin Trifecta pool, and any existing Twin Trifecta carryover.

(17) The Twin Trifecta carryover shall be designated for distribution on a specified date and performance only under the following circumstances:

(a) Upon written approval from the corporation as provided in subsection (14) of this section;

(b) Upon written approval from the corporation if there is a change in the carryover cap or if the Twin Trifecta is discontinued; or

(18) If, for any reason, the Twin Trifecta carryover shall be held over to the corresponding Twin Trifecta pool of a subsequent meeting, the carryover shall be deposited in an interest-bearing account approved by the corporation. The Twin Trifecta carryover plus accrued interest shall then be added to the second half Twin Trifecta pool of the following meeting on a date and performance so approved by the corporation.

(19) Associations shall not provide information to any individual regarding covered combinations, the number of tickets sold, or the number of valid exchange tickets. This shall not prohibit necessary communication between totalizator and pari-mutuel department employees from processing of pool data.

(20)

(a) Each association shall disclose in its license application whether it intends to schedule Twin-Trifecta wagering and, if so, shall disclose:

The percentages of the net pool added to the first half pool and the second half pool; and
The amount of any cap to be set on the carryover.

(b) Any subsequent changes to the Twin Trifecta scheduling require prior approval from the corporation or its designee.

History

RELATES TO: KRS 230.210, 230.215, 230.260, 230.361, 230.3615, 230.990
STATUTORY AUTHORITY: KRS 230.215(2), 230.260, 230.361(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) grants the Kentucky Horse Racing and Gaming Corporation the authority to regulate conditions under which horse racing and pari-mutuel wagering thereon shall be conducted in Kentucky. KRS 230.361(1) requires the corporation to promulgate administrative regulations governing wagering under the pari-mutuel system of wagering. This administrative regulation establishes the calculation of payouts and the distribution of pools for pari-mutuel wagering on live horse races.
History: 47 Ky.R. 2142; 48 Ky.R. 363; eff. 8-12-2021; TAm eff. 7-1-2024.

810 KAR 6:030 Pari-mutuel wagering {#sec-810-kar-6-030 omnilex-key=us-ky-regs-official--title-810--810 KAR 6:030}

Section 1. Pari-Mutuel System of Wagering Required.

(1) The only wagering permitted on live or historical horse races shall be under the pari-mutuel system of wagering. All systems of wagering other than pari-mutuel shall be prohibited. Any person participating or attempting to participate in prohibited wagering shall be ejected and excluded from association grounds.

(2) Wagering conducted in conformity with KRS Chapter 230 and KAR Title 810 is pari-mutuel.

Section 2. Totalizator or Other Approved Equipment Required.

(1) Pari-mutuel wagering on live and historical horse races shall only be conducted through the use of a totalizator or other similar mechanical equipment approved by the corporation pursuant to KRS 230.361.

(2) The totalizator or other mechanical equipment shall be available for testing under the supervision of the corporation upon request by the corporation to ensure proper working order.

Section 3. Wagering on Historical Horse Races Authorized.

(1) Wagering on historical horse races may be conducted and, if conducted, shall be in accordance with KRS Chapter 230 and KAR Title 810.

(2) Wagering on historical horse races shall only be conducted by:

(a) An association licensed to conduct a live horse race meet; or

(b) Two (2) or more associations licensed to conduct a live horse race meet:

Who form a joint venture; or
Pursuant to an agreement between them.

(3) Wagering on historical horse races shall only be permitted in a designated area on the licensed premises of an association licensed to conduct a live horse race meeting. Wagering on historical horse races shall not be offered in any other location.

(4) An association may conduct wagering on historical horse races of any horse breed regardless of the type of breed that primarily races in live meets conducted by the association. An association may conduct wagering on historical horse races on any days and hours approved by the corporation, and shall not be limited to times during which the association is conducting a live horse race meeting.

(5) Any wager placed on a historical horse race or races shall be an exotic wager.

(6) Before offering wagering on historical horse races, an association shall first obtain the corporation's written approval of all wagers offered as established in KAR Title 810.

(7) All wagering on historical horse races shall incorporate the elements established in paragraphs (a) through (f) of this subsection.

(a) A patron may only wager on historical horse races on a terminal approved by the corporation pursuant to this subsection and Section 5 of this administrative regulation.

(b) An association shall at all times maintain at least two (2) terminals offering each type of exotic wager on historical horse races.

(c) Once a patron deposits an amount in the terminal offering wagering on historical horse races, one (1) or more historical horse races shall be made available for wagering.

(d) Prior to the patron making his or her wager selections, the terminal shall not display any information that would allow the patron to identify the historical horse race or races on which he or she is wagering, including the location of the race or races, the date on which the race or races was run, the names of the horses in the race or races, or the names of the jockeys or drivers that rode the horses in the race or races.

(e) The terminal shall make available true and accurate past performance information on the historical horse race to the patron prior to making his or her wager selections. The information shall be current as of the day the historical horse race was actually run. The information provided to the patron shall be displayed on the terminal in data or graphical form.

(f) After a patron finalizes his or her wager selections, the terminal shall display the patron's selections, the official results of each race, and a replay of the race or races, or a portion thereof, whether by digital or animated depiction or by way of a video recording. The identity of each race shall be revealed to the patron after the patron has placed his or her wager.

Section 4. Payouts through Pari-Mutuel Pools Authorized.

(1)

(a) A wager on a historical horse race or races, less deductions permitted by KRS Chapter 230 or KAR Title 810, shall be placed in pari-mutuel pools approved by the corporation based on promoting the best interests of racing.

(b) A payout to a winning patron shall be paid from money wagered by patrons and shall not constitute a wager against the association.

(c) An association conducting wagering on historical horse races shall not conduct wagering in a manner that results in patrons wagering against the association, or in a manner so that the amount retained by the association as a commission is dependent upon the outcome of any particular race or the success of any particular wager.

(2) An association offering wagering on historical horse races shall operate a pari-mutuel pool or pools in a manner and method approved by the corporation. An association offering wagering on historical horse races may operate a player-funded pool or pools in a manner and method approved by the corporation for the purpose of ensuring that sufficient funds are at all times available to pay any winning wagers in situations where a pari-mutuel pool becomes a "minus" pool as defined by 810 KAR 6:001. For each wager made, an association may assign a percentage of the wager to a player-funded pool or pools.

(3) If an association chooses to make a deposit into a trust account for the purpose of ensuring that sufficient funds are at all times available to pay any winning wagers in situations in which a pari-mutuel pool becomes a minus pool, then that trust account shall be approved by the corporation.

Section 5. Location of Terminals Used for Wagering on Historical Horse Races.

(1) Terminals offering wagering on historical horse races shall be located within designated areas that have the prior written approval of the corporation. Designated areas shall be established so as to control access by the general public and prevent entry by any patron who is under eighteen (18) years of age or is otherwise not permitted to place wagers.

(2) Each association shall monitor persons entering and leaving the designated areas and shall prevent access to any patron who is under eighteen (18) years of age or is otherwise not permitted to place wagers on historical horse races.

(3) Each association shall provide terminals that are accessible to handicapped patrons.

Section 6. Records to be Maintained.

(1) Each association and each simulcast facility authorized under KRS 230.380 shall maintain complete records of all pari-mutuel wagering transactions on live and historical horse races, including the amounts wagered at each betting window, self-service totalizator, mobile pari-mutuel teller, and terminal.

(2) A copy of the wagering records shall be retained and safeguarded for a period of not less than two (2) years and shall not be destroyed after the two (2) year-period without the prior written permission of the corporation.

Section 7. Equipment.

(1) The association and the totalizator provider shall install a primary and secondary device, which activate the stop betting function of the totalizator system. The chief state steward, presiding judge, or his or her designee, shall use the primary device to stop wagering at the start of a live horse race. If wagering is not stopped by the primary device at the start of the race, the totalizator operator shall stop wagering using the secondary device. The secondary device shall be installed in the totalizator room and shall only be used by the totalizator operator.

(2) If there is a complete breakdown of the totalizator or mechanical equipment during the wagering on a live horse race, the wagering on that race shall be declared closed. If the totalizator remains capable of computing payouts, the payouts for that race shall be computed based on the amounts wagered prior to the breakdown. If the totalizator is incapable of computing payouts, then refunds shall be issued for all amounts wagered on that race.

(3) If there is a complete breakdown of a terminal offering wagering on historical horse, the association offering the wager shall make a full refund of the patron's balance on the terminal at the time of the breakdown.

Section 8. Entries in a Live Horse Race.

(1) The chief state steward or presiding judge shall timely advise an association's pari-mutuel manager, prior to the beginning of wagering on each live horse race, of the horses that will compete in the race.

(2) If two (2) or more horses entered for the same live horse race are determined by the corporation to have common ties through ownership or training, they may be joined by the corporation as a mutuel entry. The mutuel entry shall become a single betting interest and a wager on one (1) horse in a mutuel entry shall be a wager on all horses in the same mutuel entry. If the number of horses competing in a live horse race exceeds the numbering capacity of the totalizator, the racing secretary shall assign the highest pari-mutuel numbers to horses so that the highest numbered horse within the numbering capacity of the totalizator, together with horses of higher numbers, shall be grouped in the mutuel field as a single betting interest, and a wager on one (1) horse in the mutuel field shall be a wager on all horses in the same mutuel field.

(3) A refund at cost value shall be made to all holders of a purchased ticket bearing the number of a horse in any race that has been scratched or withdrawn before the horse has become a starter, unless the horse is part of a mutuel entry, and one (1) or more of the entry starts.

Section 9. Sale of Pari-Mutuel Tickets on Live Horse Races.

(1) The following types of pari-mutuel wagering shall be permitted on a live horse race at all licensed associations and simulcast facilities:

(a) Normal win, place, and show wagers on each race;

(b) Any exotic wager previously approved by the corporation pursuant to 810 KAR 6:010; and

(2) Pari-mutuel tickets on live horse races shall not be sold except by a licensed association or a simulcast facility authorized by KRS 230.380.

(3) Pari-mutuel tickets on a live horse race shall only be sold at regular ticket windows, self-service totalizator machines, by mobile pari-mutuel tellers with hand-held totalizator devices, or by any other method approved in writing by the corporation prior to being offered to the public. At least one (1) regular ticket window shall be made accessible to handicapped patrons.

(4)

(a) Pari-mutuel stored value cards or cash vouchers may be offered by an association. The dollar amount on the stored value card or cash voucher may be redeemed at any time at any regular ticket window, or used to fund additional wagers.

(b) Cash vouchers shall be valid for one (1) year after the date of issuance. Failure to present any cash voucher for redemption within one (1) year of issuance shall constitute a waiver of the right to receive payment on the voucher.

(5) A pari-mutuel wager shall not be made on a race after the totalizator has been locked for that race.

(6) Any claim by a patron that he or she has been issued a pari-mutuel ticket other than that requested shall be made before the patron has left the ticket window or before the mobile teller has initiated a transaction with another patron. A claim for an incorrect ticket shall not be honored after the totalizator has been locked.

Section 10. Payment on Pari-Mutuel Tickets on Live Horse Races.

(1) At the end of each live horse race, the placing judges shall advise the manager of the pari-mutuel department by the use of the totalizator equipment or by telephone of the official placement of the horses, and payouts shall not be made until the receipt of the notice.

(2) Payment of valid pari-mutuel tickets shall be made on the basis of the order of finish as declared "official" by the stewards or judges. A subsequent change in the order of finish or award of purse money that could result from a subsequent ruling by the stewards, judges, or corporation shall not affect the pari-mutuel payout.

(3) Each association shall deduct from each pari-mutuel pool a commission, not exceeding the commission established by KRS 230.3615 or KRS 230.750. The remainder of the pari-mutuel pool after the deduction of the commission shall be the net pool for distribution as payouts to ticket holders.

(4) Payment on valid pari-mutuel tickets shall be made only if presented and surrendered within one (1) year following the running of the live horse race on which the wager was made. Failure to present a ticket within one (1) year shall constitute a waiver of the right to receive payment on the ticket.

(5) The association shall be responsible for the correctness of all payout prices posted as "official." If an error is made in posting the payout figures, and ascertained before any tickets are cashed, the posting error shall be corrected, accompanied by a public address announcement, and only the correct amounts shall be used in the payout, irrespective of the initial error.

(6) A mutilated pari-mutuel ticket that is not easily identifiable as being a valid ticket shall not be accepted for payment.

(7) An association shall establish a written procedure for granting patrons an opportunity to file a claim on a lost pari-mutuel ticket and provide a copy to the corporation.

(8) Prior to posting payouts, the association's pari-mutuel manager shall require the verification of the winning runners and prices prior to posting official results.

(9)

(a) If an error is made in calculating the payout on a winning wager, resulting in overpayment, the association shall be responsible for the amount between the correct payout and the amount paid.

(b) If the error in calculation results in a payout being too low, the amount between the correct payout and the amount paid shall be added to the net pool of the same position in the following race on the same day or, if it is the last race of the day, then it shall be added to the net pool of the same position in the same race on the following day. If an error occurs in computing the daily double pool, the underpayment shall be added to the daily double pool of the following day.

(c) If an error occurs causing underpayment on the last race of the entire racing meeting, the amount of the underpayment shall be paid to the Kentucky Revenue Cabinet.

Section 11. Minimum Wagers and Payouts.

(1) The minimum wager to be accepted by any licensed association on a live horse race shall be ten (10) cents. The minimum payout on a one (1) dollar wager on a live horse race shall be one (1) dollars and ten (10) cents, unless a minus pool occurs. If a minus pool occurs, the minimum payout for a one (1) dollar wager shall be one (1) dollar and five (5) cents.

(2) The minimum wager to be accepted by an association on an exotic wager based on the outcome of a historical horse race or races shall be ten (10) cents. The minimum payout on any wager shall not be less than the amount wagered.

Section 12. Minors Prohibited from Wagering. A minor shall not be permitted by any licensed association or simulcast facility to purchase or cash a pari-mutuel ticket.

Section 13. Odds and payouts posted.

(1) Approximate odds for live horse races, based on win pool betting for finishing first for each betting interest, shall be posted on one (1) or more boards or television screens within view of the wagering public at intervals of not more than ninety (90) seconds.

(2) If daily double wagering is conducted on a live horse race, before off-time of the second daily double race, the probable payout for each two (2) dollar daily double wager combining the winner of the first daily double race with every horse or betting interest in the second daily double race shall be posted; except that if a dead heat for first in the first daily double race occurs, or a scheduled starter in the second daily double race is excused so as to cause a consolation daily double pool, then posting of all possible payouts shall not be mandatory, but the association shall make every effort to compute these daily double prices and advise the public by posting or public address announcement as soon as possible and prior to the running of the second daily double race.

(3) For wagering on historical horse races, approximate odds or payouts for each pari-mutuel pool shall be posted or made available on each terminal for viewing by patrons.

Section 14. Betting Explanation.

(1) Each association shall publish in the daily race program, for each day of live horse racing, a general explanation of pari-mutuel wagering offered on live horse races and an explanation of each type of pari-mutuel pool offered. The explanation also shall be posted in conspicuous places about the association grounds to adequately inform the public and shall be submitted to the corporation prior to publication for approval.

(2) Each association shall post, in conspicuous places in the designated area, a general explanation of pari-mutuel wagering offered on historical horse races and an explanation of each pari-mutuel pool offered. The explanation shall be submitted to the corporation for approval prior to its posting.

Section 15. Prior Approval Required for Number of Live Horse Races. Each association desiring to conduct more than nine (9) live horse races on a single day shall first apply in writing to the corporation and obtain specific approval, based on promoting the best interests of racing, of the number of live horse races to be offered on a single day.

Section 16. Pari-mutuel Pools Dependent upon Entries for Live Horse Races.

(1) If horses representing five (5) or fewer betting interests qualify to start in a live horse race, the association may prohibit show wagering on that race. If horses representing four (4) or fewer betting interests qualify to start in a live horse race, the association may prohibit both place and show wagering on that race.

(2) If a horse is scratched by the stewards or judges after wagering has commenced, or if a horse is prevented from running in a live horse race because of failure of a starting-gate door to open properly, and the number of actual starters representing different betting interests is:

(a) Reduced to five (5), the association may cancel show wagering on that race and the entire show pool shall be refunded upon presentation and surrender of show tickets; or

(b) Reduced to four (4) or fewer, the association may cancel both place and show wagering on that race and the entire place and show pool shall be refunded upon presentation and surrender of place and show tickets.

Section 17. Emergency Situation. If any emergency arises in connection with the operation of the pari-mutuel department not provided for by this administrative regulation, the pari-mutuel manager shall take immediate corrective action and shall by the quickest means possible notify the chief state steward or presiding judge and render a full report to the corporation.

Section 18. Severability. In the event that any provision or administrative regulation of this chapter is found to be invalid, the remaining provisions of this chapter shall not be affected nor diminished thereby.

History

RELATES TO: KRS 230.300, 230.361, 230.3615, 230.370, 230.380, 230.398, 230.750
STATUTORY AUTHORITY: KRS 230.210, 230.215, 230.361, 230.370
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) authorizes the Kentucky Horse Racing and Gaming Corporation to regulate conditions under which horse racing and pari-mutuel wagering thereon shall be conducted in Kentucky. KRS 230.361(1) requires the corporation to promulgate administrative regulations governing and regulating wagering on horse races under the pari-mutuel system of wagering. This administrative regulation establishes the requirements for the operation of pari-mutuel wagering under KRS Chapter 230 and KAR Title 810, Chapter 6.
History: 47 Ky.R. 2184, 48 Ky.R. 372; eff. 8-12-2021; TAm eff. 7-1-2024.

Chapter 7 Incentive and Development Funds

810 KAR 7:010 Backside Improvement Fund {#sec-810-kar-7-010 omnilex-key=us-ky-regs-official--title-810--810 KAR 7:010}

Section 1. Definition. "Backside facilities" means those facilities located at thoroughbred horse racing associations in Kentucky where:

(1) Horses are stabled and quartered; and

(2) Stable employees work and live.

Section 2. Limitations. All monies disbursed by the corporation pursuant to KRS 230.218 shall be used solely for improvements to backside facilities.

Section 3. Application. An application for monies from the backside improvement fund shall:

(1) Be submitted to the main office of the corporation; and

(2) Include the following:

(a) A prioritized list of all proposed projects;

(b) A full written and graphic description of each proposed project, with justification of the need for each;

(d) Any contract in existence relating to the proposed improvements.

Section 4. Consideration and Determination. An application shall be approved or denied at either:

(1) The first regularly scheduled corporation meeting that occurs after the application has been received; or

(2) At the second regularly scheduled corporation meeting, if the application is received less than seven (7) calendar days before a regularly scheduled corporation meeting.

(3) Approval of the application shall be based on the likelihood that the proposal will promote, enhance, and improve the conditions of the eligible backside facilities.

Section 5. Disbursements. All disbursements of monies and other transactions between the corporation and the horse racing association involved shall be according to the terms and conditions of the project proposal as approved by the corporation.

History

RELATES TO: KRS 230.218
STATUTORY AUTHORITY: KRS 230.218(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.218(3) requires the Kentucky Horse Racing and Gaming Corporation to promulgate administrative regulations for using the backside improvement fund to promote, enhance, and improve the conditions of the backside of eligible racing associations in Kentucky. This administrative regulation establishes requirements for the backside improvement fund.
History: 45 Ky.R. 1976; 3154 eff. 5-31-2019; TAm eff. 7-1-2024; Crt eff. 4-14-2026.

810 KAR 7:020 Kentucky thoroughbred breeders' incentive fund {#sec-810-kar-7-020 omnilex-key=us-ky-regs-official--title-810--810 KAR 7:020}

Section 1. Definitions.

(1) "Allowance race" means an overnight race for which eligibility and weight to be carried is determined according to specified conditions which include age, gender, earnings, and number of wins, excluding starter allowance races.

(2) "Claiming earnings" means the gross cash portion, as this portion is determined by The Jockey Club, of the prize awarded to a qualified Kentucky claiming horse that is paid from the association or the license holder permitted to conduct racing in the jurisdiction.

(3) "Claiming race" means a race in which every horse running in the race may be transferred in conformity with 810 KAR 4:050.

(4) "Grade I stakes race" means a nonrestricted race held in the United States that has been assigned Grade I stakes status for the year contested by the American Graded Stakes Committee of the Thoroughbred Owners and Breeders Association.

(5) "Grade II stakes race" means a nonrestricted race held in the United States that has been assigned Grade II stakes status for the year contested by the American Graded Stakes Committee of the Thoroughbred Owners and Breeders Association.

(6) "Grade III stakes race" means a nonrestricted race held in the United States that has been assigned Grade III stakes status for the year contested by the American Graded Stakes Committee of the Thoroughbred Owners and Breeders Association.

(7) "Group I race" means:

(a) A nonrestricted race held in England, France, or Ireland that has been assigned Group I race status for the year contested by the European Pattern Committee; or

(b) A nonrestricted race held in Canada that has been assigned Canadian Grade I stakes status for the year contested by the Canadian Graded Stakes Committee.

(8) "Group II race" means:

(a) A nonrestricted race held in England, France, or Ireland that has been assigned Group II race status for the year contested by the European Pattern Committee; or

(b) A nonrestricted race held in Canada that has been assigned Canadian Grade II stakes status for the year contested by the Canadian Graded Stakes Committee.

(9) "Group III race" means:

(a) A nonrestricted race held in England, France, or Ireland that has been assigned Group III race status for the year contested by the European Pattern Committee; or

(b) A nonrestricted race held in Canada that has been assigned Canadian Grade III stakes status for the year contested by the Canadian Graded Stakes Committee.

(10) "Intended breeder of record" means the owner or lessee of a thoroughbred mare who:

(a) Desires to:

Use the mare for breeding purposes; and
Qualify the foal for the Kentucky Thoroughbred Breeders' Incentive Fund; and

(b) Is listed as the intended breeder of record on the forms necessary to register under the KBIF.

(11) "KBIF" means the Kentucky Thoroughbred Breeders' Incentive Fund.

(12) "KBIF registered horse" means a horse registered with the Kentucky Thoroughbred Breeders' Incentive Fund.

(13) "Kentucky sire" means a sire registered as a Kentucky Thoroughbred Development Fund sire.

(14) "Maiden special weight race" means a race in which:

(a) None of the runners have been declared a winner previously; and

(b) None of the runners are eligible to be claimed.

(15) "Overnight race" means a race for which entries close at a time set by the racing secretary.

(16) "Public auction" means a thoroughbred auction conducted by a recognized member of the Society of International Thoroughbred Auctioneers, or other similar public auction approved by the KBIF advisory committee.

(17) "Qualified breeder" means the breeder of record listed in The Jockey Club records.

(18) "Qualified Kentucky claiming horse" means a foal who:

(a)

Is born out of a qualified mare; and
Is from a Kentucky sire; and

(b) Receives earnings from a claiming race in Kentucky.

(19) "Qualified mare" means a thoroughbred dam who resides in Kentucky from the time of the first cover in Kentucky by a Kentucky sire until foaling, unless one (1) of the exceptions in Section 5(4) of this administrative regulation is met.

(20) "Qualified winner" means a thoroughbred horse born out of a qualified mare and from a Kentucky sire that is declared the official winner by the stewards and is not eligible to be claimed in that race.

(21) "Qualified winner's earnings" means the gross cash portion of the prize, as this portion is determined by The Jockey Club, awarded to the qualified winner of a race that is paid for from the association or the license holder permitted to conduct racing in the jurisdiction.

(22) "Starter allowance" means a race written to allow claiming horses who have improved from their earlier form to run in a nonclaiming event.

Section 2. Timing of Awards; Eligibility.

(1) Disbursements from the KBIF shall be made after December 31, but not later than March 31, for awards earned for the preceding calendar year.

(2) For a horse foaled prior to 2007, the breeder shall be eligible to receive funds from the Kentucky Thoroughbred Breeders' Incentive Fund, if the horse is eligible to be registered to receive funds under the Kentucky Thoroughbred Development Fund.

(3) For a horse foaled during or after 2007, the requirements set forth in this administrative regulation shall be met.

(4) The races eligible for awards from the KBIF as provided in Sections 3 and 6 of this administration regulation shall be those run on and after January 1, 2006.

Section 3. Awards.

(1) An incentive of $50,000 shall be awarded to the qualified breeder of the qualified winner of:

(a) The Kentucky Derby; and

(b) The Kentucky Oaks.

(2)

(a) An incentive shall be awarded to the twenty (20) horses with the most claiming wins in Kentucky each year.

(b) An incentive of $200,000 shall be distributed to the twenty (20) qualified Kentucky claiming horses with the most claiming wins in Kentucky, as follows:

$20,000 to the horse with the most wins;
$17,500 to the horse with the second most wins;
$15,000 to the horse with the third most wins;
$12,500 to the horse with the fourth most wins;
$12,000 to the horse with the fifth most wins;
$11,500 to the horse with the sixth most wins;
$11,000 to the horse with the seventh most wins;
$10,500 to the horse with the eighth most wins;
$10,000 to the horse with the ninth most wins;
$9,500 to the horse with the tenth most wins;
$9,000 to the horse with the eleventh most wins;
$8,500 to the horse with the twelfth most wins;
$8,000 to the horse with the thirteenth most wins;
$7,500 to the horse with the fourteenth most wins;
$7,000 to the horse with the fifteenth most wins;
$6,500 to the horse with the sixteenth most wins; and
$6,000 to each horse with the seventeenth, eighteenth, nineteenth, and twentieth most wins.

(d) If two (2) or more horses have the same number of wins and the same total earnings, all incentive totals to which those horses would have been entitled shall be divided equally between or among them.

(3)

(a) For those KBIF registered horses foaled in 2007 or after, an incentive shall be awarded to the qualified breeder of the qualified winner of each maiden special weight and allowance race held in the United States, but outside Kentucky, or at Woodbine Racetrack in Ontario, Canada.

(b) The incentive shall be that amount which is equal to ten (10) percent of the qualified winner's earnings except it shall not exceed $3,000.

(4)

(a) An incentive shall be awarded to the qualified breeder of the qualified winner of each maiden special weight and allowance race held in Kentucky.

(b) The incentive shall be that amount that is equal to ten (10) percent of the qualified winner's earnings except it shall not exceed $3,000.

(5)

(a) For those KBIF registered horses foaled in 2007 or after, an incentive shall be awarded to the qualified breeder of the qualified winner of each non-graded stakes race held in the United States, but outside Kentucky, or at Woodbine Racetrack in Ontario, Canada.

(b) The incentive shall be that amount that is equal to ten (10) percent of the qualified winner's earnings except it shall not exceed $4,000.

(6)

(a) An incentive shall be awarded to the qualified breeder of the qualified winner of each non-graded stakes race held in Kentucky.

(b) The incentive shall be that amount that is equal to ten (10) percent of the qualified winner's earnings except it shall not exceed $4,000.

(7)

(a) An incentive shall be awarded to the qualified breeder of the qualified winner of each:

Grade I stakes race held in the United States;
Group 1 race held in Canada, England, France, and Ireland; and
Group I race held on Dubai World Cup day, Japan Cup day, and Hong Kong International day.

(b) The incentive shall be $7,500.

(8)

(a) An incentive shall be awarded to the qualified breeder of the qualified winner of each:

Grade II and Grade III stakes race held in the United States; and
Group 2 and Group 3 race held in Canada, England, France, and Ireland.

(b) The incentive shall be $5,000.

(9) An incentive shall not be awarded to the winner of any Breeders' Cup World Championship race.

Section 4. Registration of Foals.

(1)

(a) For a horse foaled on or before December 31, 2006 and eligible to be registered under Section 2(2) of this administrative regulation, the intended breeder of record shall file a "Kentucky Thoroughbred Breeders' Incentive Fund Application for Award Form", KHRGC 7-020-7, with the corporation.

(b) The Kentucky Thoroughbred Breeders' Incentive Fund Application for Award form shall be filed no later than December 31 of the year following the year in which the horse has raced in a race that would qualify the horse for an incentive from the KBIF.

(d) The filing fee shall be assessed one (1) time per horse.

(2) For a horse foaled on or after January 1, 2007, the intended breeder of record shall register the unborn foal with the corporation on or prior to August 15 of the cover year by filing the "Kentucky Thoroughbred Breeders' Incentive Fund Application for Mare Registration Form", KHRGC 7-020-1, and paying a filing fee of sixty (60) dollars, except as provided in subsection (5) of this section.

(3)

(a) The corporation shall be recognized and designated as the sole official registrar of the KBIF for the purposes of registering Kentucky thoroughbred foals in accordance with this administrative regulation.

(b) The records of The Jockey Club shall be used as the official records of the corporation for purposes of this administrative regulation to determine the following information:

The identity of the qualified breeder;
The claiming wins and earnings for each race;
The qualified winners' earnings for each race;
The name of the qualified winner for each race;
The name of each horse determined to be a qualified Kentucky claiming horse;
The registration number or special identification number of the KBIF registered horse;
The name of the KBIF registered horse; and
Other information for purposes of administering the KBIF.

(4) If the information on a form required under this section is found to be incorrect or becomes incorrect or changes, the person considered to be the intended breeder of record shall file an amended form with the corporation to correct the information.

(5)

(a) The Corporation may accept a late filing if the intended breeder of record can prove that the foal otherwise met the eligibility requirements to be a KBIF registered horse. The late filing shall be made on the "Kentucky Thoroughbred Breeders' Incentive Fund Application for Late Mare Registration Form", KHRGC 7-020-6.

(b) The amount of the late filing fee shall be:

$150 for a filing made after August 15 of the cover year and on or prior to December 31 of the cover year;
$750 for a filing made between January 1 and December 31 of the weanling year; and
$1,500 for a filing made between January 1 and December 31 of the yearling year.

(6)

(a) The corporation may accept a special filing if a pregnant mare is purchased at public auction outside Kentucky and:

The mare resided in Kentucky from the time of the first cover in Kentucky by a Kentucky sire to the time of foaling;
The mare returned to Kentucky within fourteen (14) days of the conclusion of the auction; and
The foal meets all of the other eligibility requirements to be a KBIF registered horse.

(b) The special filing shall be made on the "Kentucky Thoroughbred Breeders' Incentive Fund Application for Special Filing of Mare Registration Form", KHRGC 7-020-8.

$300 for a filing made between January 1 and December 31 of the cover year;
$1,500 for a filing made between January 1 and December 31 of the weanling year; and
$3,000 for a filing made between January 1 and December 31 of the yearling year.

(7) If ownership of a mare is transferred, a "Kentucky Thoroughbred Breeders' Incentive Fund Mare Transfer Form", KHRGC 7-020-2, shall be filed with the corporation.

(8) If any registration or nomination deadline imposed by this administrative regulation falls on a weekend or holiday, the deadline shall be moved to the next business day following the original deadline.

Section 5. Qualification of Foal and Qualified Mare.

(1) The corporation may inspect where the mare proposed to be a qualified mare is boarded or request and obtain records relating to the location of the mare proposed to be a qualified mare to determine that the residency requirement is met.

(2) The person claiming to be the qualified breeder shall bear the burden of proof to show that a mare is a qualified mare.

(3) A failure to comply with a term, condition, or requirement of this administrative regulation shall not result in the loss of the registration of the foal, if the person claiming the foal should be registered proves to the satisfaction of the corporation:

(a) The failure to comply was insignificant with respect to the registration requirements as a whole; and

(b) A good faith and reasonable attempt was made to comply with all applicable terms, conditions, and requirements of this administrative regulation.

(4) For the thoroughbred dam to be a qualified mare, the thoroughbred dam shall have resided in Kentucky from the time of the first cover in Kentucky by a Kentucky sire until foaling, unless one (1) of the following exceptions is met:

(a) Medical procedure.

A medical procedure is required to be performed to protect the health of the mare or the unborn foal that involves an extraordinary medical situation and the breeder desires to have an expert located outside of Kentucky conduct the procedure;
The owner or the lessee of the mare files a "Kentucky Thoroughbred Breeders' Incentive Fund Application to Move Mare Outside of Kentucky Form", KHRGC 7-020-4, no later than fourteen (14) days after the mare leaves Kentucky and provides information relating to the procedure;
The executive director of the corporation approves the departure of the mare from Kentucky based on the criteria in this paragraph;
The mare remains under the care of a veterinarian during the entire period of time she is not residing in Kentucky other than the time during which she is traveling to and from Kentucky; and
The mare is in Kentucky for foaling as established by documentation provided to the corporation;

(b) Training.

The mare has not yet delivered her first foal and is in active training outside Kentucky;
The owner or the lessee of the mare files a "Kentucky Thoroughbred Breeders' Incentive Fund Application to Move Mare Outside of Kentucky Form", KHRGC 7-020-4, at least fourteen (14) days before the mare leaves Kentucky and provides information relating to the training outside of Kentucky;
The executive director of the corporation approves the departure of the mare from Kentucky based on the criteria in this paragraph; and
The mare is in Kentucky for foaling as established by documentation provided to the corporation; or

The owner of the mare desires to enter her for sale at a public auction held outside of Kentucky;
The owner of the mare files with the corporation a "Kentucky Thoroughbred Breeders' Incentive Fund Application to Move Mare Outside of Kentucky Form", KHRGC 7-020-4, at least fourteen (14) days before the mare leaves Kentucky and provides information relating to the auction;
The executive director of the corporation approves the departure of the mare from Kentucky based on the criteria in this paragraph;
The mare returns to Kentucky within fourteen (14) days after the conclusion of the auction; and
The mare is in Kentucky for foaling as established by documentation provided to the corporation.

(5) The executive director shall notify the corporation if an exception is made to the residency requirement pursuant to subsection (4) of this section.

(6) A qualified breeder of a qualified mare shall be responsible for:

(a) The registration and records of the KBIF registered horse; and

(b) Complying with the requirements of the Kentucky Thoroughbred Breeders' Incentive Fund.

(7) The owner or lessee of the mare may withdraw the mare's foal from the KBIF by filing a "Kentucky Thoroughbred Breeders' Incentive Fund Notice of Withdrawal of Foal Form", KHRGC 7-020-5.

Section 6. Shortfall and Bonus Calculation.

(1) If, at the close of any calendar year, inadequate funding is available in the KBIF to fund the awards provided for in Section 3 of this administrative regulation, the funding shall be decreased proportionally among all awards, excluding the Kentucky claiming award, the Kentucky Oaks award, and the Kentucky Derby award, until funding is adequate to fund all awards.

(2)

(a) If, at the close of a calendar year, the amount available for awards is in excess of the amount necessary to fund the awards provided in Section 3 of this administrative regulation, after payment of operating expenses, a reserve fund shall be established in the KBIF in an amount that is no more than five (5) percent of the amount of funding available from tax receipts for that calendar year.

(b) Moneys in the reserve account may be used as needed to provide funding of awards in a subsequent calendar year if the amount available at the close of the last calendar year is insufficient to fund the awards provided in Section 3 of this administrative regulation.

(c) Additional money shall not be added to the reserve fund if it contains at least $5,000,000 when the excess funding is available.

(3) If, at the close of a calendar year, the amount available for awards is in excess of the amount necessary to fund the awards provided in Section 3 of this administrative regulation and an amount has been designated for the reserve fund provided for in subsection (4)(a) of this section, then the awards shall be increased proportionally among all awards except the Kentucky claiming award, the Kentucky Oaks award, and the Kentucky Derby award.

Section 7. Application Requirements.

(1) The amount due for awards shall be calculated after the end of each calendar year. The recipient of an award shall be notified of the amount of the award to which the recipient may be entitled according to the last known address on file with the KBIF.

(2)

(a) After receipt of notification of an award, each potential recipient shall return an application for the award on the "Kentucky Thoroughbred Breeders' Incentive Fund Application for Award Form", KHRGC 7-020-7, certifying that the applicant is entitled to the award and certifies the applicant's United States taxpayer ID number or Social Security number.

(b) A breeder may appoint an authorized agent to complete the application by filing with the corporation a "Kentucky Thoroughbred Breeders' Incentive Fund Authorized Agent Form", KHRGC 7-020-3.

(3)

(a) Awards due recipients who cannot be located by December 31 of the year after the year in which the qualified winner or qualified Kentucky claiming horse became eligible to receive an incentive under Section 3 of this administrative regulation shall lapse to the KBIF for distribution or building the reserve in the following year.

(b) Failure to submit the application by December 31 of the year after the year in which the qualified winner or qualified Kentucky claiming horse became eligible to receive an incentive under Section 3 of this administrative regulation shall result in forfeiture of the award and the award money shall lapse to the KBIF for distribution or building the reserve in the following year.

Section 8. Advisory Committee.

(1) The corporation may establish an advisory committee to assist in administering the KBIF.

(2) If established, the advisory committee shall consist of five (5) members appointed by the chairman of the corporation by July 1 of each year. Each member of the advisory committee shall:

(a) Serve from July 1 through June 30 of the following year; and

(b) Be a resident of Kentucky.

(3) The advisory committee shall select a chairman from its membership annually.

Section 9. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Kentucky Thoroughbred Breeders' Incentive Fund Application for Mare Registration Form", KHRGC 7-020-1, 11/2018;

(b) "Kentucky Thoroughbred Breeders' Incentive Fund Mare Transfer Form", KHRGC 7-020-2, 11/2018;

(d) "Kentucky Thoroughbred Breeders' Incentive Fund Application to Move Mare Outside of Kentucky Form", KHRGC 7-020-4, 11/2018;

(e) "Kentucky Thoroughbred Breeders' Incentive Fund Notice of Withdrawal of Foal Form", KHRGC 7-020-5, 11/2018;

(f) "Kentucky Thoroughbred Breeders' Incentive Fund Application for Late Mare Registration Form", KHRGC 7-020-6, 11/2018;

(g) "Kentucky Thoroughbred Breeders' Incentive Fund Application for Award Form", KHRGC 7-020-7, 11/2018; and

(h) "Kentucky Thoroughbred Breeders' Incentive Fund Application for Special Filing of Mare Registration Form", KHRGC 7-020-8, 11/2018.

History

RELATES TO: KRS 230.215, 230.330, 230.800
STATUTORY AUTHORITY: KRS 230.215(2), 230.800(2)(b)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(1) declares that it is the intent of the Commonwealth to foster and to encourage the horse breeding industry within the Commonwealth and to encourage the improvement of the breeds of horses. KRS 230.215(2) vests in the corporation forceful control of horse racing in the Commonwealth with plenary power to promulgate administrative regulations prescribing conditions under which all legitimate horse racing and wagering thereon is conducted in the Commonwealth so as to encourage the improvement of the breeds of horses in the Commonwealth. KRS 230.800 establishes the Kentucky Thoroughbred Breeders' Incentive Fund (KBIF). KRS 230.800(2)(b) requires the corporation to promulgate administrative regulations establishing the conditions and criteria for the distribution of moneys from the fund. This administrative regulation establishes eligibility standards, administrative practices to enforce the standards, and the administration of payments from the fund.
History: 45 Ky.R. 1978; 3154; eff. 5-31-2019; TAm eff. 7-1-2024; Crt eff. 4-14-2026.

810 KAR 7:030 Kentucky Thoroughbred Development Fund {#sec-810-kar-7-030 omnilex-key=us-ky-regs-official--title-810--810 KAR 7:030}

Section 1. Definitions.

(1) "KTDF" means the Kentucky Thoroughbred Development Fund, as established by KRS 230.400.

(2) "KTDF Advisory Committee" means a five (5) member committee established by KRS 230.400.

(3) "KTOB" means the Kentucky Thoroughbred Owners and Breeders, Inc., as the official registrar for the KTDF in accordance with KRS 230.400.

(4) "Licensed association" means a person or legal entity conducting horse racing pursuant to a license issued under 810 KAR 3:010.

Section 2. KTDF Monies Earned. Money shall be allocated to the credit of each licensed association in the amount the licensed association contributed to the KTDF pursuant to KRS 230.400.

Section 3. KTDF Reconciliation.

(1) Each licensed association shall file with the corporation a copy of the pari-mutuel tax form filed with the Department of Revenue, along with a copy of the check submitted for each report. These reports shall be filed weekly.

(2) The corporation shall reconcile the weekly reports submitted by the licensed association with the Department of Revenue's reports and deposits on a monthly basis.

(3) If at the close of a live race meet, a licensed association has a surplus balance of KTDF monies earned pursuant to KRS 230.400, then the licensed association may request to distribute a portion of that balance, contingent on the recommendation of the KTDF Advisory Committee and the approval of the corporation to:

(a) Supplement purses at future live racing meets held by that licensed association;

(b) Fund supplemental purse structures approved by the corporation for a previous live racing meet held by the licensed association to the recipients of the original purse allocation; or

(4) Reasonable and customary administrative charges for time spent reconciling the KTDF account may be charged by the corporation to each licensed association based on the percentage of funds generated by each licensed association for the previous calendar year.

(5) A licensed association, at its option, may pay reasonable advertising charges billed to the association by the KTOB from the association's KTDF available balance, if the advertising charges are consistent with the intent of the KTDF. Approval of any advertising payment shall be contingent on the recommendation of the KTDF Advisory Committee and the approval of the corporation.

(6)

(a) Each licensed association shall submit its purses paid reports, advertising invoices, or any other documentation requested by the corporation, pertinent to reimbursement, within fifteen (15) calendar days after the last day of a live race meet.

(b) Each licensed association shall sign an acknowledgment from the corporation stating that it accepts and agrees with the reconciliation prior to the reimbursement of any KTDF funds.

Section 4. Purse Structure. Each licensed association shall submit its KTDF purse structure proposal to the KTDF Advisory Committee for approval at least forty-five (45) days prior to the opening day of the live racing meet. The KTDF Advisory Committee shall review the proposed purse structure and make a recommendation to the corporation whether to approve the proposed purse structure based upon the best interests of Kentucky racing.

History

RELATES TO: KRS 138.510, 230.215, 230.225(5)(c), 230.400
STATUTORY AUTHORITY: KRS 230.215(2), 230.225(5)(c), 230.400
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(1) requires that it is the policy and intent of the Commonwealth to foster and to encourage the business of legitimate horse racing with pari-mutuel wagering thereon in the Commonwealth on the highest possible plane. KRS 230.215(2) authorizes the corporation to forcefully control horse racing in the Commonwealth with plenary power to promulgate administrative regulations establishing conditions under which all legitimate horse racing and wagering thereon is conducted in the Commonwealth so as to encourage the improvement of the breeds of horses in the Commonwealth and to regulate and maintain horse racing at horse race meetings in the Commonwealth of the highest quality. KRS 230.225(5)(c) authorizes corporation to recommend tax incentives and to implement incentive programs to ensure the strength and growth of the equine industry. KRS 230.400 establishes the Kentucky Thoroughbred Development Fund and requires the Kentucky Horse Racing and Gaming Corporation to promulgate administrative regulations as may be necessary to carry out its provisions and purposes. This administrative regulation establishes standards for eligibility and the administration of payments from the Kentucky Thoroughbred Development Fund.
History: 45 Ky.R. 1982; eff. 5-31-2019; 49 Ky.R. 2377, 50 Ky.R. 665; eff. 12-5-2023; TAm eff. 7-1-2024.

810 KAR 7:040 Kentucky Standardbred Development Fund and Kentucky Standardbred Breeders' Incentive Fund {#sec-810-kar-7-040 omnilex-key=us-ky-regs-official--title-810--810 KAR 7:040}

Section 1. Definitions.

(1) "Consolation" means the race following a series of preliminary legs for the next preferred horses, as established in Section 6 of this administrative regulation, which did not qualify for the finals of each racing division of the Kentucky Sire Stakes program.

(2) "Corporation" means the Kentucky Horse Racing and Gaming Corporation.

(3) "Final" means the race following a series of preliminary legs established to determine the divisional champion of each racing division of the Sire Stakes Program.

(4) "Kentucky-bred" means a standardbred horse that is:

(a) Foaled out of a standardbred mare that is registered with the corporation; or

(b) Sired by a standardbred stallion standing in Kentucky that is registered with the corporation.

(5) "Kentucky Sire Stakes" means the series of races held annually in Kentucky for two (2) and three (3) year old Kentucky-bred fillies and colts, both trotting and pacing, and funded in whole or in part by the Kentucky Standardbred Development Fund or the Kentucky Standardbred Breeders' Incentive Fund.

(6) "KSBIF" means the Kentucky Standardbred Breeders' Incentive Fund as established in KRS 230.802.

(7) "KSDF" means the Kentucky Standardbred Development Fund as established in KRS 230.770.

(8) "Stallion standing in Kentucky" means a stallion physically located and standing in Kentucky for 180 days of the calendar year in which the stallion is registered with the corporation that does not service mares in any other state outside Kentucky during the calendar year in which the stallion is registered.

(9) "USTA" means the United States Trotting Association.

Section 2. Domicile Requirements.

(1)

(a) An owner, lessee, stallion manager, or syndicate manager of a standardbred stallion residing in Kentucky who desires to use the stallion to breed and to have his progeny eligible for the KSDF or KSBIF shall register the stallion with the corporation by December 31st of the year of conception of the horse sought to be eligible by submitting a completed "KSDF/KSBIF Stallion Certificate of Eligibility Form", KHRGC 7-040-2.

(b) Standardbred stallions not residing in Kentucky shall not be required to register with the corporation. The progeny of a standardbred stallion not residing in Kentucky shall not be eligible for the KSDF or KSBIF unless the progeny is that of a standardbred mare registered under and meeting the requirements of this administrative regulation.

(c) All standardbred stallions shall be registered with the USTA, Standardbred Canada, or other appropriate international harness racing governing agency, whether residing in Kentucky or not.

(2)

(a) An owner, lessee, manager, or syndicate manager of a standardbred mare who desires to use the mare for breeding purposes and to have her progeny eligible for the KSDF or KSBIF shall register the mare by December 31st of the year of conception of the horse sought to be eligible by submitting a completed "KSDF/KSBIF Mare Certificate of Eligibility Form", KHRGC 7-040-3.

(b) To be eligible for registration, the mare shall:

Be registered with the USTA, Standardbred Canada, or other appropriate international harness racing governing agency; and
Have resided in Kentucky for a period of not less than 180 days in the calendar year of conception of the horse sought to be eligible.

(c) If a horse is conceived by embryo and ovum transplant (ET), both the donor mare and recipient mare shall be registered during the year of conception, and the recipient mare shall reside in Kentucky for a period of not less than 180 days in the calendar year of conception of the horse sought to be eligible.

(3) Registrations shall be received by the corporation by the close of business or postmarked on the deadline established in this section in order to be eligible.

(4) An owner, lessee, stallion manager, manager, or syndicate manager of a stallion or mare eligible for the KSDF and KSBIF shall be responsible for:

(a) The registrations and records of the farm where the stallion stands or the mare resides; and

(b) Complying with all applicable requirements of this administrative regulation.

Section 3. Eligibility.

(1) In order to qualify for the Kentucky Sire Stakes, a foal shall be a two (2) or three (3) year old Kentucky-bred and shall maintain eligibility for the KSDF and KSBIF as established in Sections 16, 19, and 20 of this administrative regulation.

(2) Notwithstanding the foregoing, semen from a stallion standing in Kentucky may be shipped to mares in any jurisdiction outside of Kentucky at any time during the calendar year in which the stallion is registered. Additionally, a registered stallion may shuttle to countries in the Southern Hemisphere to service mares, provided the stallion meets all other standing requirements. But, a registered stallion shall not service mares in any country, other than the United States or countries in the Southern Hemisphere by way of shuttle. Also, a registered stallion shall not shuttle to any state or jurisdiction in North America, other than Kentucky, in order to service mares. The changes in this subsection shall be effective starting with the 2020 breeding season and in subsequent years.

(3)

(a) Except as provided by paragraph (b) of this subsection, only a foal that is the first born to a mare (donor or recipient) in each calendar year produced by any method, including embryo and ovum transplant (ET), shall be eligible for the Kentucky Sire Stakes.

(b) Natural birth twins produced from the same pregnancy and foaling by the natural, nonrecipient mare shall also be eligible.

(4) Any future offspring of foals ineligible for racing under this section shall be ineligible for the Kentucky Sire Stakes.

Section 4. Distance. Each Kentucky Sire Stakes race shall be a one (1) mile dash.

Section 5. Post Positions. Post positions for the final, consolation, and all preliminary legs of the Kentucky Sire Stakes race shall be an open draw with two (2) horses drawn for the final and consolation races that are designated as "also eligibles" under Section 6(7) of this administrative regulation.

Section 6. Eligibility for the Final and Consolation Races.

(1) Beginning with the 2018 Kentucky Sire Stakes races, consolation races may be eligible for funding.

(2) A horse that does not start in at least one (1) of the preliminary legs scheduled shall not be eligible for the final or consolation.

(a) All horses earning points may enter in the final with:

The top eight (8) point earners, if the horses raced on a half (1/2) mile track or five-eighths (5/8) mile track; or
Top ten (10) point earners, if the horses raced on a one (1) mile track, to be declared eligible.

(b) On a half (1/2) mile track or five-eighths (5/8) mile track, the top eight (8) point earners shall not be eligible for the consolation. On a one (1) mile track, the top ten (10) point earners shall not be eligible for the consolation.

(c) A horse that is eligible to race in the final shall only be eligible to race in the final, unless the horse is qualified as an also eligible.

(d) A horse that is eligible to race in the consolation shall only be eligible to race in the consolation, unless qualified in the final as an also eligible.

(e) A horse that scratches from the final shall not race in the consolation.

(f) A horse that has qualified for the final or consolation shall remain eligible for the final or consolation.

(g) At least seven (7) eligible horses shall be declared for a consolation race to be contested.

(h) A horse that is automatically eligible to race in the final race shall not start in the consolation race.

(3) A horse that enters a preliminary leg that does not fill and is not raced shall receive credit toward fulfilling the minimum starting requirements established in subsection (2) of this section and toward determining tiebreaker status as established in subsection (6)(b) of this section.

(4) A horse that has been scratched from an event that is raced shall not receive credit toward meeting the starting requirements established in subsection (2) of this section.

(5) A horse, in order to start in the final or consolation, shall be declared at the host track where the race is being held on or before the time posted on the track condition sheet.

(6)

(a) If the number of horses eligible and declared into any final or consolation event exceeds the maximum number specified by the KSDF or KSBIF or the number of positions on the starting gate, the following point system as applied to KSDF preliminary legs shall determine preference for the final:

1st place - fifty (50) points;
2nd place - twenty-five (25) points;
3rd place - twelve (12) points;
4th place - eight (8) points;
5th place - five (5) points;
6th place and all other starters - one (1) point; and
A horse finishing in a dead heat for any position in a preliminary leg shall be awarded an equal share of the total number of points awarded for that position.

(b) If there is a tie among horses after the awarding of points pursuant to paragraph (a) of this subsection, there shall be a drawing by lot among those horses tied in total points to determine which horses shall be included in the final field.

(c) If a horse that is qualified for the final or consolation is not declared, the horse with the next highest point total, pursuant to paragraph (a) of this subsection, that is declared shall be eligible for the final or consolation.

(7) Also eligibles.

(a) The two (2) horses accumulating the highest point total, pursuant to subsection (6) of this section, that are declared into the final or consolation, but do not qualify for the final or consolation, shall be designated "also eligible". The horse with the highest point total from the preliminary legs shall be designated as the "first also eligible" and the horse with the next highest point total shall be designated as the "second also eligible".

(b) A horse that is scratched in the final or consolation shall be replaced by the "first also eligible" and then the "second also eligible", if necessary.

If post positions have not been drawn at the time of the scratch, the "also eligible" shall take the place of the horse that has been scratched and shall participate in the normal draw.
If post positions have been drawn at the time of the scratch, the "also eligible" shall assume the post position of the horse that has been scratched.
A horse shall not be moved into the final or consolation as a replacement after the official scratch time deadline that is in effect at the host track.

Section 7. Final Order of Finish. The judges' "official order of finish" shall be used in determining eligibility to the final exclusive of all appeals yet to be decided at the time of closing of the entry box for final events.

Section 8. Detention. All starters shall be subject to the detention policy of the racetrack.

Section 9. Number of Starters.

(1) There shall not be more than:

(a) Ten (10) starters in each final race on a one (1) mile track; and

(b) Eight (8) horses on a one-half (1/2) or five-eighths (5/8) mile track.

(2) All horses shall be on the gate for the final race.

Section 10. Declaration Fees.

(1) For each horse declared to race in a preliminary leg, there shall be a declaration fee of one-half of one percent (0.5%) of the total purses distributed or to be distributed for each race in which the horse is declared.

(2) The declaration fee shall be due to the racing association at the time of declaration and payable one (1) hour prior to post time of the race.

(3) Purses for the KSDF and KSBIF shall consist of money from:

(a) Nominating fees;

(b) Sustaining fees;

(d) Added money from the Commonwealth of Kentucky.

(4)

(a) Distribution of revenue for Kentucky Sire Stakes races shall be reviewed and addressed annually, not later than December 15 of each calendar year, by an advisory panel appointed by the Chairman of the corporation and consisting of one (1) representative from each of the following:

The corporation, who shall serve as the chairman of the panel;
The Kentucky Harness Horseman's Association;
The Kentucky Harness Association;
The host racetrack; and
One (1) participant in the fund nominated by the chairman of the corporation from a group of up to four (4) nominees recommended by each of the above four (4) members having one (1) nomination each.

(b) Each member of the panel shall serve from July 1 through June 30 of the following year and shall be a resident of Kentucky.

Section 11. Divisions of Preliminary Legs.

(1) The total number of horses entered shall determine the number of divisions of the preliminary legs that shall be required.

(2) Preliminary legs shall be split into divisions as follows:

(a) One (1) mile track:

Twelve (12) horses or less entered - one (1) division race.
Thirteen (13) to twenty (20) horses entered - two (2) divisions.
Twenty-one (21) to thirty (30) horses entered - three (3) divisions.
Thirty-one (31) to forty (40) horses entered - four (4) divisions.
Forty-one (41) to fifty (50) horses entered - five (5) divisions.
Fifty-one (51) to sixty (60) horses entered - six (6) divisions.

(b) One-half (1/2) and five-eighths (5/8) mile track:

Nine (9) to ten (10) horses entered - one (1) division.
Eleven (11) to sixteen (16) horses entered - two (2) divisions.
Seventeen (17) to twenty-four (24) horses entered - three (3) divisions.
Twenty-five (25) to thirty-two (32) horses entered - four (4) divisions.
Thirty-three (33) to forty (40) horses entered - five (5) divisions.
Forty-one (41) to forty-eight (48) horses entered - six (6) divisions.

(c) If the need exists for seven (7) or more divisions, eligibility to the final shall be determined in a manner consistent with the published conditions.

Section 12. Gait.

(1) Gait shall be specified by the owner of the horse on or before the first two (2) year old payment.

(2)

(a) Change of gait may be made at the time of declaration at the track.

(b) Sustaining payments shall remain in the funds of the original gait specified.

(3) A horse shall not race on both gaits in the same year.

Section 13. Divisions. A race shall be raced in separate divisions as follows:

(1) Colt, gelding, ridgeling divisions; and

(2) Filly divisions.

Section 14. Purse Distributions.

(1) The purses awarded for all races shall be distributed on the following percentage basis:

(a) Five (5) starters - fifty (50) percent, twenty-five (25) percent, twelve (12) percent, eight (8) percent, and five (5) percent;

(b) Four (4) starters - fifty (50) percent, twenty-five (25) percent, twelve (12) percent, eight (8) percent, and the remaining five (5) percent reverts back to the fund;

(c) Three (3) starters - fifty (50) percent, twenty-five (25) percent, twelve (12) percent, and the remaining thirteen (13) percent reverts back to the fund;

(d) Two (2) starters - fifty (50) percent, and twenty-five (25) percent, and the remaining twenty-five (25) percent reverts back to the fund; and

(e) One (1) starter - fifty (50) percent, and the remaining fifty (50) percent reverts back to the fund.

(2) The percentage basis established by subsection (1) of this section shall apply at each of the Kentucky pari-mutuel tracks.

Section 15. Cancellations.

(1) If circumstances prevent the racing of an event and the race is not drawn, all funds allocated to the division in each of the preliminary legs or the final shall be refunded and prorated to the owners of the horses eligible at the time of cancellation.

(2) The eligible horses shall include only horses that made the payments required by Section 20 of this administrative regulation.

(3) The added monies provided by the Commonwealth of Kentucky for use in the KSDF and KSBIF shall be disbursed by December 15 of each calendar year in accordance with the formula created by the panel as set out in Section 10(4) of this administrative regulation.

Section 16. Qualifying.

(1) Any horse declared into a Kentucky Sires Stakes race shall:

(a) Show at least one (1) charted race line with no breaks within forty-five (45) days prior to the day of the race; and

(b) Have satisfied the following time requirements:

On a track larger than five-eighths (5/8) of a mile:

a. A two (2) year old trotter shall have been timed in two minutes and six seconds (2:06) or faster;

b. A two (2) year old pacer shall have been timed in two minutes and four seconds (2:04) or faster;

c. A three (3) year old trotter shall have been timed in two minutes and two seconds (2:02) or faster; and

d. A three (3) year old pacer shall have been timed in two minutes and zero seconds (2:00) or faster.

On a five-eighths (5/8) mile track:

a. A two (2) year old trotter shall have been timed in two minutes and seven seconds (2:07) or faster;

b. A two (2) year old pacer shall have been timed in two minutes and five seconds (2:05) or faster;

c. A three (3) year old trotter shall have been timed in two minutes and three seconds (2:03) or faster; and

d. A three (3) year old pacer shall have been timed in two minutes and one second (2:01) or faster.

On a one-half (1/2) mile track:

a. A two (2) year old trotter shall have been timed in two minutes and eight seconds (2:08) or faster;

b. A two (2) year old pacer shall have been timed in two minutes and six seconds (2:06) or faster;

c. A three (3) year old trotter shall have been timed in two minutes and four seconds (2:04) or faster; and

d. A three (3) year old pacer shall have been timed in two minutes and two seconds (2:02) or faster.

(2) A horse shall be scratched from a race if the person declaring the horse has failed to advise the race secretary of a start that is not reflected on the electronic eligibilities.

(3) The requirements of this section shall apply both to wagering and nonwagering races.

Section 17. Purse Allocations.

(1) At a scheduled meeting of the corporation, the corporation shall:

(a) Establish the distribution of funds for stakes races for the upcoming year; and

(b) Authorize expenditures at a time it designates.

(2) The racing dates for KSDF and KSBIF stakes shall be issued after the track has established its race dates.

Section 18. Promotions. The KSDF or KSBIF may provide a trophy for each event, and the program that provides the trophy shall purchase the trophy out of its fund.

Section 19. Nomination Fees.

(1) After payment of the mare or stallion nomination fee, foals shall remain eligible for events each year by making the required sustaining and declaration payments for that year, as set forth in Section 20. The "KSDF/KSBIF Kentucky Sire Stakes (KYSS) Nomination Form," KHRGC 7-040-1, shall be filed with the corporation along with the nomination and sustaining fees.

(2) After payment of the yearling nomination fee, foals shall remain eligible for events each year by making the required sustaining and declaration payments for that year, as set forth in Section 20. The "KSDF/KSBIF Kentucky Sire Stakes (KYSS) Nomination Form," KHRGC 7-040-1, shall be filed with the corporation along with the nomination and sustaining fees.

(3) The two (2) year old March 15 payment shall be made to remain eligible to the KSDF and KSBIF as a three (3) year old without penalty, except as provided in Section 20.

(4) Nomination and sustaining payments shall be made to the KSDF and KSBIF in U.S. funds by a money order or a check drawn on a U.S. bank account.

Section 20. Nomination Schedule.

(1) Mares or Stallions shall be nominated by December 31 of the year of conception of the horse sought to be eligible by submitting a completed "KSDF/KSBF Stallion Certificate of Eligibility Form," KHRGC 7-040-2, or "KSDF/KSBF Mare Certificate of Eligibility Form," KHRGC 7-040-3. The nomination fee shall be set forth in KHRGC 7-040-2 or 7-040-3, except as provided in subsection (4) of this section.

(2) For yearlings sired by a standardbred stallion or mare that resided in Kentucky during the year of conception for a period no less than 180 days and registered with the KSDF and KSBIF, the nomination fee shall be set forth in the "KSDF/KSBIF Kentucky Sire Stakes (KYSS) Nomination Form," KHRGC 7-040-1, except as provided in subsection (5) of this section.

(3) Nominated horses shall be registered with the USTA, Standardbred Canada, or other appropriate international harness racing governing agency and shall be properly identified to the satisfaction of the corporation at the time of the nomination. Identification shall be determined by the official registration maintained by the USTA, Standardbred Canada, or other appropriate international harness racing governing agency.

(4) If a mare is not nominated to the KSDF and KSBIF by December 31 of the year of conception, the mare shall be nominated by submitting a KSDF/KSBIF Application for Late Mare Registration, KHRGC 7-040-4, and paying a penalty as set forth in KHRGC 7-040-4.

(5) If a horse sired by a standardbred stallion or mare that resided in Kentucky during the year of conception, for a period no less than 180 days, and registered with the KSDF and KSBIF is not nominated during its yearling year, the horse may be nominated by March 15 of its two (2) year old year by submitting the "KSDF/KSBIF Kentucky Sire Stakes (KYSS) Nomination Form," KHRGC 7-040-1, and paying a penalty as set forth in KHRGC 7-040-1.

(6) For three (3) year old horses that fail to make the mandatory March 15 two (2) year old sustaining payment, the horse may be nominated by February 15 of its three (3) year old year by submitting a KHRGC 7-040-1 and paying a penalty as set forth in KHRGC 7-040-1.

Section 21. Early Closing Events. The corporation may provide for separate early closing events for Kentucky-bred horses.

Section 22. Stallion and Breeder Awards. The corporation may provide for stallion and breeder awards for Kentucky-bred horses.

Section 23. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "KSDF/KSBIF Kentucky Sire Stakes (KYSS) Nomination Form", KHRGC 7-040-1, 2023;

(b) "KSDF/KSBIF Stallion Certificate of Eligibility Form", KHRGC 7-040-2, 2023;

(d) "KSDF/KSBIF Application for Late Mare Registration", KHRGC 7-040-4, 2023.

History

RELATES TO: KRS 230.215, 230.260, 230.770, 230.802
STATUTORY AUTHORITY: KRS 230.215(2), 230.260(8), 230.770(1), (6), (7), 230.802(2)(b)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) and 230.260(8) authorize the Kentucky Horse Racing and Gaming Corporation to promulgate administrative regulations prescribing the conditions under which horse racing shall be conducted in Kentucky and to fix and regulate the minimum amount of purses, stakes, or awards to be offered for the conduct of any horse race meeting. KRS 230.770(1) establishes the Kentucky standardbred development fund. KRS 230.770(6) and (7) authorize the corporation to promulgate administrative regulations establishing the eligibility of horses participating in races for which a portion of the purse is provided by the Kentucky Standardbred Development Fund and the conditions, class, and quality of the races. KRS 230.802(1) establishes the Kentucky standardbred breeders' incentive fund. KRS 230.802(2)(b) requires the corporation to promulgate administrative regulations establishing the conditions and criteria for the distribution of moneys from the fund. This administrative regulation establishes eligibility standards, administrative practices to enforce the standards, criteria for the distribution of moneys from these funds, mandatory criteria for races, and the administration of purses and payments in these races.
History: 45 Ky.R. 1984; 3158; eff. 5-31-2019; 46 Ky.R. 2537; 47 Ky.R. 79; eff. 7-30-2020; 49 Ky.R. 2011; 50 Ky.R. 45; eff. 10-3-2023; 50 Ky.R. 2105; 51 Ky.R. 48; eff. 10-1-2024.

810 KAR 7:050 Kentucky Horse Breeders' Incentive Fund {#sec-810-kar-7-050 omnilex-key=us-ky-regs-official--title-810--810 KAR 7:050}

Section 1. Definitions.

(1) "Applicant" means a Kentucky affiliate representing a breed of horses that is eligible to register with the corporation to participate in the Kentucky Horse Breeders' Incentive Fund.

(2) "Award distribution plan" means a plan submitted by a Kentucky affiliate to the corporation outlining the procedures by which the Kentucky affiliate will award funds from the Kentucky Horse Breeders' Incentive Fund to incentive winners who are members of the Kentucky affiliate.

(3) "Breed" means a subspecies of horse with particular physical characteristics common to the subspecies that are used in establishing the identity of a horse by a registry recognized by the corporation.

(4) "Breeder" means:

(a) A person or persons engaged in the breeding of horses eligible for the Kentucky Horse Breeders' Incentive Fund, as defined by the national association of the Kentucky affiliate recognized by the corporation as a participant in the Kentucky Horse Breeders' Incentive Fund program; or

(b) If the national association does not define "breeder", the owner of the dam of a horse when the horse was foaled.

(5) "Closed breed registry" means the restrictions of the official national breed registry recognized by the Kentucky Horse Breeders' Incentive Fund.

(6) "Contest" means a competitive event with an outcome that qualifies the owner of a horse as an incentive winner under a Kentucky affiliate's award distribution plan.

(7) "Incentive winner" means a person whose horse's performance in a contest entitles that person to an award from the Kentucky Horse Breeders' Incentive Fund.

(8) "Kentucky affiliate" means the Kentucky organization that is recognized by a national breed organization representing that particular breed of horse in Kentucky.

(9) "Kentucky Horse Breeders' Incentive Fund" means the trust and revolving fund established by KRS 230.804.

(10) "KHBIF" means the Kentucky Horse Breeders' Incentive Fund.

(11) "Show horse" means a horse that participates in judged exhibition competitions.

Section 2. Registration of Kentucky Affiliate.

(1) Only a Kentucky affiliate may register to participate in the KHBIF.

(2) Kentucky affiliates shall have an Internal Revenue Service 501(c) designation.

(3) To become eligible to receive funds from the KHBIF, a Kentucky affiliate shall register with the corporation by:

(a) Filing an "Application for Registration of Kentucky Affiliate with the Kentucky Horse Breeders' Incentive Fund", KHRGC Form 7-050-1, (10/2021); and

(b) Filing with the application an award distribution plan to be reviewed and approved by the corporation.

(4) A thoroughbred breed shall not be eligible for registration with the KHBIF, unless the thoroughbred breed consists exclusively of show horses.

(5) A standardbred breed shall not be eligible for registration with the KHBIF, unless the standardbred breed consists exclusively of show horses.

(6) The color of a breed of horses shall not be the sole criterion used to define that breed for purposes of registration with the KHBIF.

(7) The corporation may establish, under its general jurisdiction, the KHBIF Advisory Committee (the "advisory committee"). If established, the advisory committee shall consist of three (3) members appointed by the chairman of the corporation by July 1 of each year. One (1) member shall be recommended to the chairman for appointment by the Kentucky Equine Education Project (KEEP). If KEEP has not recommended a member for appointment by July 1 of a given year, the Chairman of the corporation shall make the appointment without the recommendation. At least one (1) member of the advisory committee shall have established knowledge of gaited horses. Each member of the advisory committee shall serve from July 1 through June 30 of the following year. Each member of the advisory committee shall be a resident of Kentucky. Each member of the advisory committee shall serve without compensation, but shall be entitled to reimbursement for all reasonable expenses incurred in the discharge of official business. The advisory committee shall select a chairman from its membership annually.

(8)

(a) The advisory committee shall advise and assist the corporation in the registration process described in this section. The advisory committee shall make a recommendation of approval or denial to the corporation for each applicant based upon the application and compliance with the requirements established in subsection (13) of this section.

(b) The corporation shall employ qualified personnel necessary to assist the corporation and the advisory committee in carrying out the provisions of this administrative regulation. These personnel shall serve at the pleasure of the corporation, and compensation for these personnel shall be fixed by the corporation.

(9) After the advisory committee recommends to the corporation the approval or denial of an application, the corporation shall consider the recommendation and whether or not the requirements of this administrative regulation have been met, and shall:

(a) Approve the application;

(b) Deny the application; or

(c) Defer consideration of the application for a reasonable time for the purpose of conducting further investigation of the application.

(10) Registration shall be effective for three (3) years. The first three (3) year registration period shall consist of the period beginning January 1, 2022, and ending December 31, 2024.

(11) For the first registration period, a Kentucky affiliate shall register with the corporation on or prior to November 1, 2021. Any Kentucky affiliate that registered with the corporation under any previously effective version of this administrative regulation shall reregister.

(12) For each three (3) year period beginning on or after January 1, 2022, a Kentucky affiliate shall register with the corporation on or prior to November 1 of the calendar year immediately preceding January 1 of the first year of the three (3) year registration period.

(13) A Kentucky affiliate shall have until December 31 following the November 1 deadline established in subsections (11) and (12) of this section to revise and update any information previously provided to the corporation on or before the November 1 deadline.

(14) The application and the accompanying award distribution plan provided to the corporation shall include the following information:

(a) The name of the breed of horse covered by the plan;

(b) The name of the Kentucky affiliate;

(c) A letter from the national breed organization representing the breed certifying that the Kentucky affiliate is the recognized representative in Kentucky of that breed, and certifying the number of horses twenty-five (25) years of age and younger in the breed residing in Kentucky. If the Kentucky affiliate is the national breed organization, then an independent third party approved by the corporation shall certify the number of horses. Optionally, if the Kentucky affiliate demonstrates to the corporation that it is unable to obtain an independent third party to certify horse numbers as required in this subsection, the corporation may certify horse numbers at a fee of $120 per hour.

For a horse to be included in the certification, the horse shall be the result of parentage verified by DNA verification of either the horse's sire or dam. A three (3) generation pedigree on one (1) side shall be displayed on the certificate of registration, so that the horse, at least one (1) of the horse's parents, and at least (1) set of the horse's grandparents are displayed on the certificate.
Each horse shall receive claim money from only one (1) Kentucky affiliate per year.
The affiliate shall provide the data electronically to the corporation and in a format agreeable to the corporation;

(d) A letter from the national breed organization representing the breed certifying that the breed has a closed breed registry; and

(e) The award distribution plan pursuant to which awards will be distributed to KHBIF incentive winners who are breeders or owners of horses bred and foaled in Kentucky. The award distribution plan shall specify:

The scoring method or point system to be utilized in contests to determine the incentive winner of each contest as certified by the national breed organization;
The identity of the scoring person or body that will judge each contest as certified by the national breed organization;
The rules of the contests in which the horses of the breed will participate as certified by the national breed organization; and
The percentage distribution formula by which the Kentucky affiliate shall grant awards to incentive winners.

(15)

(a) The corporation shall be recognized and designated as the sole official registrar of the KHBIF for the purposes of registering the application and award distribution plan for each breed in accordance with the terms of this administrative regulation.

(b) The records of each national breed organization shall be used as the official records of the corporation for determining the following information:

The identity of the Kentucky affiliate representing the breed in Kentucky; and
The number of horses of the breed twenty-five (25) years of age and younger registered with the national breed organization and currently residing in Kentucky.

(16) If the information on an application form required under this section is found to be inaccurate, or becomes inaccurate, or changes, the organization identified as the Kentucky affiliate shall promptly notify the corporation of the correct information within thirty (30) days of discovering the inaccuracy or the circumstances causing the information to become inaccurate or to change.

Section 3. Timing and Distribution of Awards.

(1) The events eligible for awards from the KHBIF, as set forth in each award distribution plan, shall be those occurring on or after January 1, 2006.

(2) Awards to incentive winners shall be calculated and distributed each year.

(3) The corporation, with the cooperation of each Kentucky affiliate shall, after the end of each calendar year, calculate the funds due to each Kentucky affiliate for that year.

(4) The amount allocated to a Kentucky affiliate participating in the KHBIF shall be calculated by:

(a) Dividing the number of horses of the breed twenty-five (25) years of age and younger and currently residing in Kentucky as certified by the national breed organization pursuant to Section 2(14)(c) of this administrative regulation, by the total number of horses from all Kentucky affiliates certified pursuant to Section 2(14)(c) of this administrative regulation. The number of horses in each case shall be the number of horses recorded on each Kentucky affiliate's application form on the December 31 deadline established in Section 2(13) of this administrative regulation; and

(b) Multiplying the fraction obtained in paragraph (a) by the total amount of money allocated to all Kentucky affiliates during the year.

(5) An award to an incentive winner from the KHBIF shall be determined based on the award distribution plan submitted by the Kentucky affiliate representing the breed to the corporation pursuant to Section 2(3)(b) of this administrative regulation.

(6) The corporation shall, by March 1 of each year, notify the Kentucky affiliate of the total dollars allocated to that affiliate.

(7) Kentucky affiliate shall, by October 1 of each year, notify the corporation of the names of the incentive winners who are entitled to awards for contests held during the previous year. The Kentucky affiliate shall also, by October 1 of each year, notify the corporation of the names of the horses registered to that affiliate, and the date of each horse's registration. If a horse is registered with more than one (1) affiliate, the corporation shall not count that horse's award, and the funds for that award shall revert back to the KHBIF to be distributed in future awards.

(a) Within thirty (30) calendar days of receiving the names of the incentive winners from the Kentucky affiliate, the corporation shall generate claim forms for the appropriate Kentucky affiliate.

(b) The Kentucky affiliate shall provide the claim forms received from the corporation to its incentive winners from the previous year.

(c) The Kentucky affiliate shall provide a letter to the corporation, which certifies that it has notified all incentive winners of their awards from the previous year. The corporation shall not issue an award check for any of that Kentucky affiliate's incentive winners prior to receiving this letter.

(8) After receiving notification of an award, each incentive winner shall return an enclosed claim form for the award that certifies that the incentive winner is entitled to the award and that certifies the incentive winner's taxpayer ID number or Social Security number. The claim form shall be delivered to the corporation no later than December 31 of the same year in which the corporation notified the incentive winner of the award pursuant to subsection (7) of this section.

(9) The claim form shall be the form "Claim Form of Incentive Winner for Award from the Kentucky Horse Breeders' Incentive Fund", KHRGC Form 7-050-2, (10/2021).

(10) Failure to return the claim form required by subsection (8) of this section by December 31 of the year in which the incentive winner was notified of the award pursuant to subsection (7) of this section shall result in forfeiture of the award, and the award money shall lapse to the KHBIF.

(11) An award from the KHBIF shall not be granted to any incentive winner who is not in good standing with the national breed organization or Kentucky affiliate.

Section 4. Semiannual Reports.

(1) A semiannual status report describing a Kentucky affiliate's progress and participation in the award distribution plan shall be filed with the advisory committee by each Kentucky affiliate on or before July 31 and January 31. If that date is on a Saturday, Sunday, or legal holiday, the report shall be due on the first business day thereafter.

(2) The semiannual report shall also include:

(a) A list of all stallions presently breeding horses eligible to participate in the fund, and the farm locations on which the stallions stand;

(b) A schedule of all state and national contests for that year in which horses eligible to participate in the KHBIF are scheduled to participate;

(c) A list of all horses registered with the Kentucky affiliate and the horse's date of registration with that affiliate;

(d) A current list of the Kentucky affiliate's board members; and

(e) The current contact information of the Kentucky affiliate's preferred contacts.

Section 5. Disputes.

(1) Any dispute between the corporation and a Kentucky affiliate or national breed organization arising under this administrative regulation shall be raised by the aggrieved party filing a petition seeking relief with the executive director of the corporation, within thirty (30) days of the action or the inaction leading to the dispute, as established in 810 KAR 7:070.

(2) If the executive director and the aggrieved party do not agree on a resolution of the dispute, the executive director shall assign the case to a hearing officer who shall conduct a hearing pursuant to KRS Chapter 13B.

Section 6. Disciplinary Procedures.

(1) Violations, discipline, disputes, and investigation shall take place according to 810 KAR 7:070.

(2) In addition to the procedures established in 810 KAR 7:070, and notwithstanding any contrary provisions of 810 KAR 7:070, the corporation may take the following actions, which would be subject to appeal as established in 810 KAR 7:070:

(a) For a violation of 810 KAR 7:070, the corporation may bar a Kentucky affiliate or national breed organization from registering for a period of from one (1) to ten (10) years, based on the seriousness of the violation.

(b) For a second or subsequent violation of 810 KAR 7:070, the corporation may bar the Kentucky affiliate or national breed organization from eligibility to receive an incentive from the KHBIF for a period of from one (1) to twenty (20) years.

(c) If the evidence available to the corporation indicates that an individual who is a member of, or acting on behalf of, a Kentucky affiliate or national breed organization has, without the knowledge or consent of the Kentucky affiliate or national breed organization, violated 810 KAR 7:070, then the corporation may condition the continuing registration of the Kentucky affiliate in the KHBIF upon the exclusion of that individual from any further participation in work related to the KHBIF.

Section 7. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Registration of Kentucky Affiliate with the Kentucky Horse Breeders' Incentive Fund", KHRGC 7-050-1, (10/2021); and

(b) "Claim Form of Incentive Winner for Award from the Kentucky Horse Breeders' Incentive Fund", KHRGC 7-050-02, (10/2021).

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Horse Racing and Gaming Corporation, 4047 Iron Works Pike, Lexington, Kentucky 40511, Monday through Friday, 8 a.m. to 4:30 p.m.

(3) This material may also be obtained from the KHRGC Web site at www.khrc.ky.gov.

History

RELATES TO: KRS 230.225(5)(c), 230.330, 230.804, 15 U.S.C. 1821-1831
STATUTORY AUTHORITY: KRS 230.804(2)(b)
NECESSITY, FUNCTION, AND CONFORMITY: KRS. 230.804 establishes the Kentucky Horse Breeders' Incentive Fund. KRS 230.804(2)(b) requires the Kentucky Horse Racing and Gaming Corporation to promulgate administrative regulations establishing the conditions and criteria for the distribution of moneys from the fund. This administrative regulation establishes eligibility standards, administrative practices to enforce the standards, and the procedures for paying incentive awards from the fund.
History: 33 Ky.R. 2242; 3201; eff. 5-4-2007; 35 Ky.R. 1914; 2743; eff. 7-6-2009; 47 Ky.R. 867, 1582; eff. 5-4-2021; Recodified from 811 KAR 2:120, 5-6-2021; 48 Ky.R. 2282, 2732; eff. 8-2-2022; TAm eff. 7-1-2024.

810 KAR 7:060 Kentucky Paint Horse, Appaloosa, and Arabian Development Fund {#sec-810-kar-7-060 omnilex-key=us-ky-regs-official--title-810--810 KAR 7:060}

Section 1. Definitions.

(1) "Broodmare" means a mare that conceives and carries her genetic foal to term.

(2) "Donor mare" means the mare from which an embryo is harvested for the purpose of performing an embryo transfer.

(3) "Fund" means the Kentucky Paint Horse, Appaloosa, and Arabian Development Fund established by KRS 230.445.

(4) "Kentucky bred" means that a horse that meets the requirements of this administrative regulation and is:

(a) An Appaloosa registered with the Appaloosa Horse Club or its successor;

(b) An Arabian registered with the Arabian Horse Association Registry or its successor; or

(5) "Mare" means a broodmare, donor mare, or recipient mare.

(6) "Recipient mare" means a mare of any breed who:

(a) Is implanted with an embryo from a donor mare;

(b) Carries the non-genetic foal to term; and

(c) Is implanted with an electronic horse identification microchip that accurately identifies the horse and is compliant with international standards ISO 11784.

Section 2. Advisory Committee. The fund advisory committee shall consist of five (5) members, all of whom shall be Kentucky residents, to be appointed by the chairman of the corporation by July 1 of each year. The committee shall consist of one (1):

(1) Member of the corporation;

(2) Officer or director of a licensed racing association in Kentucky conducting Paint Horse, Appaloosa, or Arabian racing;

(3) Owner of a horse nominated to the fund;

(4) Owner of a mare registered with the fund; and

(5) Member of a Kentucky Paint, Appaloosa or Arabian association recommended by that organization's board of directors.

Section 3. Mare Eligibility.

(1) In order for a foal to be eligible to earn money from the fund, the broodmare or both the donor and recipient mares shall be registered with the fund on or before December 31 of the year of conception. Late registration may be accepted on or before July 1 of the foaling year as established by subsection (3) of this section.

(2) In order to be eligible to be registered with the fund, a mare, whether a broodmare, donor mare, or recipient mare, shall reside in Kentucky for a period of no less than 180 days from conception or embryo transfer implantation until foaling.

(3) A mare shall be registered with the fund by:

(a) Completing and filing with the corporation a Kentucky Paint Horse, Appaloosa, and Arabian Development Fund Mare Registration Form, KHRGC 7-060-1, and accompanying registration fee of:

Twenty-five (25) dollars if postmarked by December 31 of the year of conception; or
$200 if postmarked on or before July 1 of the foaling year; and;

(b) Providing the corporation with a photocopy of:

The mare's official breed registration papers from the American Paint Horse Association, Appaloosa Horse Club, the Arabian Horse Association Registry, or The Jockey Club or their respective successors; or
Documentation regarding a recipient mare's electronic horse identification microchip.

Section 4. Nomination.

(1) Except as established in subsection (4) of this section, in order for a horse to be eligible to earn money from the fund, it shall be "Kentucky bred" as defined by Section 1 of this administrative regulation and shall be nominated to the fund by:

(a) Completing and filing with the corporation a Kentucky Paint Horse, Appaloosa, and Arabian Development Fund Nomination Form, KHRGC 7-060-2, and accompanying registration fee of:

Twenty-five (25) dollars to nominate a weanling;
$100 to nominate a yearling; or
$300 to nominate a horse of racing age; and

(b) Providing the corporation with a photocopy of the horse's official breed registration papers from the American Paint Horse Association, Appaloosa Horse Club, or the Arabian Horse Association Registry, or their respective successors

(2) In order for a foal that is the product of an embryo transfer to be eligible to earn monies from the fund, the donor mare and the recipient mare shall be registered as established in Section 3 of this administrative regulation and shall meet the other requirements of this administrative regulation.

(3) If a registered donor mare produces more than one (1) foal in one (1) breeding season, two (2) genetic foals may be nominated to the fund as determined by the owner of the donor mare.

(4) A horse shall be nominated by:

(a) Completing and filing with the corporation a Kentucky Paint Horse, Appaloosa, and Arabian Development Fund Nomination Form, KHRGC 7-060-2, and accompanying registration fee of:

Twenty-five (25) dollars to nominate a weanling;
$100 to nominate a yearling; or
$300 to nominate a horse of racing age; and

(b) Including the following with the nomination form:

A photocopy of the official breed registration papers from the American Paint Horse Association, Appaloosa Horse Club, or the Arabian Horse Association Registry, or their respective successors;
Registration papers showing ownership and demonstrating that the horse was foaled in Kentucky;
An official breed registry shipped semen report or a stallion breeders certificate demonstrating that the horse was conceived in Kentucky; and
A signed affidavit from the owner of the mare at the time of her pregnancy stating that the mare resided in Kentucky for a period of no less than 180 days from conception or embryo transfer implantation until foaling.

(5) Nothing in this section shall prevent a registered mare from being eligible to race for monies from the fund.

Section 5. Monies Allocated.

(1) Money deposited to the Fund shall be allocated on an equitable basis as determined by the corporation, pursuant to KRS 230.445.

(2) In allocating, the corporation shall consider at least the following factors:

(a) The amount contributed to the fund by each association;

(b) The amount of handle collected by each association;

(d) The population of horses by breed registered in Kentucky that are registered with the fund.

Section 6. Distribution of Funds.

(1) Each association shall submit a request to the advisory committee, including the proposed races eligible to receive monies from the fund and the proposed purse structure for those races, at least forty-five (45) days prior to the opening day of the live racing meet.

(2) Unless there is a corporation-approved proposal to the contrary, the proposed purse structure shall not exceed the total dollars generated by that breed to the association's fund account. Corporation approval shall be based on the standards established in Section 5(2) of this administrative regulation.

(3) The advisory committee shall review the proposed eligible races and purse structure and make a recommendation whether or not to approve the proposed races and purse structure to the corporation based upon the best interests of Kentucky racing.

(4) Two (2) or more associations conducting Paint Horse, Appaloosa, or Arabian racing may request permission from the advisory committee to combine their respective fund monies to supplement purses at one (1) of the associations. The advisory committee shall recommend to the corporation whether or not to approve the request, based on Section 5(2) of this administrative regulation.

Section 7. Reconciliation.

(1) Each association shall file weekly with the corporation a copy of the pari-mutuel tax form filed with the Department of Revenue, along with a copy of the check submitted for each report.

(2) Each association shall report to the corporation the actual purse distribution within fifteen (15) calendar days after the last day of a live race meeting.

(3) The corporation shall, on a monthly basis, reconcile the weekly reports submitted by the association with the Department of Revenue's reports and deposits.

(4) If, at the close of a live race meet, an association has a balance of monies earned for that meet that has not been distributed in actual fund purse distribution, then the association may choose one (1) of the following options to distribute the remaining balance, contingent on the recommendation of the advisory committee and the approval of the corporation:

(a) Use fund monies previously earned to supplement purses at future live racing meets held by that association; or

(b) Use fund monies previously earned to supplement purses already distributed at the last live racing meet held by the association to the recipients of the original purse allocations.

(5) If, at the close of a live race meet, an association offering wagering on historical horse races has a balance of fund monies earned from historical horse race wagers that has not been distributed in actual fund purse distribution, then the association may choose one (1) of the following options to distribute a portion of the balance, contingent on the recommendation of the advisory committee and the approval of the corporation:

(a) Use the historical horse race fund monies previously earned to supplement purses at future live racing meets held by that association;

(b) Use historical horse race fund monies previously earned to supplement purses already distributed at the last live racing meet held by the association to the recipients of the original purse allocations; or

(6) Reasonable and customary corporation charges for time spent reconciling the account may be charged to each association by the corporation based on the percentage of funds generated by each association for the previous calendar year.

(7) Each association shall sign an agreement stating that it accepts and agrees with the reconciliation prior to reimbursement of any funds.

Section 8. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Kentucky Paint Horse, Appaloosa, and Arabian Development Fund Mare Registration Form", KHRGC 7-060-1, November 2025;

(b) "Kentucky Paint Horse, Appaloosa, and Arabian Development Fund Nomination Form", KHRGC 7-060-2, September 2025; and

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Horse Racing and Gaming Corporation, 4047 Iron Works Parkway, Lexington, Kentucky 40511, Monday through Friday, 8:00 a.m. to 4:30 p.m. This material is also available on the corporation's Web site at http://khrc.ky.gov.

History

RELATES TO: KRS 138.510, 230.215, 230.225, 230.443, 230.445
STATUTORY AUTHORITY: KRS 230.215(2), 230.260(8), 230.445
CERTIFICATION STATEMENT: This certifies that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) and 230.260 authorize the corporation to promulgate administrative regulations establishing the conditions under which horse racing shall be conducted in Kentucky and to fix and regulate the minimum amount of purses, stakes, or awards to be offered for the conduct of any horse race meeting. KRS 230.445 requires the corporation to promulgate administrative regulations to carry out the purpose of the statute and to administer the Paint Horse, Appaloosa, and Arabian Development Fund in a manner to promote and aid in the development of the horse industry in Kentucky, upgrade the quality of racing in Kentucky, and to improve the quality of horses bred in Kentucky. This administrative regulation establishes eligibility standards, administrative practices to enforce the standards, and the administration of purses and payments related to the Paint Horse, Appaloosa, and Arabian Fund.
History: 810 KAR 007:060. 45 Ky.R. 1989; 3161; eff. 5-31-2019; 49 Ky.R. 2381, 50 Ky.R. 668; eff. 12-5-2023; TAm eff. 7-1-2024; 52 Ky.R. 319, 749; eff. 11-20-2025.

810 KAR 7:070 Violations, discipline, disputes, and investigation {#sec-810-kar-7-070 omnilex-key=us-ky-regs-official--title-810--810 KAR 7:070}

Section 1. Violations.

(1) It shall be a violation of this administrative regulation if an applicant or registrant under 810 KAR 7:020 to 7:060, or a person otherwise eligible for or claiming entitlement to an award from a fund administered under 810 KAR 7:020 to 7:060:

(a) Provides any official registrar under KRS 230.400, any advisory committee, or the corporation[commission] with incorrect, false, or misleading information;

(b) Fails to furnish information requested by the official registrar, advisory committee, or corporation[commission] within thirty (30) days;

(c) Is charged or convicted of a crime, offense, or other criminal or civil violation involving cruelty, mistreatment, abuse, or neglect of a horse;

(d) Engages in conduct that is against the best interests of horse breeding or horse racing; or

(e) Violates any provision of KRS Chapter 230 or KAR Title 810 in any other manner.

(2) For any violation of this administrative regulation, the corporation[commission] may:

(a) Deny an application;

(b) Suspend, deny, or revoke a registration; or

(3) In addition to the penalties in subsection 2, for a violation of this administrative regulation, the corporation[commission] may bar a person from participation in any incentive or development fund under 810 KAR Chapter 7 for a period of one (1) to five (5) years based on the seriousness of the violation. For a second or subsequent violation of this administrative regulation, the corporation[commission] may impose a lifetime bar from participation in any fund administered under 810 KAR Chapter 7.

(4) A person charged, but not convicted of a crime, offense, or other criminal or civil violation as provided in subsection (1)(c) may petition the corporation[commission] for reinstatement. The corporation[commission] shall reinstate the earnings, registration, or application upon submission of proof satisfactory to the corporation[commission] that the charges were dismissed and the facts forming the basis of the charges were false.

Section 2. Disciplinary Process.

(1) The corporation[commission] shall investigate suspected violations of this administrative regulation.

(2) Upon the completion of the investigation, the person or persons conducting the investigation shall submit a written report to the executive director containing a statement of the facts disclosed by the investigation.

(3) Based on consideration of the investigative report, the executive director shall determine whether there is prima facie cause to believe that a violation has been committed.

(4) Upon determination that prima facie cause exists, the executive director shall issue written notice of disciplinary action. The notice shall set forth:

(a) The statutory or regulatory violation;

(b) The factual basis on which the disciplinary action is based;

(d) A statement that the notice may be appealed to an administrative hearing by written notice sent to the corporation[commission] within twenty (20) calendar days of issuance of the notice.

(5) Notice of a disciplinary action under this section may be appealed to an administrative hearing. A written request for an administrative hearing shall be filed with the corporation[commission] within twenty (20) calendar days of the date of the executive director's notice. The request shall identify the specific issues in dispute and the legal basis on which the executive director's decision on each issue is believed to be erroneous.

(6) An administrative hearing under this section shall be conducted under KRS Chapter 13B.

(7) If the request for an administrative hearing is not timely filed, the penalty laid out in the notice of disciplinary action shall be effective upon the expiration of the time to request an administrative hearing.

Section 3. Disputes.

(1) Any non-disciplinary dispute between the corporation[commission] and an applicant or registrant under 810 KAR 7:020 to 7:060, or a person otherwise eligible for or claiming entitlement to an award from a fund administered under 810 KAR 7:020 to 7:060, shall be raised by the aggrieved party by filing a petition seeking relief with the executive director of the corporation[commission] within thirty (30) days of the action or the inaction leading to the dispute.

(2) If the executive director and the aggrieved party do not agree on a resolution of the dispute, the executive director shall refer the matter for an administrative hearing under KRS Chapter 13B.

Section 4. Consent to Investigate; Additional Information. Application or registration under 810 KAR 7:020 to 7:060, or submission of any claim for an award from a fund administered under 810 KAR 7:020 to 7:060, shall constitute consent to:

(1) Investigation by the corporation[commission] or any advisory committee of all information provided to the corporation[commission] or any advisory committee;

(2) Site visits to verify all mare and stallion residency requirements set forth in 810 KAR Chapter 7; and

(3) Provide any additional information requested by the corporation[commission] or any advisory committee.

History

RELATES TO: KRS 13B, 230.215, 230.225(5)(c), 230.320, 230.330, 230.400, 230.445, 230.770, 230.800, 230.802, 230.804.
STATUTORY AUTHORITY: KRS 230.370, 230.400, 230.445, 230.770(6) and (7), 230.802(1) and (2)(b), 230.804(2)(b).
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.400 establishes the Kentucky Thoroughbred Development Fund and requires the Kentucky Horse Racing and Gaming Corporation to promulgate administrative regulations as may be necessary to carry out its provisions and purposes. KRS 230.800(2)(b) requires the corporation[commission] to promulgate administrative regulations establishing the conditions and criteria for the distribution of moneys from the Kentucky Thoroughbred Breeders' Incentive Fund. KRS 230.770(6) and (7) authorize the corporation[commission] to promulgate administrative regulations establishing the eligibility of horses participating in races for which a portion of the purse is provided by the Kentucky Standardbred Development Fund and the conditions, class, and quality of the races. KRS 230.802(1) establishes the Kentucky standardbred breeders' incentive fund. KRS 230.802(2)(b) authorizes the corporation[commission] to promulgate administrative regulations establishing the conditions and criteria for the distribution of moneys from the fund. KRS 230.804(2)(b) authorizes the Kentucky Horse Racing and Gaming Corporation to promulgate administrative regulations establishing the conditions and criteria for the distribution of moneys from the Kentucky Horse Breeders' Incentive Fund. KRS 230.445 establishes the Kentucky Quarter Horse, Paint Horse, Appaloosa, and Arabian development fund and requires the corporation[commission] to promulgate administrative regulations to carry out the purpose of the statute and to administer the development fund in a manner to promote and aid in the development of the horse industry in Kentucky; upgrade the quality of racing in Kentucky; and to improve the quality of horses bred in Kentucky. KRS 230.370 authorizes the corporation[commission] to promulgate any reasonable and necessary administrative regulation for the conduct of hearings before it. This administrative regulation establishes a uniform process for enforcing the standards for distribution of money from these funds and for resolving disputes related to them.
History: 45 Ky.R. 1992; 3164; eff. 5-31-2019; TAm eff. 7-1-2024.

810 KAR 7:080 Kentucky Quarter Horse Development Fund {#sec-810-kar-7-080 omnilex-key=us-ky-regs-official--title-810--810 KAR 7:080}

Section 1. Definitions.

(1) "AI" means artificial insemination.

(2) "AQHA" means the American Quarter Horse Association.

(3) "Broodmare" means a mare that conceives and carries her genetic foal to term.

(4) "Donor mare" means the mare from which an embryo is harvested for the purpose of performing an embryo transfer.

(5) "ET" means an embryo transfer in which an embryo is harvested from a donor mare and implanted into a recipient mare that carries the non-genetic foal to term.

(6) "Fund" means the Kentucky Quarter Horse Development Fund established by KRS 230.405.

(7) "Kentucky bred" means a horse that meets the requirements of this administrative regulation and is:

(a) A Quarter Horse registered with the AQHA or its successor; and

(b) A Quarter Horse registered with the KYQHRA or its successor.

(8) "KQHDF" means the Kentucky Quarter Horse Development Fund, established by KRS.230.405.

(9) "KYQHRA" means the Kentucky Quarter Horse Racing Association, as the official registrar for the KQHDF pursuant to KRS 230.405

(10) "Mare" means a broodmare, donor mare, or recipient mare.

(11) "Qualified breeder" means the breeder of record according to the AQHA.

(12) "Qualified winner" means a quarter horse registered with the AQHA, registered with the KQHDF, declared the official winner of an eligible race by the stewards, and not eligible to be claimed in that race.

(13) "Recipient mare" means a mare of any breed that:

(a) Is implanted with an embryo from a donor mare;

(b) Carries the non-genetic foal to term; and

(c) Is implanted with an electronic horse identification microchip that accurately identifies the horse and is compliant with international standards ISO 11784.

(14) "Stallion" means a stallion registered with the KYQHRA

Section 2. Advisory Committee. The KQHDF advisory committee shall consist of five (5) members, all of whom shall be Kentucky residents, to be appointed by the chair of the corporation by July 1 of each year. The committee shall consist of one (1):

(1) Member of the corporation;

(2) Officer or director of a licensed racing association in Kentucky conducting Quarter Horse racing;

(3) Owner of a horse nominated to the fund;

(4) Owner of a mare registered with the fund; and

(5) Member of the Kentucky Quarter Horse Racing Association recommended by that organization's board of directors.

Section 3. Mare Eligibility.

(1) In order for a foal to be eligible to earn money from the fund, the broodmare or both the donor and recipient mare shall be registered with the fund on or before December 31 of the year of conception. Late mare registration shall be accepted if compliant with subsection (7) of this section. Late mare registration shall be on or before July 1 of the foaling year and shall proceed as established by subsection (7) of this section.

(a) Beginning in 2025, and ending in 2028, a mare bred in another state and brought back to Kentucky to foal shall be eligible for moneys from the fund. The pregnant mare shall register with the fund, be in Kentucky at least thirty (30) days prior to foaling, foal in Kentucky, and have the resulting foal registered as a Kentucky-bred quarter horse.

(b) To maintain eligibility of the first foal, the mare shall reregister and be bred back that same foaling year to a Kentucky registered stallion, remain in the state of Kentucky a minimum of 180 days during that year of conception, foal in Kentucky, and register the second resulting foal as a Kentucky-bred. Both foals shall then remain eligible as Kentucky-breds by fulfilling the remaining requirements of this administrative regulation.

(c) Pregnant mares from another state that fail to have a viable foal, fail to breed back or lose one (1) of the two (2) foals to natural causes may maintain their eligibility along with the remaining foal's eligibility by providing to the KYQHRA medical documentation, verified by a licensed veterinarian, as to why a foal passed, the mare did not take, or documentation as to why the mare aborted. The mare shall remain in Kentucky for a period no less than 180 days only if there is a remaining foal on the ground or in utero sought to be eligible.

(d) Foals born in 2025 from a mare bred in another state may late register by submitting a Late Mare Registration Form, 7-080-2, and accompanying registration fee of $100 (note that the normal fee shall be discounted by fifty (50) percent for 2025 only), and a Late KY Stallion Registration Form, 7-080-4, and accompanying registration fee of $100 (note that the normal fee shall be discounted by fifty (50) percent for 2025 only), by July 1, 2026, and registering the resulting foal as a Kentucky-bred. The mare and foal shall then fulfill the additional requirements in paragraphs (a) through (c) of this subsection.

(e) Registration Deadlines for mares bred in 2025, with resulting foals of 2026, shall be extended to July 1, 2026, without penalty, by submitting both a Mare Registration Form, 7-080-1, and accompanying registration fee of fifty (50) dollars, and a KY Stallion Registration Form, 7-080-3, and accompanying registration fee of $100.

(2) A mare shall be bred naturally, by AI, or by ET in the state of Kentucky and foal in the state of Kentucky.

(3) In order to be eligible to be registered with the fund, a pregnant mare, shall reside in Kentucky for a period no less than 180 days during the year of conception.

(4) Registrations shall be received by the KYQHRA by close of business or postmarked on the date of the deadline. If that deadline falls on a non-business day or federal holiday, the deadline shall extend to the next business day.

(5) Breeding involving an ET.

(a)

A donor mare and recipient mare shall both be registered; and
A recipient mare shall be microchipped.

(b) A maximum of two (2) ET's, bred to a single stallion, may be done in a single breeding season as determined by the owner of the donor mare.

(c) A donor mare may also carry her own genetic foal to term and, if she has natural twins, both foals shall be eligible to the fund.

(6) A mare shall be registered with the fund by:

(a) Completing and filing with the KYQHRA, a Mare Registration Form, KHRGC 7-080-1, and accompanying registration fee of fifty (50) dollars; and

(b) Providing a photocopy of:

The mare's official breed registration papers from the AQHA;
Documentation regarding a recipient mare's electronic horse identification; and
A stallion breeding report from AQHA.

(7) A late mare shall be registered with the fund by:

(a) Completing and filing with the KYQHRA, a Late Mare Registration Form, KHRGC 7-080-2, and accompanying registration fee of $200; and

(b) Providing a photocopy of:

The mare's official breed registration papers from the AQHA;
Documentation regarding a recipient mare's electronic horse identification; and
A stallion breeding report from AQHA.

Section 4. Stallion Eligibility.

(1) In order for a foal to be eligible to earn money from the fund, the stallion shall be registered with the fund on or before December 31 of the year of conception. Late stallion registration shall be accepted if compliant with subsection (4) of this section. Late stallion registration shall be on or before July 1 of the foaling year and shall proceed as established by subsection (4) of this section.

(2) Stallions do not have to reside in the state of Kentucky to maintain eligibility and may breed by AI.

(3) A stallion shall be registered with the fund by:

(a) Completing and filing with the KYQHRA, a KY Stallion Registration Form, KHRGC 7-080-3, and accompanying registration fee of $100; and

(b) Providing a photocopy of:

The stallion's official breed registration papers from the AQHA; and
A stallion breeding report from AQHA.

(4) A late stallion shall be registered with the fund by:

(a) Completing and filing with the KYQHRA, a Late Stallion Registration Form, KHRGC 7-080-4, and accompanying registration fee of $200; and

(b) Providing a photocopy of:

The stallion's official breed registration papers from the AQHA; and
A stallion breeding report from AQHA.

Section 5. Nomination. In order for a horse to be eligible to earn money from the fund, the horse shall be registered as Kentucky bred at the time of entry for an eligible race and shall be nominated to the fund by:

(1) Completing and filing with the KYQHRA, a Nomination Form, KHRGC 7-080-5, and accompanying registration fee of:

(a) Fifty (50) dollars to nominate a weanling;

(b) $100 to nominate a yearling; or

(2) Providing the KYQHRA with a photocopy of the horse's official AQHA registration.

Section 6. Purse Structure.

(1) Each licensed association shall submit its KQHDF purse structure proposal to the KQHDF advisory committee for approval at least forty-five (45) days prior to the opening day of the live race meet.

(2) The KQHDF advisory committee shall review the proposed purse structure and make a recommendation to the corporation whether to approve or deny the proposal based upon the best interests of Kentucky racing.

Section 7. Reconciliation.

(1) Each licensed association shall file with the corporation, a copy of the pari-mutuel tax form filed with the Department of Revenue, along with a copy of the check submitted for each report. These reports shall be filed weekly.

(2) The corporation shall reconcile the weekly reports submitted by the licensed association with the Department of Revenue's reports and deposit monthly.

(3) If at the close of a live race meet, a licensed association has a surplus balance of KQHDF monies earned pursuant to KRS 230.405, then the licensed association may request to distribute a portion of that balance, contingent on the recommendation of the KQHDF Advisory Committee and the approval of the corporation, based on promoting the best interests of racing, to:

(a) Supplement purses at future live race meets held by that licensed association;

(b) Fund supplemental purse structures approved by the corporation for a previous live race meet held by the licensed association to the recipients of the original purse allocation; or

(4) Reasonable and customary administrative charges for time spent reconciling the KQHDF account may be charged by the corporation.

(5) A licensed association, at its option, may pay reasonable advertising charges billed to the association by the KYQHRA from the association's KQHDF available balance, if the advertising charges are consistent with the intent of the KQHDF. Approval of any advertising payment shall be contingent on the recommendation of the KQHDF Advisory Committee and the approval of the corporation based on promoting the best interests of racing.

(6) Each licensed association shall submit its purses paid reports, advertising invoices, or any other documentation requested by the corporation, pertinent to reimbursement, within fifteen (15) calendar days after the last day of a live race meet. Each licensed association shall sign an acknowledgment from the corporation stating that the association accepts and agrees with the reconciliation prior to the reimbursement of any KQHDF funds.

Section 8. Breeder Awards.

(1) An incentive of $5,000 shall be awarded to the qualified breeder of the qualified winner of the following quarter horse race types with a minimum purse of $15,000:

(a) Grade I, II or III stakes race, as defined by the AQHA Graded Stakes Committee anywhere in the USA;

(b) Non-Grades stakes race, as defined by the AQHA, anywhere in the USA;

(d) Maiden race, as defined by the AQHA, anywhere in the USA.

(2) Any race with a claiming component shall not be eligible.

(3) The qualified breeder of a qualified winner shall be notified by the corporation of an eligible award by July 1 the year after the eligible race was won.

(4) The qualified breeder shall have until December 31st of the year after the eligible race was won to claim the award by submitting to the corporation a completed Application for Breeder Award, KHRGC 7-080-6. Any award not claimed shall roll back into the KQHDF.

Section 9. Shortfall and Bonus Calculation.

(1) Purses approved as established in Section 6 of this administrative regulation, shall be paid first.

(2) If, at the close of any calendar year, inadequate funding is available in the KQHDF to fund the awards provided for in Section 8 of this administrative regulation, the funding shall be decreased proportionally among all awards.

(3) If, at the close of any calendar year, extra funding is available in the KQHDF, a bonus to breeders winning awards in Section 8 of this administrative regulation may be provided; contingent on the recommendation of the KQHDF Advisory Committee and the approval of the corporation based on promoting the best interests of racing.

Section 10. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Mare Registration Form", KHRGC 7-080-1, September 2025;

(b) "Late Mare Registration Form", KHRGC 7080-2, September 2025;

(d) "Late KY Stallion Registration Form", KHRGC 7080-4, September 2025;

(e) "Nomination Form", KHRGC 7080-5, September 2025; and

(f) "Application for Breeder Award", KHRGC 7-080-6, September 2025.

(3) This material is also available at http://khrgc.ky.gov.

History

RELATES TO: KRS 138.510, 230.215, 230.225, 230.405, 230.443
STATUTORY AUTHORITY: KRS 230.215(2), 230.260(8), 230.405
CERTIFICATION STATEMENT: This certifies that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) and 230.260 authorize the corporation to promulgate administrative regulations establishing the conditions under which horse racing shall be conducted in Kentucky and to fix and regulate the minimum amount of purses, stakes, or awards to be offered for the conduct of any horse race meeting. KRS 230.405 requires the corporation to promulgate administrative regulations to carry out the purpose of the statute and to administer the Kentucky Quarter Horse Development Fund in a manner to promote and aid in the development of the horse industry in Kentucky, upgrade the quality of racing in Kentucky, and to improve the quality of horses bred in Kentucky. This administrative regulation establishes eligibility standards, administrative practices to enforce the standards, and the administration of purses and payments related to the Kentucky Quarter Horse Development Fund.
History: 810 KAR 007:080. 52 Ky.R. 346, 751; eff. 11-20-2025.

Chapter 8 Medication Guidelines

810 KAR 8:010 Medication; testing procedures; prohibited practices {#sec-810-kar-8-010 omnilex-key=us-ky-regs-official--title-810--810 KAR 8:010}

Section 1. Definitions.

(1) "AAS" or "anabolic steroid" means an anabolic androgenic steroid.

(2) "Administer" means to apply to or cause the introduction of a substance into the body of a horse.

(3) " Corporation laboratory" means a laboratory chosen by the corporation to test biologic specimens from horses taken under the supervision of the corporation veterinarian.

(4) "Location under the jurisdiction of the corporation" means a licensed race track or a training center as described in KRS 230.260(5).

(5) "Positive finding" means the corporation laboratory has conducted testing and determined that a drug, medication, or substance, the use of which is restricted or prohibited by this administrative regulation, 810 KAR 8:020, 810 KAR 8:025, or 810 KAR 8:040, was present in the sample.

(a) For the drugs, medications, or substances listed in this administrative regulation, 810 KAR 8:020, or 810 KAR 8:025, for which an established concentration level is provided, it shall be necessary to have a finding in excess of the established concentration level as provided for the finding to be considered a positive finding.

(b) Positive finding also includes:

Substances present in the horse in excess of concentrations at which the substances could occur naturally; and
Substances foreign to a horse that cause interference with testing procedures.

(6) "Primary sample" means the primary sample portion of the biologic specimen taken under the supervision of the corporation veterinarian to be tested by the corporation laboratory.

(7) "Split sample" means the split sample portion of the biologic specimen taken under the supervision of the corporation veterinarian to be tested by the split sample laboratory.

(8) "Split sample laboratory" means the laboratory approved by the corporation to test the split sample portion of the biologic specimen from horses taken under the supervision of the corporation veterinarian.

(9) "Test barn" means a fenced enclosure sufficient in size and facilities to accommodate the stabling of horses temporarily detained for obtaining biologic specimens for testing.

Section 2. Use of Medication.

(1) Therapeutic measures and medication necessary to improve or protect the health of a horse shall be administered to a horse in training under the direction of a licensed veterinarian.

(2) Except as expressly permitted in 810 KAR Chapter 8, while participating in a race (betting or non-betting), qualifying race, or time trial, it shall be a violation for a horse to carry in its body any drug, medication, substance, or metabolic derivative, that:

(a) Is foreign to the horse; or

(b) Might mask the presence of a prohibited drug, or obstruct testing procedures.

(3) It shall be a violation for therapeutic medications to be present in excess of established threshold concentrations established in this administrative regulation, 810 KAR 8:020, or in 810 KAR 8:025. The thresholds for permitted NSAIDs are established in Section 8 of this administrative regulation.

(4) Except as provided by paragraphs (a), (b), and (c) of this subsection, it shall be a violation for a substance to be present in a horse in excess of a concentration at which the substance could occur naturally. It shall be the responsibility of the corporation to prove that the substance was in excess of normal concentration levels.

(a) Gamma amino butyric acid shall not be present in a concentration greater than 110 nanograms per milliliter in serum or plasma.

(b) Cobalt shall not be present in a concentration greater than twenty-five (25) parts per billion in serum or plasma.

(5) It shall be prima facie evidence that a horse was administered and carried, while running in a race (betting or non-betting), qualifying race, or time trial, a drug, medication, substance, or metabolic derivative thereof prohibited by this section if:

(a) A biologic specimen from the horse was taken under the supervision of the corporation veterinarian promptly after a horse ran in a race (betting or non-betting), qualifying race, or time trial; and

(b) The corporation laboratory presents to the corporation a report of a positive finding.

(6) The corporation shall utilize the Kentucky Horse Racing and Gaming Corporation Uniform Drug, Medication, and Substance Classification Schedule as provided in 810 KAR 8:020, for classification of drugs, medications, and substances violating this administrative regulation. Penalties for violations of this administrative regulation shall be implemented in accordance with 810 KAR 8:030.

Section 3. Treatment Restrictions.

(1) Except as provided in Section 4 of this administrative regulation, only a veterinarian licensed to practice veterinary medicine in Kentucky and licensed by the corporation shall administer by injection a prescription or controlled drug, medication, or other substance to a horse at a location under the jurisdiction of the corporation.

(2) The only injectable substance allowed within twenty-four (24) hours prior to post time of the race in which the horse is entered shall be furosemide, as established in Section 6 of this administrative regulation.

(3) Except as provided by subsection (5) of this section, only a veterinarian licensed to practice veterinary medicine in Kentucky and licensed by the corporation may possess a hypodermic needle, syringe, or injectable of any kind at a location under the jurisdiction of the corporation.

(4) A veterinarian licensed to practice veterinary medicine in Kentucky and licensed by the corporation shall use only single-use disposable needles and syringes, and shall dispose of them in a container approved by the corporation veterinarian.

(5) If a person regulated by the corporation has a medical condition that makes it necessary to possess a needle and syringe at a location under the jurisdiction of the corporation, the person shall request prior permission from the stewards or judges and furnish a letter from a licensed physician explaining why it is necessary for the person to possess a needle and syringe. The stewards or judges may grant approval for a person to possess and use a needle and syringe at a location under the jurisdiction of the corporation, but may also establish necessary restrictions and limitations.

(6) A corporation employee may accompany a veterinarian at a location under the jurisdiction of the corporation and take possession of a syringe, needle, or other device used to administer a substance to a horse.

(7) Electronic therapeutic treatments, other than nebulization, shall not be administered to a horse within twenty-four (24) hours prior to post time of a race in which the horse is entered.

Section 4. Certain Permitted Substances. Liniments, antiseptics, antibiotics, ointments, leg paints, washes, and other products commonly used in the daily care of horses may be administered by a person, other than a licensed veterinarian if:

(1) The treatment does not include any drug, medication, or substance otherwise prohibited by this administrative regulation;

(2) The treatment is not injected; and

(3) The person is acting under the direction of a licensed trainer or veterinarian licensed to practice veterinary medicine in Kentucky and licensed by the corporation.

Section 5. Anti-ulcer Medications. The following anti-ulcer medications may be administered orally, at the dosage stated in this section, up to twenty-four (24) hours prior to post time of the race in which the horse is entered:

(1) Cimetidine (Tagamet): eight (8) to twenty (20) milligrams per kilogram;

(2) Omeprazole (Gastrogard): two and two-tenths (2.2) grams;

(3) Ranitidine (Zantac): eight (8) milligrams per kilogram; and

(4) Sucralfate: two (2) to four (4) grams.

Section 6. Furosemide Use on Race Day.

(1) Furosemide may be administered, in accordance with this section, to a horse that is entered to compete in a race, qualifying race, or time trial, except as provided in subsection (6) of this section.

(2) Furosemide shall only be administered prior to a race, qualifying race, or time trial by:

(a) The corporation veterinarian; or

(b) A licensed veterinarian approved by the corporation to perform the administration if the corporation veterinarian is unavailable. If the furosemide is administered by an approved licensed veterinarian, the administering veterinarian shall provide a written report to the corporation veterinarian no later than two (2) hours prior to post time of the race in which the horse receiving the furosemide is competing.

(3) Except as provided in subsection (6) of this section, furosemide may be used if administered:

(a) At a location under the jurisdiction of the corporation where the horse is scheduled to race;

(b) By a single intravenous injection, not less than four (4) hours prior to post time for the race, qualifying race, or time trial in which the horse is entered; and

(4) The specific gravity of a post-race urine sample shall not be below one and one one-hundredths (1.010). If the specific gravity of the post-race urine sample is determined to be below one and one one-hundredths (1.010), a quantification of furosemide in serum or plasma shall be performed by the corporation laboratory. If a horse fails to produce a urine specimen, the corporation laboratory shall perform a quantification of furosemide in the serum or plasma sample. Concentrations above 100 nanograms of furosemide per milliliter of serum or plasma shall constitute a violation of this section.

(5) The initial cost of administering the furosemide shall be twenty (20) dollars per administration. The corporation shall monitor the costs associated with administering furosemide and consult with industry representatives to determine if the cost should be lowered based on prevailing veterinarian services and supplies. The corporation shall maintain records documenting the basis for its determination, and if the cost is determined to be less than twenty (20) dollars per administration, then the corporation shall lower the cost accordingly. The cost shall be prominently posted in the racing office.

(6)

(a) A two (2) year old or stakes horse shall not be administered any drug, medication or other substance, including furosemide, within twenty-four (24) hours of the post time of the race in which the horse is entered. Participation by the horse shall not affect the status of the participating horse on the official authorized bleeder medication list.

(b) The implementation and enforcement of the prohibition in paragraph (a) of this subsection shall begin on:

January 1, 2020 for all two (2) year olds; and
January 1, 2021 for all horses entered to run in a stakes race; including the races comprising the Breeders' Cup World Championships and the races designated as graded stakes by the American Graded Stakes Committee of the Thoroughbred Owners and Breeders Association.

(c) A concentration of furosemide greater than one and zero-tenths (1.0) nanograms per milliliter in serum in a post-race sample shall constitute a violation of this administrative regulation.

Section 7. Furosemide Eligibility.

(1)

(a) Except as provided in Section 6(6) of this administrative regulation, a horse shall be eligible to race with furosemide if the licensed trainer or a licensed veterinarian determines that it would be in the horse's best interests to race with furosemide. Notice that a horse eligible to receive furosemide will race with or without furosemide shall be made at the time of entry to ensure public notification, including publication in the official racing program.

(b) It shall constitute a violation of this administrative regulation if notice is made pursuant to this section that a horse will race with furosemide, and the post-race urine, serum, or plasma does not show a detectable concentration of furosemide in the post-race urine, serum, or plasma.

(2) After a horse has been determined to no longer be required to receive furosemide, the horse shall not be eligible to receive furosemide unless the licensed trainer or a licensed veterinarian determines that it would be in the horse's best interest to race with furosemide and the licensed trainer or a licensed veterinarian complies with the requirements of this section.

Section 8. Permitted Non-steroidal Anti-inflammatory Drugs (NSAIDs).

(1) NSAIDs shall not be administered within forty-eight (48) hours prior to post time for the race in which the horse is entered. The detection in a post-race sample of blood of a detectable concentration of an NSAID, except as allowed by subsection (2) of this section, shall constitute a violation of this administrative regulation. The detection in a post-race sample of blood of more than one (1) of phenylbutazone, flunixin, and ketoprofen in excess of the concentrations permitted by subsection (2) of this section shall constitute a violation of this administrative regulation.

(2)

(a) A finding of phenylbutazone below a concentration of three-tenths (0.3) microgram per milliliter of serum or plasma shall not constitute a violation of this section.

(b) A finding of flunixin below a concentration of five (5) nanograms per milliliter of serum or plasma shall not constitute a violation of this section.

(c) A finding of ketoprofen below a concentration of two (2) nanograms per milliliter of serum or plasma shall not constitute a violation of this section.

Section 9. Anabolic Steroids.

(1) An exogenous AAS shall not be present in a horse that is racing. The detection of an exogenous AAS or metabolic derivative in a post-race sample shall constitute a violation of this administrative regulation.

(2) The detection in a post-race sample of an endogenous AAS or metabolic derivative where the concentration of the AAS or metabolic derivative exceeds naturally occurring physiological levels shall constitute a violation of this administrative regulation. The following shall be deemed to be naturally occurring physiological levels:

(a) Boldenone:

In male horses other than geldings, free and conjugated boldenone fifteen (15) nanograms per milliliter in urine or free boldenone twenty-five (25) picograms per milliliter in serum or plasma; and
In geldings and female horses, free and conjugated boldenone one (1) nanogram per milliliter in urine or free boldenone twenty-five (25) picograms per milliliter in serum or plasma.

(b) Nandrolone:

In geldings, free and conjugated nandrolone one (1) nanogram per milliliter in urine or free nandrolone twenty-five (25) picograms per milliliter in serum or plasma;
In fillies and mares, free and conjugated nandrolone one (1) nanogram per milliliter in urine or free nandrolone twenty-five (25) picograms per milliliter in serum or plasma; and
In male horses other than geldings, forty-five (45) nanograms per milliliter of metabolite, 5α-estrane-313, 17α-diol in urine or a ratio in urine of 5α-estrane-313, 17α-diol to 5α-estrene-313, 17α-diol of >1:1.

In geldings, free and conjugated testosterone twenty (20) nanograms per milliliter in urine or free testosterone one hundred (100) picograms per milliliter in serum or plasma; and
In fillies and mares (unless in foal), free and conjugated testosterone fifty-five (55) nanograms per milliliter in urine or free testosterone one hundred (100) picograms per milliliter in serum or plasma.

(3) The gender of the horse from which a post-race biologic specimen is collected shall be identified to the corporation veterinarian and the testing laboratory.

Section 10. Clenbuterol.

(1) Clenbuterol use shall be prohibited in racing and training unless the conditions established by this subsection are met.

(a) The prescription for clenbuterol shall be made for a specific horse based upon a specific diagnosis.

(b) The veterinarian shall provide a copy of the treatment sheet to the Equine Medical Director or his or her designee for review within twenty-four (24) hours of any administration of clenbuterol.

(c) A horse administered clenbuterol shall be placed on the veterinarian's list for a minimum of twenty-one (21) days after the date of last administration. The horse shall meet all conditions for removal from the list, including blood and urine sampling taken after the twenty-one (21) day period. Both samples shall have no detectable clenbuterol.

(2) A horse shall not be eligible to race until it has completed all the requirements in subsection (1)(c) of this section.

(3) If clenbuterol is detected in a horse's post-race or out of competition sample and appropriate notification as established in subsection (1)(b) of this section was not completed, the horse shall immediately be placed on the veterinarian's list pending the outcome of an investigation. The horse shall be required to meet all conditions for removal from the veterinarian's list as established in subsection (1)(c) of this section.

Section 11. Test Barn.

(1) A licensed association shall provide and maintain a test barn on association grounds.

(2) The test barn shall be a fenced enclosure sufficient:

(a) In size and facilities to accommodate the stabling of horses temporarily detained for the taking of biologic specimens; and

(b) In structural design to prevent entry by unauthorized persons.

(3) The test barn shall be under the supervision and control of the Chief Racing Veterinarian or his or her designee, and no access to individuals other than corporation personnel shall be permitted unless with the permission of the Chief Racing Veterinarian or his or her designee. If association personnel require immediate access to the test barn due to fire or other emergency, the association shall report the access to corporation officials as soon as possible after the emergency.

Section 12. Sample Collection, Testing and Reporting.

(1) Sample collection shall be done in accordance with the procedures provided in this administrative regulation, 810 KAR 8:060, and under the instructions provided by the corporation veterinarian.

(2) The corporation veterinarian, in consultation with the corporation laboratory shall determine a minimum sample requirement which shall be uniform for each horse and which shall be separated into primary and split samples.

(3)

(a) Stable equipment other than that necessary for washing and cooling out a horse shall not be permitted in the test barn.

(b) Buckets and water shall be furnished by the corporation veterinarian.

Be supplied by the trainer; and
Applied only with the permission and in the presence of the corporation veterinarian or his designee.

(d) A licensed veterinarian may attend to a horse in the test barn only with the permission of and in the presence of the corporation veterinarian or his designee.

(4) Within five (5) business days of receipt of notification by the corporation laboratory of a positive finding, the stewards and judges shall notify the owner and trainer orally or in writing of the positive finding.

(5) The stewards or judges shall conduct a hearing pursuant to 810 KAR 9:010 after the conclusion of an investigation of a positive finding. A person charged with a violation may request a continuance, which the stewards or the judges may grant as set forth in 810 KAR 9:010.

Section 13. Storage and Shipment of Split Samples.

(1) Split samples shall be secured and made available for further testing in accordance with the procedures established in this subsection.

(a) Split samples shall be secured in the test barn in the same manner as the primary samples for shipment to the corporation laboratory, as established in Section 12 of this administrative regulation, until the primary samples are packed and secured for shipment to the corporation laboratory. Split samples shall then be transferred to a freezer or refrigerator at a secure location approved and chosen by the corporation.

(b) A freezer or refrigerator for storage of split samples shall be equipped with a lock. The lock shall be secured to prevent access to the freezer or refrigerator at all times except as specifically provided by paragraph (c) of this subsection.

(c) A freezer or refrigerator for storage of split samples shall be opened only for depositing or removing split samples, for inventory, or for checking the condition of samples.

(d) A log shall be maintained by the corporation veterinarian that shall be used each time a split sample freezer or refrigerator is opened to specify each person in attendance, the purpose for opening the freezer or refrigerator, identification of split samples deposited or removed, the date and time the freezer or refrigerator was opened, the time the freezer or refrigerator was closed, and verification that the lock was secured prior to and after opening of the freezer or refrigerator. A corporation veterinarian or his designee shall be present when the freezer or refrigerator is opened.

(e) Evidence of a malfunction of a split sample freezer or refrigerator shall be documented in the log.

(f) The corporation shall be considered the owner of a split sample.

(2)

(a) A trainer or owner of a horse receiving notice of a positive finding may request that a split sample corresponding to the portion of the sample tested by the corporation laboratory be sent to the split sample laboratory. The party requesting the split sample shall select a laboratory solicited and approved by the corporation to perform the analysis.

(b) The request shall be made in writing and delivered to the stewards or judges within three (3) business days after the trainer or owner of the horse receives oral or written notice of the positive finding by the corporation laboratory.

(c) The party requesting the split sample shall select a laboratory solicited and approved by the corporation to perform the analysis within five (5) days after he or she is notified of the split sample laboratories available to test the split sample. If a trainer or owner does not select a laboratory within five (5) days after notification of the available split laboratories, then he or she shall be deemed to have waived the right to split sample analysis.

(d) A split sample so requested shall be shipped within seven (7) days of the date that the trainer or owner provides his or her laboratory selection to the stewards.

(3)

(a) The owner or trainer requesting testing of a split sample shall be responsible for the cost of the testing, including the cost of shipping.

(b) Failure of the owner, trainer, or a designee to appear at the time and place designated by the corporation veterinarian in connection with securing, maintaining, or shipping the split sample shall constitute a waiver of any right to be present during the packaging and shipping of the split sample.

That the split sample laboratory has agreed to provide the testing requested;
That the split sample laboratory has agreed to send results to the corporation; and
That arrangements for payment satisfactory to the split sample laboratory have been made.

Section 14. Split Sample Chain of Custody.

(1) Prior to opening the split sample freezer or refrigerator, the corporation shall provide a split sample chain of custody verification form. The form to be used shall be the Split Sample Chain of Custody Form. The form shall be fully completed during the retrieval, packaging, and shipment of the split sample and shall contain the following information:

(a) The date and time the sample is removed from the split sample freezer or refrigerator;

(b) The sample number; and

(2) A split sample shall be removed from the split sample freezer or refrigerator by a corporation employee after notice to the owner, trainer, or designee thereof and a corporation-designated representative shall pack the split sample for shipment in accordance with the packaging procedures directed by the corporation. The Split Sample Chain of Custody Form shall be signed by both the owner's representative, if present, and the corporation representative to confirm the proper packaging of the split sample for shipment. The exterior of the package shall be secured and sealed to prevent tampering with the package.

(3) The owner, trainer, or designee, if present, may inspect the package containing the split sample immediately prior to transfer to the delivery carrier to verify that the package is intact and has not been tampered with.

(4) The Split Sample Chain of Custody Form shall be completed and signed by the representative of the corporation and the owner, trainer, or designee, if present.

(5) The corporation representative shall retain the original Split Sample Chain of Custody Form and provide a copy to the owner, trainer, or designee, if requested.

Section 15. Medical Labeling.

(1) A drug or medication that, by federal or state law, requires a prescription shall not be used or kept on association grounds unless validly prescribed by a duly licensed veterinarian.

(2) A drug or medication shall bear a prescription label that is securely attached and clearly ascribed to show the following:

(a) The name of the product;

(b) The name, address, and telephone number of the veterinarian prescribing or dispensing the product;

(d) The dosage, duration of treatment, and expiration date of the prescribed or dispensed product; and

(e) The name of the trainer to whom the product was dispensed.

Section 16. Trainer Responsibility.

(1) In the absence of substantial evidence to the contrary, a trainer shall be responsible for the condition of a horse in his or her care.

(2) In the absence of substantial evidence to the contrary, a trainer shall be responsible for the presence of a prohibited drug, medication, substance, or metabolic derivative, including permitted medication in excess of the maximum allowable concentration, in a horse in his or her care.

(3) A trainer shall prevent the administration of a drug, medication, substance, or metabolic derivative that may constitute a violation of this administrative regulation.

(4) A trainer whose horse has been claimed shall remain responsible for a violation of this administrative regulation regarding that horse's participation in the race in which the horse is claimed.

(5) A trainer shall be responsible for:

(a) Maintaining the assigned stable area in a clean, neat, and sanitary condition at all times;

(b) Using the services of those veterinarians licensed by the corporation to attend to horses that are on association grounds;

(d) Promptly reporting the alteration of the sex of a horse to the horse identifier and the racing secretary;

(e) Promptly reporting to the racing secretary and the corporation veterinarian if a posterior digital neurectomy (heel nerving) is performed on a horse in his or her care and ensuring this fact is designated on its certificate of registration;

(f) Promptly reporting to the racing secretary the name of a mare in his or her care that has been bred and is entered to race;

(g) Promptly notifying the corporation veterinarian of a reportable disease or communicable illness in a horse in his or her care;

(h) Promptly reporting the serious injury or death of a horse in his or her care at a location under the jurisdiction of the corporation to the stewards or judges and the corporation veterinarian and ensuring compliance with Section 23 of this administrative regulation and 810 KAR 4:010, Section 14, governing postmortem examinations;

(i) Complying with the medication and recordkeeping requirements in subsection (6) of this section;

(j) Promptly notifying the stewards or judges and the corporation veterinarian if the trainer has knowledge or reason to believe that there has been an administration to a horse of a drug, medication, or other substance prohibited by this administrative regulation or has knowledge or reason to believe that a prohibited practice has occurred as established in Section 21 of this administrative regulation;

(k) Ensuring the fitness of every horse in his or her care to perform creditably at the distance entered;

(l) Ensuring that every horse he or she has entered to race is present at its assigned stall for a pre-race soundness inspection as prescribed by 810 KAR 2:010, Section 4(1)(k);

(m) Ensuring proper bandages, equipment, and shoes;

(n) Ensuring the horse's presence in the paddock at the time prescribed by racing officials before the race in which the horse is entered;

(o) Personally attending in the paddock and supervising the saddling or preparation of a horse in his or her care, unless an assistant trainer fulfills these duties or the trainer is excused by the judges or stewards pursuant to 810 KAR 4:100, Section 3(2)(f); and

(p) Attending the collection of a biologic specimen taken from a horse in his or her care or delegating a licensed employee or the owner to do so.

(6)

(a) A trainer shall maintain a clear and accurate record of any treatment administered to a horse in his or her care.

(b) A trainer shall ensure the transfer of copies of all medical records to the subsequent owner and trainer of a horse.

(d) The stewards and judges may at any time require presentation of a horse's medical records.

Section 17. Licensed Veterinarians.

(1) A veterinarian licensed by the corporation and practicing at a location under the jurisdiction of the corporation shall be considered under the supervision of the corporation veterinarian and the stewards or judges.

(2) A veterinarian shall report to the stewards, judges or the corporation veterinarian a violation of this administrative regulation by a licensee.

Section 18. Veterinary Reports.

(1) A veterinarian who treats a horse at a location under the jurisdiction of the corporation shall submit a Veterinary Report of Horses Treated to be Submitted Daily form to the corporation veterinarian containing the following information:

(a) The name of the horse treated;

(b) The type and dosage of drug or medication administered or prescribed;

(d) The date and time of treatment; and

(e) Other pertinent treatment information requested by the corporation veterinarian.

(2) The Veterinary Report of Horses Treated to be Submitted Daily form shall be signed by the treating practicing veterinarian.

(3) The Veterinary Report of Horses Treated to be Submitted Daily form shall be on file not later than the time prescribed on the next race day by the corporation veterinarian.

(4) The Veterinary Report of Horses Treated to be Submitted Daily form shall be confidential, and its content shall not be disclosed except in the course of an investigation of a possible violation of this administrative regulation or in a proceeding before the stewards, judges or the corporation, or to the trainer or owner of record at the time of treatment.

(5) A timely and accurate filing of a Veterinary Report of Horses Treated to be Submitted Daily form by the veterinarian or his designee that is consistent with the analytical results of a positive test reported by the corporation laboratory may be used as a mitigating factor in determining the appropriate penalties pursuant to 810 KAR 8:030.

(6) A veterinarian having knowledge or reason to believe that a horse entered in a race has received a drug, medication, or substance prohibited under this administrative regulation or has knowledge or reason to believe that a prohibited practice has occurred as established in Section 21 of this administrative regulation shall report this fact immediately to the corporation veterinarian or to the stewards or judges.

(7) A practicing veterinarian shall maintain records of all horses treated and of all medications sold or dispensed. The records shall include:

(a) The name of the horse;

(b) The trainer of the horse;

(d) The drug or compound administered;

(e) The method of administration; and

(f) The diagnosis.

(8) The records shall be retained for at least sixty (60) days after the horse has raced and shall be available for inspection by the corporation.

Section 19. Veterinarian's List.

(1) The corporation veterinarian shall maintain a list of horses determined to be unfit to compete in a race due to illness, physical distress, unsoundness, infirmity, or other medical condition.

(2) A horse may be removed from the veterinarian's list when, in the opinion of the corporation veterinarian, the horse is capable of competing in a race.

(3) The corporation shall maintain a bleeder list of all horses that have demonstrated external evidence of exercise-induced pulmonary hemorrhage during or after a race or workout as observed by the corporation veterinarian.

(4) Every horse that is a confirmed bleeder, regardless of age, shall be placed on the bleeder list and be ineligible to participate in a race (betting or non-betting), qualifying race, time trial, or for the following time periods:

(a) First incident - fourteen (14) days;

(b) Second incident within a 365-day period - thirty (30) days;

(d) Fourth incident within a 365-day period - barred from racing for life.

(5) For the purpose of counting the number of days a horse is ineligible to run, the day after the horse bled externally shall be the first day of the recovery period.

(6) The voluntary administration of furosemide without an external bleeding incident shall not subject a horse to the initial period of ineligibility as established in this section.

Section 20. Distribution of Purses, Barn Searches, and Retention of Samples.

(1) For all races, purse money in thoroughbred and other flat racing shall be paid or distributed pursuant to the process provided in 810 KAR 2:070, Section 27(3), and in standardbred racing, no later than twenty-four (24) hours after notice from the corporation that a final laboratory report has been issued.

(2) The distribution of purse money prior to the issuance of a final laboratory report shall not be considered a finding that no prohibited drug, medication, substance, or metabolic derivative has been administered to a horse.

(3) After the corporation laboratory issues a positive finding the executive director of the corporation or the stewards or judges may authorize and execute an investigation into the circumstances surrounding the incident that is the subject of the positive finding.

(4) If the purse money has been distributed, the stewards or judges shall order the money returned immediately to the association upon notification from the corporation laboratory that a prohibited drug, medication, substance, or metabolic derivative was administered to a horse eligible for purse money.

(5) At the conclusion of testing by the corporation laboratory and split sample laboratory, the remaining portion of the samples at the corporation laboratory and split samples remaining at the test barn may be retained at a proper temperature at a secure facility approved and chosen by the corporation. If a report indicating a positive finding has been issued, the corporation shall use its best reasonable efforts to retain any remaining portion of the sample until legal proceedings have concluded. The corporation may freeze samples.

Section 21. Other Prohibited Practices Constituting a Violation of this Administrative Regulation.

(1) A drug, medication, substance, or device shall not be possessed or used by a licensee, or his designee or agent, within a nonpublic area at a location under the jurisdiction of the corporation:

(a) The use of which may endanger the health and welfare of the horse; or

(b) The use of which may endanger the safety of the rider or driver.

(2) Without the prior permission of the corporation or its designee, a drug, medication, or substance that has never been approved by the United States Food and Drug Administration (USFDA) for use in humans or animals shall not be possessed or used at a location under the jurisdiction of the corporation. The corporation shall determine whether to grant prior permission after consultation with the Equine Drug Research Council.

(3) The following blood-doping agents shall not be possessed or used at a location under the jurisdiction of the corporation:

(a) Erythropoietin;

(b) Darbepoietin;

(d) Hemopure; or

(e) Any substance that abnormally enhances the oxygenation of body tissue.

(4) A treatment, procedure, or therapy shall not be practiced, administered, or applied that may:

(a) Endanger the health or welfare of a horse; or

(b) Endanger the safety of a rider or driver.

(5) Extracorporeal Shock Wave Therapy or Radial Pulse Wave Therapy shall not be used unless the conditions established in this subsection are met.

(a) A treated horse shall not race for a minimum of ten (10) days following treatment.

(b) A veterinarian licensed to practice by the corporation shall administer the treatment.

(d) Prior to administering the treatment, a report shall be submitted by the veterinarian administering the treatment to the corporation veterinarian on the Veterinary Report of Horses Treated with Extracorporeal Shock Wave Therapy or Radial Pulse Wave Therapy.

(6) Other than furosemide, an alkalizing substance that could alter the serum or plasma pH or concentration of bicarbonates or carbon dioxide in a horse shall not be used within twenty-four (24) hours prior to post time of the race in which the horse is entered.

(7) Without the prior permission of the corporation veterinarian or his designee, based on standard veterinary practice for recognized conditions, a nasogastric tube which is longer than six (6) inches shall not be used for the administration of any substance within twenty-four (24) hours prior to post time of the race in which the horse is entered.

(8) A serum or plasma total carbon dioxide (TCO2) level shall not exceed thirty-seven (37.0) millimoles per liter; except, a violation shall not exist if the TCO2 level is found to be normal for the horse following the quarantine procedure established in Section 22 of this administrative regulation.

(9) A blood gas machine shall not be possessed or used by a person other than an authorized representative of the corporation at a location under the jurisdiction of the corporation.

(10) A shock wave therapy machine or radial pulse wave therapy machine shall not be possessed or used by anyone other than a veterinarian licensed by the corporation at a location under the jurisdiction of the corporation.

Section 22. TCO2 Testing and Procedures.

(1)

(a) The stewards, judges, or corporation veterinarian may order the pre-race or post-race collection of blood specimens from a horse to determine the total carbon dioxide concentration in the serum or plasma of the horse. The winning horse and other horses, as selected by the stewards or judges, may be tested in each race to determine if there has been a violation of this administrative regulation.

(b) Pre-race sampling shall be done at a reasonable time, place, and manner directed by the chief state steward in consultation with the corporation veterinarian.

(c) A specimen consisting of at least two (2) blood tubes shall be taken from a horse to determine the TCO2 concentration in the serum or plasma of the horse. If the corporation laboratory determines that the TCO2 level exceeds thirty-seven (37.0) millimoles per liter plus the laboratory's measurement of uncertainty, the executive director of the corporation shall be informed of the positive finding.

(d) Split sample testing for TCO2 may be requested by an owner or trainer in advance of the collection of the specimen by the corporation veterinarian; however, the collection and testing of a split sample for TCO2 testing shall be done at a reasonable time, place, and manner directed by the corporation veterinarian.

(e) The cost of split sample testing, including the cost of shipping, shall be borne by the owner or the trainer.

(2)

(a) If the level of TCO2 is determined to exceed thirty-seven (37.0) millimoles per liter plus the laboratory's measurement of uncertainty and the licensed owner or trainer of the horse certifies in writing to the stewards or judges within twenty-four (24) hours after the notification of the test result that the level is normal for that horse, the owner or trainer may request that the horse be held in quarantine. If quarantine is requested, the licensed association shall make guarded quarantine available for that horse for a period of time to be determined by the steward or judges, but in no event for more than seventy-two (72) hours.

(b) The expense for maintaining the quarantine shall be borne by the owner or trainer.

(d) The horse shall not be permitted to race during a quarantine period, but it may be exercised and trained at times prescribed by the licensed association and in a manner that allows monitoring of the horse by a corporation representative.

(e) During quarantine, the horse shall be fed only hay, oats, and water.

(f) If the corporation veterinarian is satisfied that the horse's level of TCO2, as registered in the original test, is physiologically normal for that horse, the stewards or judges:

Shall permit the horse to race; and
May require repetition of the quarantine procedure established in paragraphs (a) through (f) of this subsection to reestablish that the horse's TCO2 level is physiologically normal.

Section 23. Postmortem Examination.

(1) A horse that dies or is euthanized on the grounds of a licensed association or training center under the jurisdiction of the corporation shall undergo a postmortem examination at the discretion of the corporation and at a facility designated by the corporation, through its designee, as provided in 810 KAR 4:010, Section 14.

(2) The corporation shall bear the cost of an autopsy that is required by the corporation.

(3) The presence of a prohibited drug, medication, substance, or metabolic derivative thereof in a specimen collected during the postmortem examination of a horse may constitute a violation of this administrative regulation.

Section 24. Corticosteroids.

(1) A corticosteroid shall not be administered intra-articularly within fourteen (14) days before post time for the race in which the horse is entered.

(2) The presence of a detectable concentration of more than one (1) corticosteroid in a post-race sample of blood, urine, or any combination of blood and urine shall constitute a violation of this section.

Section 25. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Veterinary Report of Horses Treated to be Submitted Daily", KHRGC 8-010-1, 11/2018;

(b) "Split Sample Chain of Custody Form", KHRGC 8-010-2, 2016; and

(c) "Veterinary Report of Horses Treated with Extracorporeal Shock Wave Therapy or Radial Pulse Wave Therapy", KHRGC 8-010-3, 11/2018.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Horse Racing Corporation, 4047 Iron Works Parkway, Lexington, Kentucky 40511, Monday through Friday, 8:00 a.m. to 4:30 p.m. This material is also available on the corporation's Web site at https://khrc.ky.gov/new_docs.aspx?cat=32.

History

RELATES TO: KRS 230.215, 230.225, 230.240, 230.260, 230.265, 230.290, 230.320, 230.370
STATUTORY AUTHORITY: KRS 230.215(2), 230.225, 230.240(2), 230.260(8), 230.320, 230.370
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2), 230.260(8), and 230.320 authorize the Kentucky Horse Racing and Gaming Corporation to promulgate administrative regulations prescribing conditions under which all legitimate horse racing and wagering thereon is conducted in Kentucky. KRS 230.240(2) requires the commission to promulgate administrative regulations restricting or prohibiting the administration of drugs or stimulants or other improper acts to horses prior to the horse participating in a race. This administrative regulation establishes requirements and controls in the administration of drugs, medications, and substances to horses, governs certain prohibited practices, and establishes trainer responsibilities relating to the health and fitness of horses.
History: 45 Ky.R. 1995; 3165; eff. 5-31-2019; 46 Ky.R. 2542; 47 Ky.R. 320; eff. 8-25-2020; 47 Ky.R. 2152; 48 Ky.R. 29; eff. 10-5-2021; 48 Ky.R. 3043, 49 Ky.R. 564; eff. 12-6-2022; TAm eff. 7-1-2024.

810 KAR 8:020 Drug, medication, and substance classification schedule {#sec-810-kar-8-020 omnilex-key=us-ky-regs-official--title-810--810 KAR 8:020}

Section 1. The Kentucky Horse Racing and Gaming Corporation Uniform Drug, Medication, and Substance Classification Schedule.

(1) This administrative regulation shall establish the respective classifications of all substances contained herein.

(2)

(a) Class A drugs, medications, and substances are those that:

Have the highest potential to influence performance in the equine athlete, regardless of their approval by the United States Food and Drug Administration; or
Lack approval by the United States Food and Drug Administration, but have pharmacologic effects similar to certain Class B drugs, medications, or substances that are approved by the United States Food and Drug Administration.

(b) Class A shall include:

(3)

(a) Class B drugs, medications, and substances are those that:

Are approved by the United States Food and Drug Administration and have a high potential to influence performance in the equine athlete, but less potential than Class A drugs, medications, and substances that are classified at that level because they have the highest potential to influence performance; or
Lack approval by the United States Food and Drug Administration, but have pharmacologic effects similar to certain Class C drugs, medications, or substances that are approved by the United States Food and Drug Administration.

(b) Class B shall include:

(4)

(a) Class C drugs, medications, and substances are those that:

Are approved by the United States Food and Drug Administration and have a lesser potential to influence performance in the equine athlete than Class A drugs, medications, and substances and those Class B drugs, medications, and substances that are classified at that level because they have a high potential to influence performance and are approved by the United States Food and Drug Administration; or
Lack approval by the United States Food and Drug Administration, but have pharmacologic effects similar to certain Class D drugs, medications, or substances that are approved by the United States Food and Drug Administration.

(b) Class C shall include:

(5)

(a) Class D drugs, medications, and substances are those that:

Have a lesser potential to influence performance in the equine athlete than Class A and B drugs, medications, and substances or those Class C drugs, medications, and substances that are classified at that level because they have a lesser potential to influence performance and are not approved by the United States Food and Drug Administration; or
Have a lesser potential to influence performance in the equine athlete than any Class A, B, or C drugs, medications or substances.

(b) Class D shall include:

History

RELATES TO: KRS 230.215, 230.225, 230.240, 230.260, 230.265, 230.290, 230.320, 230.370
STATUTORY AUTHORITY: KRS 230.215(2), 230.225, 230.240(2), 230.260, 230.320, 230.370
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) authorizes the Kentucky Horse Racing and Gaming Corporation (the "corporation") to promulgate administrative regulations prescribing conditions under which all legitimate horse racing and wagering thereon is conducted in Kentucky. KRS 230.240(2) requires the corporation to promulgate administrative regulations restricting or prohibiting the administration of drugs or stimulants or other improper acts to horses prior to the horse participating in a race. This administrative regulation establishes the drug classification schedule in effect in Kentucky for permitted drugs, medications, and substances that may be administered to race horses competing in Kentucky.

810 KAR 8:025 Drug, medication, and substance withdrawal guidelines {#sec-810-kar-8-025 omnilex-key=us-ky-regs-official--title-810--810 KAR 8:025}

Section 1. The Kentucky Horse Racing and Gaming Corporation Withdrawal Guidelines Thoroughbred; Standardbred; Quarter Horse, Appaloosa, and Arabian.

(1) This administrative regulation shall provide certain mandatory treatment requirements, guidance, and advice on medication withdrawal intervals.

(2) These withdrawal guidelines regarding furosemide shall not apply to two (2) year-old or stakes horses pursuant to 810 KAR 8:010, Section 6.

(3)

(a) Unless otherwise specified in these withdrawal guidelines, KAR Title 810, or KRS Chapter 230, the following withdrawal guidelines in this section are voluntary and advisory. The guidelines are recommendations based on current scientific knowledge that may change over time.

(b) A licensee may present evidence of full compliance with these guidelines to the corporation and the stewards as a mitigating factor to be used in determining violations and penalties.

(c) These withdrawal interval guidelines assume that administration of medications will be performed at doses that are not greater than the manufacturer's maximum recommended dosage, or the dosage recommended in this document. Medications administered at dosages above manufacturer's recommendations, in compounded formulations, or in combination with other medications or administration inside the withdrawal interval may result in test sample concentrations above threshold concentrations that could lead to positive test results and the imposition of penalties.

(d) The time of administration of an orally administered substance, for the purposes of withdrawal interval, shall be considered to be the time of complete ingestion of the medication by the horse via eating or drinking.

(e) For products containing multiple medications, the withdrawal time to be used should be no less than the longest identified for any of the individual constituent substances--even if that substance is not present in the highest concentration in the product.

(f) Brand names of medications, where applicable, are listed in parentheses following the generic name of a drug.

(4)

(a) Withdrawal Guidelines. Furosemide shall be administered pursuant to 810 KAR 8:010.

(b) The following substances may be administered or applied up to the scheduled paddock time of the race in which the horse is to compete:

Topical applications, such as liniments, leg paints, salves, and ointments, which may contain antibiotics or DMSO, but do not contain steroids, anesthetics, or any other prohibited substances.
The following substances may be administered up to twenty-four (24) hours prior to the scheduled post time of the race in which the horse is to compete as long as their use follows subsection (3) of this section:

a. Antibiotics, except those containing prohibited drugs, such as Procaine;

b. Antiprotozoals, such as ponazuril (Marquis), toltrazuril (Baycox), sulfamethoxazole/pyrimethamine (Daraprim);

c. Antifungal agents, such as Griseofulvin and Ketoconazole;

d. Certain inhalation agents that do not exhibit bronchodilator properties, such as cromolyn sodium (Intal), and acetylcysteine (Mucomyst);

e. Cimetadine (Tagamet), orally at 20 mg/kg twice daily for 7 doses;

f. Electrolytes, Vitamins, and Minerals, via IV, IM or oral administration;

g. Any oral supplements or nutrients not containing drugs;

h. Hyaluronic Acid (Legend), via IV administration;

i. Misoprostol;

j. Non-Androgenic Reproductive Hormones, such as HCG, Regumate and GnRH, in fillies and mares only;

k. Omeprazole (Gastrogard), orally at 2.2 g once daily for 4 days;

l. Polysulfated glycosaminoglycan (Adequan), via IM administration;

m. Proprionibacterium acnes suspension (Eqstim), or comparable immunostimulants, excluding levamisole;

n. Ranitidine (Zantac), orally at 8 mg/kg twice daily for 7 doses; and

o. Sucralfate.

Non-steroidal anti-inflammatory drugs (NSAIDS):

a. Elected NSAID: Only one of the following three NSAIDS may be administered up to the manufacturer's maximum labeled dosage until forty-eight (48) hours prior to the scheduled post time of the race in which the horse is to compete, as long as their use follows Section 1(3) of this administrative regulation and the requirements of 810 KAR 8:010.

(i) Phenylbutazone (Butazolidin) 4.4 mg/kg, via IV administration only;

(ii) Flunixin Meglumine (Banamine) 1.1 mg/kg, via IV administration only; and

(iii) Ketoprofen (Ketofen) 2.2 mg/kg, via IV administration only.

b. In accordance with the European Horserace Scientific Liaison Committee, the following withdrawal intervals shall be observed for all NSAIDS, except for those established in subparagraph 3.a. of this paragraph, for administration prior to the scheduled post time of the race in which the horse is to compete, as long as their use follows Section 1(3) of this administrative regulation:

(i) Flunixin Meglumine (Banamine) 1.1 mg/kg, via IV administration: 6-day withdrawal interval;

(ii) Phenylbutazone (Butazolidin) 4.4 mg/kg, via IV administration: 7-day withdrawal interval;

(iii) Ketoprofen (Ketofen) 2.2 mg/kg, via IV administration: 4-day withdrawal interval;

(iv) Diclofenac Sodium Topical (Surpass Cream), via a single, 5-inch application: 7- day withdrawal interval; and

(v) Firocoxib (Equioxx) 0.1 mg/kg, via a single oral or IV dose, repeated daily administration: 15-day withdrawal interval from date of last administration.

(5) The following substances have a forty-eight (48) hour withdrawal guidance prior to the scheduled post time of the race in which the horse is to compete as long as their use follows Section 1(3) of this administrative regulation:

(a) Acepromazine (Promace), via IV administration at 0.05 mg/kg;

(b) Butorphanol (Torbugesic), via IV administration at 0.1 mg/kg;

(c) Cetirizine (Zyrtec), orally at 0.4 mg/kg twice daily for 5 doses; although it is recommended that ivermectin should not be administered within forty-eight (48) hours of a race if horse has been administered cetirizine;

(d) Dantrolene (Dantrium), via oral administration at 500 mg total dose;

(e) Detomidine (Dormosedan), via IV administration at 5 mg single dose;

(f) DMSO via IV, oral, or topical administration up to 60 ml;

(g) Glycopyrrolate (Robinol), via IV administration at 1 mg total dose;

(h) Guaifenesin, orally at 2 g twice daily for 5 doses;

(i) Methocarbamol (Robaxin-V), via single IV at 15 mg/kg;

(j) Procaine penicillin, via IM administration at 17 mg/kg; and

(k) Xylazine (Rompun), via IV administration at 200 mg single dose.

(6) The following substances shall not be administered within forty-eight (48) hours of a race:

(a) Beta-2 agonists by inhalation, such as terbutaline, salmeterol, and fenoterol;

(b) Ergot alkaloids, such as Ergonovine and Methergine;

(d) Isoxsuprine; and

(e) Pentoxyphylline (Trental).

(7) The following substances may be administered up to seventy-two (72) hours prior to the scheduled post time of the race in which the horse is to compete as long as their use follows Section 1(3) of this administrative regulation:

(a) Albuterol (Proventil) via inhalation at 720 mcg;

(b) Dexamethasone (Azium), via oral, IV, IM administration at 0.05 mg/kg. However, if another corticosteroid was administered systemically or intra-articularly, this withdrawal guidance shall not apply and a minimum five (5) day withdrawal is recommended;

(d) Mepivacaine (Carbocaine), via subcutaneous administration at 0.07 mg/kg; and

(e) Romifidine (Sedivet), via IV administration at 50 mg.

(8) The following substances may be administered up to ninety-six (96) hours prior to the scheduled post time of the race in which the horse is to compete as long as their use follows Section 1(3) of this administrative regulation:

(a) Hydroxyzine (Atarax); and

(b) Phenytoin (Dilantin).

(9) Reserpine (Serpasil) may be administered up to seven (7) days prior to the scheduled post time of the race in which the horse is to compete as long as its use follows Section 1(3) of this administrative regulation.

(10) The use of an extra-corporeal shock wave therapy or radial pulse wave therapy machine may be performed until ten (10) days prior to the scheduled post time of the race in which the horse is to compete, as long as its use complies with 810 KAR 8:010.

(11) The following substance may be administered up to twenty-one (21) days prior to the scheduled post time of the race in which the horse is to compete, as long as its use follows Section 1(3) of this administrative regulation, and its use complies with 810 KAR 8:010, Section 10: Clenbuterol (Ventipulmin), orally up to 0.8 mcg/kg twice daily

(12) Any horse that has been treated with therapeutic medications found in Section 1 of this administrative regulation may, at the trainer's request and expense, and on permission of a corporation veterinarian, have samples of blood or urine collected by the corporation veterinarian for analysis by the corporation laboratory prior to entry to race in the state of Kentucky.

(a) As a condition of this elective testing, the trainer shall be required to disclose the date and time, dose, and route of administration of the substance for which clearance testing is requested.

(b) A report from the corporation laboratory of a negative finding in this pre-race, elective testing shall not provide a safe harbor for the owner, trainer, veterinarian, or horse. A report from the corporation laboratory of a positive finding in a post-race sample shall be treated as a violation of KAR Title 810, even if there was a negative finding by the corporation laboratory in the clearance testing sample.

(13) The following shall have a fourteen (14) day stand down period for intra-articular injection. Any IA corticosteroid injection within fourteen (14) days shall be a violation:

(a) Betamethasone, via IA administration at 9 mg total dose in a single articular space. Withdrawal time should be increased for use of betamethasone products with a ratio of greater than 1:1 betamethasone acetate to betamethasone sodium phosphate. Intramuscular administration is associated with substantially longer withdrawal times.

(b) Isoflupredone (Predef 2x), via IA administration at 20 mg in a single joint space or 10 mg subcutaneous.

(c) Methyprednisolone (Depo-Medrol), via IA administration at a total dose of less than 100 mg in a single articular space. Intramuscular administration is associated with substantially longer withdrawal times and is not recommended, in accordance with the Racing Medication and Testing Consortium. Clearance testing is recommended in blood and urine prior to entry.

(d) Triamcinolone acetonide (Vetalog), via IA administration at 9 mg total dose in a single articular space. Intramuscular administration is associated with substantially longer withdrawal times.

(14) It is recommended that any horses receiving Fluphenazine (Prolixin) receive pre-race clearance testing.

(15) Withdrawal Guidelines Chart:

(16) NSAID withdrawal guidelines chart:

(17) Miscellaneous withdrawal guidelines chart:

Section 2.

(1) Available Threshold Levels Associated to KHRC Withdrawal Guidelines:

(2) All other NSAIDs not listed on the withdrawal guidelines shall have a threshold set at limit of detection in serum or plasma.

History

RELATES TO: KRS 230.215, 230.225, 230.240, 230.260, 230.265, 230.290, 230.320, 230.370
STATUTORY AUTHORITY: KRS 230.215(2), 230.225, 230.240(2), 230.260, 230.320, 230.370
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) authorizes the Kentucky Horse Racing and Gaming Corporation to promulgate administrative regulations prescribing conditions under which all legitimate horse racing and wagering thereon is conducted in Kentucky. KRS 230.240(2) requires the corporation to promulgate administrative regulations restricting or prohibiting the administration of drugs or stimulants or other improper acts to horses prior to the horse participating in a race. This administrative regulation establishes the withdrawal guidelines for permitted drugs, medications, and substances that may be administered to race horses competing in Kentucky.
History: 47 Ky.R. 2188; 48 Ky.R. 35; eff. 10-5-2021; 47 Ky.R. 2188; 48 Ky.R. 35, 1933; eff. 5-31-2022; TAm eff. 7-1-2024.

810 KAR 8:030 Disciplinary measures and penalties {#sec-810-kar-8-030 omnilex-key=us-ky-regs-official--title-810--810 KAR 8:030}

Section 1. Definitions.

(1) "Associated person" means the spouse of an inactive person, or a companion, family member, employer, employee, agent, partnership, partner, corporation, or other entity whose relationship, whether financial or otherwise, with an inactive person would give the appearance that the other person or entity would care for or train a horse or perform veterinarian services on a horse for the benefit, credit, reputation, or satisfaction of the inactive person.

(2) "Class A drug" means a drug, medication, or substance classified as a Class A drug, medication, or substance in the schedule.

(3) "Class B drug" means a drug, medication, or substance classified as a Class B drug, medication, or substance in the schedule.

(4) "Class C drug" means a drug, medication, or substance classified as a Class C drug, medication, or substance in the schedule.

(5) "Class D drug" means a drug, medication, or substance classified as a Class D drug, medication, or substance in the schedule.

(6) "Companion" means a person who cohabits with or shares living accommodations with an inactive person.

(7) "Inactive person" means a trainer or veterinarian who has his or her license denied or suspended or revoked for thirty (30) or more days pursuant to KAR Title 810 or KRS Chapter 230.

(8) "NSAID" means a nonsteroidal anti-inflammatory drug.

(9) "Schedule" means the Kentucky Horse Racing and Gaming Corporation Uniform Drug, Medication, and Substance Classification Schedule as provided in 810 KAR 8:020.

(10) "Withdrawal guidelines" means the Kentucky Horse Racing and Gaming Corporation Withdrawal Guidelines established in 810 KAR 8:025.

Section 2. General Provisions.

(1) An alleged violation of the provisions of KRS Chapter 230 or KAR Title 810 shall be adjudicated in accordance with this administrative regulation, 810 KAR 9:010, and KRS Chapters 230 and 13B.

(2) If a drug, medication, or substance that is not classified in the schedule is found to be present in a pre-race or post-race sample or possessed or used by a licensee at a location under the jurisdiction of the corporation, the corporation may establish a classification after consultation with either or both of the Association of Racing Commissioners International and the Racing and Medication Testing Consortium or their respective successors.

(3) The stewards, judges, and the corporation shall consider any mitigating or aggravating circumstances properly presented when assessing penalties pursuant to this administrative regulation. Evidence of full compliance with the withdrawal guidelines shall be considered by the stewards, judges, and the corporation as a mitigating factor to be used in determining violations and penalties.

(4) A licensee whose license has been suspended or revoked in any racing jurisdiction or a horse that has been deemed ineligible to race in any racing jurisdiction shall be denied access to locations under the jurisdiction of the corporation during the term of the suspension or revocation.

(5) A suspension or revocation shall be calculated in calendar days, unless otherwise specified by the stewards, judges, or the corporation in a ruling or order.

(6) Notice of the assessment of a penalty, including a written warning, shall be made to the person penalized. The notice and terms of the penalty shall be posted immediately on the official Web site of the corporation and sent to the United States Trotting Association, the Association of Racing Commissioners International, or their successors, as applicable, to be posted on their respective official Web sites. If an appeal is pending, that fact shall be so noted.

(7) A horse administered a substance in violation of 810 KAR 8:010 may be required to pass a corporation-approved examination as determined by the stewards or judges pursuant to 810 KAR 4:010, Section 10 or 810 KAR 5:010, Section 4, or be placed on the veterinarian's list pursuant to 810 KAR 8:010, Section 19.

(8) To protect the racing public and ensure the integrity of racing in Kentucky, a trainer whose penalty for a Class A violation or for a Class B third offense violation has not been finally adjudicated may, if stall space is available, be required to house a horse that the trainer has entered in a race in a designated stall for the twenty-four (24) hour period prior to post time of the race in which the horse is entered. If the stewards or judges require the trainer's horse to be kept in a designated stall, there shall be twenty-four (24) hour surveillance of the horse by the association, and the cost shall be borne by the trainer.

(9) In addition to the penalties contained in Section 4 of this administrative regulation for the trainer and owner, any other person who administers, is a party to, facilitates, or is found to be responsible for any violation of 810 KAR 8:010 shall be subject to the relevant penalty as provided for the trainer or other penalty as may be appropriate based upon the violation.

(10) A veterinarian who administers, is a party to, facilitates, or is found to be responsible for any violation of KRS Chapter 230 or KAR Title 810 shall be reported to the Kentucky Board of Veterinary Examiners and the state licensing Board of Veterinary Medicine by the stewards or judges.

(11) In accordance with KRS 230.320(6), an administrative action or the imposition of penalties pursuant to this administrative regulation shall not constitute a bar or be considered jeopardy to prosecution of an act that violates the criminal statutes of Kentucky.

(12) If a person is charged with committing multiple or successive overages involving a Class C or Class D drug, medication, or substance, the stewards, judges, or the corporation may charge the person with only one (1) offense if the person demonstrates that he or she was not aware that overages were being administered because the positive test results showing the overages were unavailable to the person charged. In this case, the person alleging that he or she was not aware of the overages shall bear the burden of proving that fact to the stewards, judges, or the corporation.

(13) If a penalty for a medication violation requires a horse to be placed on the stewards' list or the judges' list for a period of time, the stewards or judges may waive this requirement if ownership of the horse was legitimately transferred prior to the trainer's notification by the corporation of the positive result.

(14) In standardbred racing only, if the penalty is for a driving violation and does not exceed in time a period of five (5) days, the driver may complete the engagement of all horses declared in before the penalty becomes effective. The driver may drive in stake, futurity, early closing and feature races, during a suspension of five (5) days or less, but the suspension shall be extended one (1) day for each date the driver drives in a race.

(15) A horse shall not be permitted to race while owned or controlled wholly or in part by a person whose license has been suspended or revoked.

(16) An association under the jurisdiction of the corporation shall not willfully allow:

(a) A person whose license has been suspended or revoked in any jurisdiction to participate in racing;

(b) A horse suspended in any jurisdiction to start in a race or a performance against time; or

(c) The use of its track or grounds by a licensee whose license has been suspended or revoked and has been denied access to the grounds by the stewards or judges in any jurisdiction.

(17) If a person is ejected or excluded from a location under the jurisdiction of the corporation, the stewards, judges, and corporation director of security shall be notified in writing.

(18) A licensee that has been suspended shall serve any suspension imposed:

(a) During the current race meet, if there are enough remaining days to serve out the suspension;

(b) During the next regularly scheduled race meet at the operating race track where the infraction took place if there are not enough remaining days to serve out the suspension; or

(c) At the discretion of the stewards or judges, during a race meet at another operating track in any jurisdiction where the licensee seeks to engage in the activity for which he or she is licensed if the track where the infraction took place closes before another race meet is held at that track.

(19) A penalty imposed by the governing body of any racing jurisdiction or the USTA States Trotting Association shall be recognized and reciprocally enforced by the corporation unless application is made for a hearing before the stewards or judges, during which the applicant shall show cause as to why the penalty should not be enforced against him in Kentucky. The hearing shall be limited to the following issues:

(a) Whether the applicant is the same person who is subject to the penalty imposed;

(b) Whether the USTA or other racing jurisdiction in fact suspended the applicant; and

Section 3. Prior Offenses. A prior offense occurring in Kentucky or any other racing jurisdiction shall be considered by the stewards, judges, and the corporation in assessing penalties. The stewards or judges shall attach to a penalty judgment a copy of the offender's prior record listing violations that were committed both inside and outside of Kentucky.

Section 4. Penalties for Class A, B, C, and D Drug Violations and NSAID and Furosemide Violations.

(1) Class A drugs. The penalties established in paragraphs (a) and (b) of this subsection shall apply to a Class A drug violation.

(a) Trainer

(b) Owner

(2)

(a) The penalties established in paragraphs (b) and (c) of this subsection shall apply to the following:

Class B drugs;
Gamma amino butyric acid in a concentration greater than 110 nanograms per milliliter; and
Cobalt in a concentration greater than fifty (50) parts per billion.

(b) Trainer

(3)

(a) The penalties established in paragraphs (b) and (c) of this subsection shall apply to a Class C drug violation and an overage of permitted NSAIDs as follows:

Phenylbutazone in a concentration greater than three-tenths (0.3) micrograms per milliliter;
Flunixin in a concentration greater than five (5) nanograms per milliliter; and
Ketoprofen in a concentration greater than two (2) nanograms per milliliter.

(b) Trainer

(4)

(a) The penalties established in paragraphs (b) and (c) of this subsection shall apply to the following:

Overage of furosemide in a concentration greater than one (1) nanogram per milliliter for horses that are not permitted by 810 KAR 8:010 to receive furosemide within twenty-four (24) hours of the post time of a race in which the horse is entered;
Overage of furosemide in a concentration greater than 100 nanograms per milliliter for horses other than those identified in subparagraph 1. of this paragraph;
Furosemide not identified when notice made that the horse would run on furosemide; and
Cobalt in a concentration greater than twenty-five (25) parts per billion through fifty (50) parts per billion.

(b) Trainer

(d) If a furosemide violation occurs due solely to the actions or inactions of the corporation veterinarian, then the trainer and owner shall not be penalized.

(5) Multiple NSAIDs. The penalties established in paragraphs (a) and (b) of this subsection shall apply to an overage of two (2) permitted NSAIDs: phenylbutazone, flunixin, and ketoprofen.

(a) Trainer

(b) Owner

(6) Class D drugs.

(a) The penalties established in paragraph (b) of this subsection shall apply to a Class D drug violation.

(b) Trainer

Section 5. TCO2 Penalties. The penalties established in subsections (1) and (2) of this section shall apply to a violation of 810 KAR 8:010, Section 21(6), (7), or (8).

(1) Trainer

(2) Owner

Section 6. Shock Wave Machine and Blood Gas Machine Penalties. The penalties established in subsections (1) and (2) of this section shall apply to a violation of 810 KAR 8:010, Section 21(5), (9), or (10).

(1) Trainer

(2) Owner

Section 7. Persons with a Suspended or Revoked License.

(1) A person shall not train a horse or practice veterinary medicine for the benefit, credit, reputation, or satisfaction of an inactive person. The partners in a veterinary practice may provide services to horses if the inactive person does not receive a pecuniary benefit from those services.

(2) An associated person of an inactive person shall not:

(a) Assume the inactive person's responsibilities at a location under the jurisdiction of the corporation;

(b) Complete an entry form for a race to be held in Kentucky on behalf of or for the inactive person or an owner or customer for whom the inactive person has worked; or

(c) Pay or advance an entry fee for a race to be held in Kentucky on behalf of or for the inactive person or an owner or customer for whom the inactive person has worked.

(3) An associated person who assumes the responsibility for the care, custody, or control of an unsuspended horse owned (fully or partially), leased, or trained by an inactive person shall not:

(a) Be paid a salary directly or indirectly by or on behalf of the inactive person;

(b) Receive a bonus or any other form of compensation in cash, property, or other remuneration or consideration;

(c) Make a payment or give remuneration or other compensation or consideration to the inactive person or associated person; or

(d) Train or perform veterinary work for the inactive person or an owner or customer of the inactive person at a location under the jurisdiction of the corporation.

(4) A person who is responsible for the care, training, or veterinary services provided to a horse formerly under the care, training, or veterinary services of an inactive person shall:

(a) Bill customers directly on his or her bill form for any services rendered at or in connection with any race meeting in Kentucky;

(b) Maintain a personal checking account totally separate from and independent of that of the inactive person to be used to pay expenses of and deposit income from an owner or client of the inactive person;

(d) Pay bills related to the care, training, and racing of the horse from a separate and independent checking account. Copies of the invoices for the expenses shall be retained for not less than six (6) months after the date of the reinstatement of the license of the inactive person or the expiration of the suspension of the inactive person's license.

Section 8. Other Disciplinary Measures.

(1) A person who violates 810 KAR 8:010, Section 21(2), shall be treated the same as a person who has committed a drug violation of the same class, as determined by the corporation after consultation with the Equine Drug Research Council.

(2) A person who violates 810 KAR 8:010, Section 21(3), shall be treated the same as a person who has committed a Class A drug violation.

Section 9. Disciplinary Measures by Stewards or Judges. Upon finding a violation or an attempted violation of the provisions of KRS Chapter 230 or KAR Title 810, if not otherwise provided for in this administrative regulation, the stewards or judges may impose one (1) or more of the following penalties:

(1) If the violation or attempted violation may affect the health or safety of a horse or race participant, or may affect the outcome of a race, declare a horse or a licensee ineligible to race or disqualify a horse or a licensee in a race;

(2) Suspend or revoke a person's licensing privileges for a period of time of not more than five (5) years in proportion to the seriousness of the violation and the facts of the case;

(3) Cause a person, licensed or unlicensed, found to have interfered with, or contributed toward the interference of the orderly conduct of a race or race meeting, or person whose presence is found by the stewards or judges to be inconsistent with maintaining the honesty and integrity of the sport of horse racing to be denied access to association grounds or a portion of association grounds; and

(4) Payment of a fine in an amount not to exceed $50,000 as deemed appropriate by the corporation in keeping with the seriousness of the violation and the facts of the case.

Section 10. Disciplinary Measures by the Corporation.

(1) Upon finding a violation or an attempted violation of the provisions of KRS Chapter 230 or KAR Title 810, if not otherwise provided for in this administrative regulation, the corporation may impose one (1) or more of the following penalties:

(a) If the violation or attempted violation may affect the health or safety of a horse or race participant or may affect the outcome of a race, declare a horse or a licensed person ineligible to race or disqualify a horse or licensed person in a race;

(b) Suspend or revoke a person's licensing privileges for a period of time of not more than five (5) years in proportion to the seriousness of the violation;

(c) Cause a person found to have interfered with or contributed toward the interference of the orderly conduct of a race or race meeting, or person whose presence is found by the corporation to be inconsistent with maintaining the honesty and integrity of horse racing, to be denied access to association grounds or a portion of association grounds for a length of time the commission deems necessary;

(d) Payment of a fine of up to $50,000 as deemed appropriate by the corporation in keeping with the seriousness of the violation and the facts of the case.

(2) Upon appeal of a matter determined by the stewards' or judges the corporation may:

(a) Order a hearing de novo of a matter determined by the stewards' or judges; and

(b) Reverse or revise the stewards' or judges' ruling in whole or in part, except as to findings of fact by the stewards' or judges' ruling regarding matters that occurred during or incident to the running of a race and as to the extent of disqualification fixed by the stewards or judges for a foul in a race.

History

RELATES TO: KRS 230.215, 230.260, 230.265, 230.290, 230.300, 230.310, 230.320, 230.361
STATUTORY AUTHORITY: KRS 230.215(2), 230.240(2), 230.260(8), 230.265, 230.320
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) and 230.260(8) authorize the Kentucky Horse Racing and Gaming Corporation to promulgate administrative regulations under which racing shall be conducted in Kentucky. KRS 230.240(2) requires the corporation to promulgate administrative regulations restricting or prohibiting the use and administration of drugs or stimulants or other improper acts to horses prior to the horse participating in a race. This administrative regulation establishes the penalty structure for rule violations and also establishes disciplinary powers and duties of the stewards, judges, and the corporation.
History: 45 Ky.R. 2003; 3171; eff. 5-31-2019; 46 Ky.R. 2747; 47 Ky.R. 326; eff. 8-25-2020; 47 Ky.R. 2167; 48 Ky.R. 39; eff. 10-5-2021; TAm eff. 7-1-2024; Crt eff. 5-20-2026.

810 KAR 8:040 Out-of-competition testing {#sec-810-kar-8-040 omnilex-key=us-ky-regs-official--title-810--810 KAR 8:040}

Section 1. Definitions.

(1) "Endogenous" means a substance that is naturally produced by the healthy body.

(2) "Exogenous" means a substance that is not naturally produced by the healthy body.

(3) "Out of competition testing" means all testing other than:

(a) Pre-race TCO2 testing; and

(b) Post-race testing at a licensed association under the jurisdiction of the corporation.

(4) "Sample" means that portion of a specimen subjected to testing by the corporation laboratory.

(5) "Sampling" means the act of collecting a specimen from a horse.

(6) "Specimen" means blood, urine, or other biologic matter taken or drawn from a horse for testing.

Section 2. Prohibited Substances and Practices.

(1) All substances identified in this administrative regulation shall be prohibited unless specifically permitted. A positive finding by the corporation laboratory of a substance prohibited by this administrative regulation in a specimen taken from a horse designated for testing by a corporation veterinarian or his designee shall be prima facie evidence that a violation has occurred. Any reference to substances in this section does not alter the requirements for testing concentrations in race day samples established in 810 KAR 8:010 and 810 KAR 8:050.

(2) Any pharmacological substance not addressed by this administrative regulation and without current approval by the U.S. Food and Drug Administration for human or veterinary use shall be prohibited at all times without prior approval of the corporation. If a veterinarian seeks approval to use a pharmacological substance not currently approved by the U.S. Food and Drug Administration, the corporation or its designee may consult with the Association of Racing Commissioners International, the Racing and Medication Testing Consortium, or their successors to determine whether to authorize use of the substance.

(3) Therapeutic substances not otherwise prohibited by this administrative regulation may be used if the substances:

(a) Are currently approved for human or veterinary use by the U.S. Food and Drug Administration; and

(b) Are prescribed and administered in the context of a valid veterinarian-client-patient relationship.

(4) Compounded medications not otherwise prohibited by this administrative regulation may be used if the medications:

(a) Are permitted by federal law or the law of the state where the horse is located when the compounded medication is administered; and

(b) Are prescribed and administered in the context of a valid veterinarian-client-patient relationship.

(5)

(a) Except as provided in paragraph (b) of this subsection, the following Anabolic Androgenic Steroids (AAS) shall be prohibited:

Exogenous AAS, such as: 1-androstenediol (5α-androst-1-ene-3β,17β-diol); 1-androstenedione (5α-androst-1-ene-3,17-dione); bolandiol (estr-4-ene-3β,17β-diol); bolasterone; boldenone; boldione (androsta-1,4-diene-3,17-dione); calusterone; clostebol danazol (oxazolopregna-4-en-20-yn-17α-ol); dehydrochlormethyltestosterone (4-chloro-17β-hydroxy-17α-methylandrosta-1,4-dien-3-one); desoxymethyltestosterone (17α-ethyl-5α-androst-2-en-17β-ol); drostanolone; ethylestrenol (19-norpregna-4-en-17α-ol); fluoxymesterone; formebolone; furazabol (17α-methyloxadiazolo-5α-androstan-17β-ol); gestrinone; 4-hydroxytestosterone (4,17β-dihydroxyandrost-4-en-3-one); mestanolone; mesterolone; metandienone (17β-hydroxy-17α-methylandrosta-1,4-dien-3-one); metenolone; methandriol; methasterone (17β-hydroxy-2α,17α-dimethyl-5α-androstan-3-one); methyldienolone (17β-hydroxy-17α- methylestra-4,9-dien-3-one); methyl-1-testosterone (17β-hydroxy-17α-methyl-5α-androst-1-en-3-one); methylnortestosterone (17β-hydroxy-17α-methylestr-4-en-3-one); methyltestosterone; metribolone (methyltrienolone, 17β-hydroxy-17α-methylestra-4,9,11-trien-3-one); mibolerone; nandrolone; 19-norandrostenedione (estr-4-ene-3,17-dione); norboletone; norclostebol; norethandrolone; oxabolone; oxandrolone; oxymesterone; oxymetholone; prostanozol (17β--1'H pyrazolo-5α-androstane); quinbolone; stanozolol; stenbolone; 1-testosterone (17β-hydroxy-5α-androst-1-en-3-one); tetrahydrogestrinone (17-hydroxy-18a-homo-19-nor-17α pregna-4,9,11-trien-3-one); and trenbolone (17β-hydroxyestr-4,9,11-trien-3-one); and
Endogenous AAS or their synthetic esters if administered exogenously: androstenediol (androst-5-ene-3β,17β-diol); androstenedione (androst-4-ene-3,17-dione); dihydrotestosterone (17β-hydroxy-5α-androstan-3-one); prasterone (dehydroepiandrosterone, DHEA, 3β-hydroxyandrost-5-en-17-one); testosterone; and their metabolites and isomers, including but not limited to: 5α-androstane-3α,17α-diol; 5α-androstane-3α,17β-diol; 5α-androstane-3β,17α-diol; 5α-androstane-3β,17β-diol; 5β-androstane-3α, 17β-diol, androst-4-ene-3α,17α-diol; androst-4-ene-3α,17β-diol; androst-4-ene-3β,17α-diol; androst-5-ene-3α,17α-diol; androst-5-ene-3α,17β-diol; androst-5-ene-3β,17α-diol; 4-androstenediol (androst-4-ene-3β,17β-diol); 5-androstenedione (androst-5-ene-3,17-dione); androsterone (3β-hydroxy-5α-androstan-17-one); epi-dihydrotestosterone; epitestosterone; etiocholanolone; 7α-hydroxy-DHEA; 7β-hydroxy- DHEA; 7-keto-DHEA; 19-norandrosterone; 19-noretiocholanolone.

(b) Anabolic steroids may be used out of competition if:

The anabolic steroid is currently approved for human or veterinary use by the U.S. Food and Drug Administration;
The administration is:

a. Performed pursuant to a valid veterinary prescription;

b. Entered into the horse's medical record by the administering veterinarian; and

c. Reported by the administering veterinarian to the corporation no later than twenty-four (24) hours after administration or dispensing of the medication;

The record is made available upon request for inspection by the corporation or its designee; and
The horse is placed on the Veterinarian's List for six (6) months after the last administration of an anabolic steroid or agent.

(6)

(a) Except as provided in paragraph (b) of this subsection, the following anabolic agents shall be prohibited:

Clenbuterol;
Selective androgen receptor modulators (SARMs);
Ractopamine;
Tibolone;
Zeranol; and
Zilpaterol.

(b) Clenbuterol may be administered if the treatment is:

Pursuant to a valid veterinary prescription;
Reported by the administering veterinarian to the corporation no later than 24 hours after administration or dispensing of the medication; and
Otherwise compliant with 810 KAR 8:010, Section 10.

(7) The following substances shall be prohibited:

(a) Erythropoiesis-Stimulating Agents (ESAs), such as darbepoetin (dEPO); erythropoietins (EPO); EPO-Fc; EPOmimetic peptides (EMP), e.g., CNTO 530 and peginesatide; and methoxypolyethylene glycol-epoetin beta (CERA);

(b) Non-erythropoietic EPO-Receptor agonists, such as ARA-290, asialo EPO and carbamylated EPO; and

(c) Hypoxia-inducible factor (HIF) stabilizers, such as cobalt (if detected at concentrations in excess of the threshold prescribed in 810 KAR 8:010, Section 2(4)(b)), and roxadustat (FG-4592); and HIF activators, (e.g., argon, xenon).

(8)

(a) Except as provided in paragraph (b) of this subsection, Chorionic Gonadotropin (CG) and Luteinizing Hormone (LH) and their releasing factors, shall be prohibited in male horses.

(b) Chorionic Gonadatropin (CG) and Luteinizing Hormone (LH) may be used in male horses if:

The treatment is pursuant to a valid veterinary prescription; and
The administering veterinarian files a treatment plan with the corporation prior to administering the medication.

(9)

(a) Except as provided in paragraph (b) of this subsection, Corticotrophin releasing factors and corticotrophin releasing hormones (CCRH) shall be prohibited.

(b) Adrenocorticotrophic Hormone (ACTH) may be used if the treatment is:

Pursuant to a valid veterinary prescription; and
Reported by the administering veterinarian to the corporation no later than twenty-four (24) hours after administration or dispensing of the medication by the veterinarian.

(c) Growth Hormone (GH); Growth Hormone Releasing Hormone (GHRH); CJC-1295, sermorelin and tesamorelin; Growth Hormone Secretagogues (GHS); anamorelin; ipamorelin; GH-Releasing Peptides (GHRPs); alexamorelin; GHRP-6; hexarelin; and pralmorelin (GHRP-2) shall be prohibited.

(d) Venoms and toxins from sources, such as snails, snakes, frogs, and bees and their synthetic analogues, such as ziconotide, shall be prohibited.

(e) Growth factors, such as Fibroblast Growth Factors (FGFs), Hepatocyte Growth Factor (HGF), Insulin-like Growth Factor-1 (IGF-1) and its analogues, Mechano Growth Factors (MGFs), Platelet-Derived Growth Factor (PDGF), Vascular-Endothelial Growth Factor (VEGF) and any other growth factor affecting muscle, tendon or ligament protein synthesis/degradation, vascularization, energy utilization, regenerative capacity or fiber type switching shall be prohibited.

(10) Platelet rich plasma (PRP) and autologous conditioned plasma (IRAP) may be used if the treatment is:

(a) Pursuant to a valid veterinary prescription; and

(b) Reported to the corporation's representative at the time of sampling if administered within the preceding twenty-four (24) hours.

(11) All beta-2 agonists, such as all optical isomers (i.e., d- and l-) where relevant, shall be prohibited.

(12) Clenbuterol and albuterol may be used if the treatment is:

(a) Pursuant to a valid veterinary prescription;

(b) Reported by the administering veterinarian to the corporation no later than twenty-four (24) hours after administration or dispensing of the medication by the veterinarian; and

(13)

(a) Except as established in paragraphs (b) and (c) of this subsection, hormone and metabolic modulators shall be prohibited such as:

Aromatase inhibitors, such as aminoglutethimide, anastrozole, androsta-1,4,6-triene-3,17-dione (androstatrienedione), 4-androstene-3,6,17 trione (6-oxo), exemestane, formestane, letrozole, testolactone;
Selective estrogen receptor modulators (SERMs), such as raloxifene, tamoxifen, toremifene;
Other anti-estrogenic substances, such as clomiphene, cyclofenil, fulvestrant;
Agents modifying myostatin function(s), such as myostatin inhibitors;
Activators of the AMP-activated protein kinase (AMPK), such as 5-Aminoimidazole-4-carboxamide ribonucleotide (AICAR); and Peroxisome Proliferator Activated Receptor δ (PPARδ) agonists such as GW 1516;
Insulins;
Trimetazidine; and
Thyroxine, and thyroid modulators/hormones such as T4 (tetraiodothyronine/thyroxine), T3 (triiodothyronine), or combinations thereof.

(b) Thyroxine (T4) may be used:

The treatment is pursuant to a valid veterinary prescription; and
A treatment report is filed in writing or electronically with the corporation within twenty-four (24) hours of the administration or dispensing of the medication by the veterinarian.

(c) Altrenogest may be used in fillies and mares if the treatment is pursuant to a valid veterinary prescription. Altrenogest may be used is permitted in intact males if the treatment is:

Pursuant to a valid veterinary prescription; and
The administering veterinarian files a treatment plan with the corporation prior to administering the medication.

(14)

(a) Except as provided in paragraphs (b) and (c) of this subsection, diuretics shall be prohibited, such as acetazolamide, amiloride, bumetanide, canrenone, chlorthalidone, ethacrynic acid, indapamide, metolazone, spironolactone, thiazides, such as bendroflumethiazide, chlorothiazide, hydrochlorothiazide, torsemide, triamterene, vasopressin receptor antagonists or vaptans, such as tolvaptan.

(b) Furosemide and trichlormethiazide may be used out of competition if the treatment is:

Pursuant to a valid veterinary prescription; and
Reported at the time of sampling if administered within the preceding twenty-four (24) hours.

(c) Other diuretics, including those established in paragraph (a) of this subsection, may be administered in an emergency if the treatment is:

Pursuant to a valid veterinary prescription; and
Reported to the corporation within twenty-four (24) hours of administration.

(15) Masking agents, such as desmopressin, plasma expanders (such as glycerol; intravenous administration of albumin, dextran, and hydroxyethyl starch), and probenecid, shall be prohibited.

(16) The administration or reintroduction of any quantity of autologous, allogenic (homologous) or heterologous blood or red blood cell products of any origin into the circulatory system shall be prohibited.

(17) Artificially enhancing the uptake, transport or delivery of oxygen, with perfluorochemicals, efaproxiral (RSR13), hemoglobin products, hemoglobin-based blood substitutes, and microencapsulated hemoglobin products (excluding supplemental oxygen) shall be prohibited.

(18)

(a) Except as provided in paragraph (b) of this subsection, any form of intravascular manipulation of the blood or blood components by physical or chemical means shall be prohibited.

(b) The use of a hyperbaric oxygen chamber shall not be a violation of this administrative regulation.

(19) Polymers of nucleic acids or nucleic acid analogues shall not be transferred unless prior approval is requested and received from the corporation or its designee.

(20) The use of normal or genetically modified hematopoietic cells shall be prohibited.

(21) Mesenchymal stem cells may be used for treatment of musculoskeletal disorders, if the treatment is:

(a) Entered by the veterinarian in the horse's medical record, which record shall be made available to a designee of the corporation upon request;

(b) Pursuant to a valid veterinary prescription; and

Section 3. Out-of-Competition Testing.

(1) Any horse eligible to race in Kentucky shall be subject to testing without advance notice for the substances specified in Section 2 of this administrative regulation. A horse shall be presumed eligible to race in Kentucky if:

(a) It is under the care, custody, or control of a trainer licensed by the corporation;

(b) It is owned by an owner licensed by the corporation;

(d) It has raced at an association licensed pursuant to KRS 230.300 within the previous twelve (12) calendar months;

(e) It is stabled on the grounds of an association licensed pursuant to KRS 230.300 or a training facility subject to the jurisdiction of the corporation; or

(f) It is nominated to participate in the Kentucky Thoroughbred Development Fund, the Kentucky Standardbred Development Fund, or the Kentucky quarter horse, paint horse, Appaloosa and Arabian Development Fund.

(2) A horse subject to testing under subsection (1) of this section may be designated for testing by the executive director, the chief state steward, chief judge, or their respective designee.

(3) An owner, trainer, or any authorized designee shall fully cooperate with the corporation veterinarian, or his or her designee, by:

(a) Locating and identifying any horse designated for out-of-competition testing;

(b) Making the horse available for the collection of the specimen at a place designated by the corporation veterinarian, or his or her designee; and

If the owner, trainer or their authorized designee, is not available to observe the collection of the specimen, the collection shall be deferred until the trainer, owner, or their authorized designee becomes reasonably available, but the collection shall occur no later than six (6) hours after notice of intent to collect a specimen from a horse is issued by the corporation veterinarian or his or her designee.
If the collection does not occur within the time provided for in this subsection, any horse that is designated for testing may be barred from racing in Kentucky and placed on the veterinarian's list, pursuant to 810 KAR 8:010, Section 18, and the steward's list or judges' list, for a period of 180 days and the owner and trainer of the horse may be subject to the penalties described in Section 8 of this administrative regulation.

(4) Responsible persons.

(a) The trainer of the horse shall be responsible for the condition of a horse sampled for an out-of-competition test while on the grounds of a licensed training facility or racetrack.

(b) If the horse is sampled while not on the grounds of a licensed training facility or racetrack, the owner shall be presumed to be the responsible person unless the owner can establish, by substantial evidence, that another licensed person had accepted the responsibility for the care, custody, and control of the horse, making that person the responsible person.

(c) If a horse sampled for an out-of-competition test was claimed, sold, or otherwise transferred during the time the substance giving rise to the positive test may have been administered, then the corporation shall investigate to determine, by a preponderance of the evidence, the identity of the responsible person at the time the substance may have been administered.

(d) If the corporation cannot determine a responsible person, then the corporation may deem the owner responsible and may place the horse on the veterinarian's list for as long as is necessary to protect the integrity of racing.

(e) If a horse designated for testing is sampled at a location not under the jurisdiction of the corporation, the trainer or his designee may declare at the time of sampling any reportable substances that have been administered to the horse but have not previously been disclosed to the corporation.

Section 4. Specimen Collection.

(1) A specimen shall be collected from any horse designated by the executive director, the chief state steward, the presiding judge, or their designee, whether the horse is located in Kentucky or in another jurisdiction.

(2) If a designated horse is located in another jurisdiction, the executive director or corporation veterinarian may select a veterinarian from that jurisdiction's racing corporation or regulatory entity to collect the specimen.

(3) At a licensed association or training facility under the jurisdiction of the corporation, the corporation veterinarian, or his or her designee, may collect a specimen from a horse designated for testing at any time.

(4) At a location other than the grounds of a licensed association or a training facility under the jurisdiction of the corporation, the corporation veterinarian, or his or her designee, shall collect the specimen between the hours of 7 a.m. and 6 p.m., prevailing time, and shall notify orally or in writing the owner, trainer, or their designee before arriving to collect the specimen.

(5) A licensed association or training facility under the jurisdiction of the corporation at which a horse designated for testing is located shall cooperate fully in the collection of the specimen.

Section 5. Minimum and split samples. The corporation veterinarian, in consultation with the official laboratory, shall determine minimum and split sample requirements as established at 810 KAR 8:010, Section 12.

Section 6. Sample Storage and Testing.

(1) Any out of competition sample collected pursuant to this administrative regulation shall be stored in a temperature controlled unit at a secure location chosen by the corporation until the sample is submitted for testing. The samples shall be secured under conditions established by the corporation veterinarian in accordance with 810 KAR 8:010, Section 13.

(2) The corporation is the owner of an out of competition specimen.

(3) A trainer or owner of a horse receiving notice of a report of finding from the corporation may request that a split sample corresponding to the portion of the sample tested by the corporation laboratory be sent to a split sample laboratory which has documented its proficiency in detecting the substance associated with the report of finding and has been approved by the corporation.

(4) Split samples shall be subject to 810 KAR 8:010, Sections 12 and 13, and the chain of custody of any split sample shall be maintained in accordance with 810 KAR 8:010, Section 14.

(5) The cost of testing a split sample, including shipping, shall be borne by the owner or trainer requesting the test.

Section 7. Notice of Violation and Hearing. Within five (5) business days of receipt by the stewards or judges of notification of a violation of this administrative regulation, the stewards or judges shall notify the owner and trainer orally or in writing of the violation and shall schedule a stewards' or judges' hearing within fourteen (14) calendar days of notification by the stewards or judges to the owner and trainer. The hearing may be continued if the stewards or judges determine a continuation is necessary to accommodate the parties.

Section 8. Penalty. A trainer, owner, responsible person, or any other individual who violates this administrative regulation shall be subject to the following penalties:

(1) A positive finding of a substance prohibited by this administrative regulation shall be subject to the penalties for that substance established in 810 KAR 8:010, 810 KAR 8:020, 810 KAR 8:025, and 810 KAR 8:030.

(2) If the owner, trainer, or any authorized designee fails to cooperate or otherwise prevents a horse from being tested, the horse designated for testing shall be barred from racing in Kentucky and placed on the veterinarian's list, pursuant to 810 KAR 8:010, Section 19, and the steward's list or judges' list, for 180 days, and the individual or individuals responsible for the failure to cooperate or prevention of the horse from being tested shall be subject to the penalties established in subsection (4) of this section.

(3) A horse that is barred from racing in Kentucky and placed on the Veterinarian's List and the steward's list, or judges' list pursuant to subsection (4)(b) or subsection (5) of this section shall remain barred from racing and shall remain on the veterinarian's list and the steward's list or judge's list:

(a) Upon sale or transfer of the horse to another owner or trainer until the expiration of 180 days; and

(b) Until the horse is determined by the corporation to test negative for any substance prohibited by this administrative regulation and is approved for racing by the corporation veterinarian and the chief state steward or presiding judge.

(4)

(a) Willful failure to make a horse available for sampling, tampering with or attempting to tamper in order to alter the integrity and validity of a sample, including urine substitution or adulteration, or any other deceptive acts or interference in the sampling process, shall be penalized as follows:

For a first offense, a Class A penalty as established in 810 KAR 8:030; or
For a second offense, permanent license revocation.

(b) A horse that is not produced for out of competition testing shall be placed on the Veterinarian's List for a minimum of 180 days.

(5) Failure to report treatment as required by this administrative regulation shall be penalized as follows:

(a) For a first offense, a warning; or

(b) For a second or subsequent offense, a Class D penalty as established in 810 KAR 8:030.

(6) Upon finding a violation of this administrative regulation, the horse in which the presence of a substance described in Section 2 of this administrative regulation was detected shall be barred from racing in Kentucky and placed on the veterinarian's list pursuant to 810 KAR 8:010, Section 19, and the stewards' or judges' list, for a period of up to 180 days and shall remain barred from racing in Kentucky until the horse is determined by the corporation to test negative for any substance described in Section 2 of this administrative regulation and is approved for racing by the corporation veterinarian and the chief state steward or presiding judge.

(7) Upon finding a violation of this administrative regulation, the horse in which the presence of a substance described in Section 2 of this administrative regulation was detected shall remain subject to the requirements of subsection (4) of this section:

(a) Upon sale or transfer of the horse to another owner or trainer before the expiration of 180 days; and

(b) Until the horse is determined by the corporation to test negative for any substance described in Section 2 of this administrative regulation and is approved for racing by the corporation veterinarian and the chief state steward or presiding judge.

History

RELATES TO: KRS 230.215, 230.225(5), 230.240, 230.260, 230.290, 230.300, 230.310, 230.320, 230.370
STATUTORY AUTHORITY: KRS 230.215(2), 230.240(2), 230.260(11)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) authorizes the Kentucky Horse Racing and Gaming Corporation to promulgate administrative regulations prescribing conditions under which horse racing shall be conducted in Kentucky. KRS 230.240(2) requires the corporation to promulgate administrative regulations restricting or prohibiting the use and administration of drugs or stimulants or other improper acts to horses prior to the horse participating in a race. This administrative regulation establishes sampling and testing procedures for prohibited substances, and establishes penalties for individuals found to be in violation of this administrative regulation.
History: 45 Ky.R. 2009, 3176; eff. 5-31-2019; 47 Ky.R. 2174; 48 Ky.R. 44; eff. 10-5-2021; TAm eff. 7-1-2024; Crt eff. 5-20-2026.

810 KAR 8:050 International Medication Protocol as a Condition of a Race {#sec-810-kar-8-050 omnilex-key=us-ky-regs-official--title-810--810 KAR 8:050}

Section 1. Definition. "International Medication Protocol" means a condition of a race that all horses nominated or entered to compete in the race shall not be administered furosemide less than twenty-four (24) hours prior to post time for the race.

Section 2. Notwithstanding any other provision of KAR Title 810 to the contrary, an association may require adherence to the International Medication Protocol as a condition of a particular race. The association shall publish the requirement in its condition book or otherwise make the requirement known to all licensees participating in its race meeting. The horses entered to compete in an International Medication Protocol race shall not be eligible to receive furosemide less than twenty-four (24) hours prior to post time for the race. All matters related to sample collection, ownership, storage, shipment, chain of custody, testing, and reporting and other applicable provisions shall be done in accordance with 810 KAR 8:010, 810 KAR 8:030, and 810 KAR 8:060.

Section 3. Penalties. If the corporation laboratory determines the presence of furosemide at a concentration of greater than 1,000 picograms/ml in a serum sample, derived post-race from a horse that is not eligible to receive furosemide pursuant to this administrative regulation, it shall be prima facie evidence that furosemide was administered to the horse in violation of this administrative regulation. Violations of this administration regulation shall be subject to the penalties provided for Class C drug violations in 810 KAR 8:030, Section 4(3).

Section 4. To the extent of any conflict between a provision in this administrative regulation and a provision in any other administrative regulation contained in KAR Title 810, the provisions in this administrative regulation shall supersede.

History

RELATES TO: KRS 230.210, 230.215, 230.240, 230.260, 230.290, 230.320
STATUTORY AUTHORITY: KRS 230.215, 230.240, 230.260, 230.290, 230.320
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) authorizes the Kentucky Horse Racing and Gaming Corporation to promulgate administrative regulations prescribing conditions under which all legitimate horse racing and wagering thereon is conducted in Kentucky. KRS 230.240(2) requires the corporation to promulgate administrative regulations restricting or prohibiting the administration of drugs or stimulants or other improper acts to horses prior to the horse participating in a race. This administrative regulation authorizes licensed racing associations to require adherence to International Medication Protocol, as defined, as a condition of entry in a particular race.
History: 45 Ky.R. 2014; eff. 5-31-2019; TAm eff. 7-1-2024; Crt eff. 5-20-2026.

810 KAR 8:060 Post-race sampling and testing procedures {#sec-810-kar-8-060 omnilex-key=us-ky-regs-official--title-810--810 KAR 8:060}

Section 1. Test Barn. In addition to the procedures established in 810 KAR 8:010, Section 11, the corporation shall require the following procedures:

(1) A security guard employed by a licensed association shall regulate access to the test barn during and immediately following each race; and

(2) All individuals who wish to enter the test barn shall be:

(a) Currently licensed by the corporation;

(b) Display their corporation identification badge; and

Section 2. Race Classifications for Sampling.

(1) For races with purses of $2,500 or less:

(a) The horse finishing first shall be sampled and a portion of the specimen shall be designated as a gold sample; and

(b) The chief state steward, presiding judge, or his or her designee, may select one or more other horses to be sampled and shall designate a portion of each specimen as a red sample or a gold sample in accordance with Section 4 of this administrative regulation.

(2) For races with purses that exceed $2,500 but are less than $200,000:

(a) The horse finishing first and at least one (1) other horse shall be sampled;

(b) The chief state steward, presiding judge, or his or her designee, shall designate a portion of each specimen as a red sample or a gold sample in accordance with Section 4 of this administrative regulation; and

(3) For races with purses of $200,000 or more:

(a) The horses finishing first, second, and third shall be sampled;

Section 3. Selection of Horses and Designation of Samples.

(1) In selecting horses for sampling and designating portions of specimens as gold samples or red samples, the chief state steward, presiding judge, or his or her designee, shall consider all information available, including:

(a) The performance of a horse favored to win the race by the wagering patrons;

(b) The performance of horses considered to be long-shots to win the race by the wagering patrons;

(d) A trainer's recent statistical performance in relation to his or her historical statistical performance; and

(e) Security intelligence.

(2) The chief state steward, presiding judge, or his or her designee shall notify the test barn promptly upon completion of a race as to which horse or horses shall be sampled.

(3) Prior to the close of business on the date of sampling, the chief state steward, presiding judge, or his or her designee shall notify the test barn in writing regarding which samples are designated as gold samples and which samples are designated as red samples.

Section 4. Sampling.

(1) A horse designated for sampling by the stewards or judges shall proceed immediately to the test barn following each race to have a specimen collected under the direction of the corporation veterinarian.

(2) If an adequate specimen cannot be obtained from a horse designated for sampling within sixty (60) minutes after arrival at the testing barn, the corporation veterinarian may require an individual employed by the corporation to accompany the horse from the test barn to its stall and remain with the horse until an adequate specimen is obtained.

(3) All sampling shall be performed in accordance with 810 KAR 8:010, Section 12.

(4) Split samples shall be subject to the provisions and procedures established in 810 KAR 8:010, Section 13, and the chain of custody of any split sample shall be maintained in accordance with the procedures established in 810 KAR 8:010, Section 14.

Section 5. Shipment and Testing.

(1) All gold samples and red samples shall be labeled and sent to the corporation laboratory for testing in accordance with the procedures established in 810 KAR 8:010, Section 12.

(2) A technician at the corporation laboratory shall create a log of each sample received and enter the color code into the Laboratory Information Management System or other information management system approved by the corporation.

(3) All gold samples shall be tested.

(4) Fifty (50) percent of all red samples shall be randomly selected by the Laboratory Information Management System, or other information management system approved by the corporation, and tested.

(5) All red samples that are not selected for testing shall be frozen or refrigerated and retained pursuant to a contract between the corporation and the corporation laboratory.

(6) If a sample tests positive for a prohibited substance by 810 KAR Chapter 8, all specimen or specimens collected from horses who competed in the same race shall be tested.

(7) All testing and reports shall be completed in accordance with 810 KAR 8:010 and 810 KAR 8:030.

History

RELATES TO: KRS 230.215, 230.240, 230.260, 230.265(2), 230.290(2), 230.320(1)
STATUTORY AUTHORITY: KRS 230.215(2), 230.240(2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) authorizes the Kentucky Horse Racing and Gaming Corporation (the "corporation") to promulgate administrative regulations prescribing conditions under which all legitimate horse racing and pari-mutuel wagering thereon is conducted in Kentucky. KRS 230.240(2) requires the corporation to promulgate administrative regulations restricting or prohibiting the administration of drugs or stimulants or other improper acts to horses prior to the horse participating in a race. This administrative regulation establishes requirements and controls in post-race sampling and testing to ensure that prohibited substances are not used.
History: 45 Ky.R. 2016; 3180; eff. 5-31-2019; 47 Ky.R.1281; eff. 7-6-2021; TAm eff. 10-11-2021, TAm eff. 7-1-2024.

810 KAR 8:070 Bisphosphonates {#sec-810-kar-8-070 omnilex-key=us-ky-regs-official--title-810--810 KAR 8:070}

Section 1. Horses Under Four (4) Years of Age.

(1) A horse under four (4) years of age shall not be administered a bisphosphonate.

(2) If a bisphosphonate is detected in an out-of-competition or post-race sample from a horse under four (4) years of age:

(a) The trainer, owner, or responsible person shall be in violation of this administrative regulation; and

(b) The horse shall be placed on the Veterinarian's List for a minimum of six (6) months from the date of sampling.

Section 2. Horses Four (4) Years of Age or Older.

(1) A bisphosphonate may be administered to a horse four (4) years of age or older if the bisphosphonate is:

(a) Approved by the Food and Drug Administration for use in the horse;

(b) Administered according to the label requirements; and

(2) The corporation shall be notified within twenty-four (24) hours of the administration of any bisphosphonate to a horse.

(3) If a horse is administered a bisphosphonate, the horse shall be placed on the Veterinarian's List for a minimum of six (6) months after the last administration.

(4) If a bisphosphonate is detected in an out-of-competition or post-race sample from a horse four (4) years of age or older and the corporation has not received a timely notification of an administration under subsection (2) of this section or the administration of the bisphosphonate does not meet the requirements of subsection (1) of this section:

(a) The trainer, owner, or responsible person shall be in violation of this administrative regulation; and

(b) The horse shall be placed on the Veterinarian's List for a minimum of six (6) months from the date of sampling.

History

RELATES TO: KRS 230.215, 230.225, 230.240, 230.260, 230.265, 230.290, 230.320, 230.370
STATUTORY AUTHORITY: KRS 230.215(2), 230.225, 230.240(2), 230.260(8), 230.320, 230.370
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2), 230.260(8), and 230.320 authorize the Kentucky Horse Racing and Gaming Corporation to promulgate administrative regulations prescribing conditions under which all legitimate horse racing and wagering thereon is conducted in Kentucky. KRS 230.240(2) requires the corporation to promulgate administrative regulations restricting or prohibiting the administration of drugs or stimulants or other improper acts to horses prior to the horse participating in a race. This administrative regulation establishes requirements and controls in the administration of certain drugs, medications, and substances to horses, governs certain prohibited practices, and establishes trainer responsibilities relating to the health and fitness of horses.
History: 46 Ky.R. 2574; eff. 8-25-2020; TAm eff. 7-1-2024.

Chapter 9 Hearings and Appeals

810 KAR 9:010 Hearings, reviews, and appeals {#sec-810-kar-9-010 omnilex-key=us-ky-regs-official--title-810--810 KAR 9:010}

Section 1. Public Disclosures.

(1) The corporation or its executive director may publicly disclose information regarding an alleged regulatory violation, if this information will not unduly impact any investigation, in accordance with the following provisions:

(a) After notice to the racing participant, the corporation or its executive director may publicly disclose the identity of any racing participant who is accused of an alleged regulatory violation and the identity of the horse at issue;

(b) After both the corporation and racing participant receive testing results pursuant to 810 KAR 8:010 and 810 KAR 8:060, the corporation or its executive director may publicly disclose the alleged conduct or the alleged amount and type of the medication, drug, or substance that gave rise to the alleged regulatory violation;

(c) At any time, the corporation or its executive director may publicly disclose the date of an upcoming stewards' hearing; or

(d) At any time, the corporation or its executive director may publicly disclose other information in the best interests of racing.

(2) Situations giving rise to the disclosure of information by the corporation or its executive director may include the following:

(a) Information pertaining to an alleged regulatory violation has been previously publicly disclosed by the racing participant or any employee or agent of the racing participant;

(b) In the case of an alleged medication violation:

The corporation's laboratory has returned a positive finding and the racing participant has been notified of the results of the split sample pursuant to 810 KAR 8:010; or
The corporation's laboratory has returned a positive finding and the racing participant has not exercised his or her right to further laboratory testing; or

Section 2. Stewards' and Judges' Hearings.

(1) A stewards' or judge's hearing, as applicable, shall be conducted by a state steward or a state judge unless waived in writing by the party charged with the violation. A stewards' or judges' hearing shall be conducted no more than sixty (60) days after either:

(a) The racing participant is notified of an alleged violation; or

(b) If the racing participant requests split laboratory results, the date on which the participant receives those results.

(2) The stewards or judges may extend the sixty (60) day deadline in their sole discretion, upon demonstration of exigent circumstances.

(3) At least two (2) stewards or judges shall be present at all times during the hearing. All three (3) stewards or judges shall review the evidence and testimony prior to issuing a ruling. A ruling shall be made by all three (3) stewards or judges sitting in the matter.

(4) A party charged with a violation, other than a routine riding offense occurring in a race, shall be given written notice of the stewards' or judges' hearing, unless waived in writing by the party charged.

(5) Public attendance at stewards' and judges' hearings shall be allowed. This section shall not limit the authority of the presiding stewards or judges to order closure of a hearing or to make other protective orders to the extent necessary or proper to satisfy the United States Constitution, the Kentucky Constitution, federal or state statute, or other law, such as laws protecting privileged, confidential, or other protected information.

(6) A state steward or a state judge shall conduct the hearing to ascertain and determine the substantial rights of the parties involved and shall not be bound by technical rules of procedure and evidence.

(7) Testimony shall be given under oath and a record shall be kept by use of an audio recorder or by court reporter's transcript. The party charged with the violation may waive the recording and the transcription of the testimony. The stewards or judges shall not be required to receive testimony if the ruling is based solely upon a review of the race replay.

(8) If, after the hearing, the stewards or judges find that a statute or an administrative regulation has been violated, they shall promptly issue a written ruling setting forth the:

(a) Full name of every person charged with the violation;

(b) Identification of licensees charged with the violation;

(c) Statute or administrative regulation number and pertinent parts of the statute or administrative regulation violated;

(d) Findings; and

(e) Penalty.

(9) Copies of the ruling shall be delivered to:

(a) Each party in interest;

(b) The corporation; and

(c) The office of the Association of Racing Commissioners International, and in Standardbred racing, to the United States Trotting Association.

(10) A party who is the subject of an order or ruling of the stewards or judges may apply for a corporation hearing pursuant to KRS Chapter 13B, except as to:

(a) Determinations of whether a horse or horses in a race shall be disqualified for fouls committed during the race; or

(b) Findings of fact as to matters occurring during and incident to the running of a race.

(11) An application to the corporation for review of a stewards' or judges' order or ruling shall be made within ten (10) days after the order or ruling is issued in writing on the "Notice of Appeal," KHRGC 9-010-1.

(12) An application to the executive director for a stay of a stewards' or judges' order or ruling shall be made in writing within ten (10) days after the order or ruling is issued on the "Request for Stay Pending Appeal", KHRGC 9-010-2.

Section 3. Frivolous Appeals. The corporation may determine that an appeal of a stewards' or judges' order or ruling, or any other administrative appeal to the racing corporation by a licensee or other person participating in Kentucky horse racing, is frivolous. An appeal shall be presumed to be frivolous if:

(1) The applicant seeks review by the corporation but fails, without good cause, to appear for proceedings;

(2) The applicant attends the corporation hearing but fails, without good cause, to offer evidence to support the application for review; or

(3) The appeal is totally lacking in merit and appears to have been taken in bad faith.

Section 4. Corporation Hearings.

(1) Except if precluded by another provision of KRS Chapter 230 or this administrative regulation, corporation hearings shall be conducted in accordance with KRS Chapter 13B.

(2) Copies of final corporation orders or rulings related to licensing of individuals shall be forwarded to the office of the Association of Racing Commissioners International, and, in standardbred racing, to the United States Trotting Association.

Section 5. Appeal from Corporation Order. A person or licensee aggrieved by an order or decision of the corporation may appeal to the Franklin Circuit Court in accordance with KRS 230.330.

Section 6. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) The "Notice of Appeal", KHRGC 9-010-1, 11/2018; and

(b) The "Request for Stay Pending Appeal", KHRGC 9-010-2, 11/2018.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Horse Racing and Gaming Corporation, 4047 Iron Works Parkway, Lexington, Kentucky 40511, Monday through Friday, 8:00 a.m. to 4:30 p.m. This material is also available on the KHRC Web site at http://khrc.ky.gov.

History

RELATES TO: KRS Chapter 13B, 230.215(2), 230.310(2), 230.320, 230.330
STATUTORY AUTHORITY: KRS 230.215(2), 230.320, 230.370
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215 vests the Kentucky Horse Racing and Gaming Corporation with plenary power to promulgate administrative regulations prescribing conditions under which all legitimate horse racing and wagering thereon is conducted in the Commonwealth. KRS 230.320(1) authorizes the corporation to promulgate administrative regulations under which any license may be denied, suspended, or revoked, and under which any licensee or other person participating in Kentucky horse racing may be assessed an administrative fine or required to forfeit or return a purse. KRS 230.320(3) requires the corporation to grant an appeal and administrative hearing in accordance with KRS Chapter 13B to any person whose license is denied, suspended, or revoked or who is assessed an administrative fine or required to return a purse. KRS 230.320(5) authorizes the corporation to determine that certain appeals are frivolous and requires prescription of the factors leading to such a determination. KRS 230.370 authorizes the corporation to promulgate any reasonable and necessary administrative regulation for the conduct of hearings before it. This administrative regulation establishes the procedures for administrative hearings and appeals held pursuant to KRS Chapter 230 and establishes parameters for frivolous appeals.
History: 45 Ky.R. 2018; 3181; eff. 5-31-2019; 48 Ky.R. 3050, 49 Ky.R. 570; eff. 12-6-2022; TAm eff. 7-1-2024.

Title 810 KAR — Public Protection Cabinet - Kentucky Horse Racing Commission

Chapter 1 Thoroughbred Racing

810 KAR 001:001 Definitions ro 810 KAR Chapter 1 {#sec-810-kar-001-001 omnilex-key=us-ky-regs-official--title-810--810 KAR 001:001}

Chapter 2 General

810 KAR 2:001 Definitions for 810 KAR Chapter 2 {#sec-810-kar-2-001 omnilex-key=us-ky-regs-official--title-810--810 KAR 2:001}

810 KAR 2:010 Corporation and administrative staff {#sec-810-kar-2-010 omnilex-key=us-ky-regs-official--title-810--810 KAR 2:010}

810 KAR 2:020 Thoroughbred and flat racing officials {#sec-810-kar-2-020 omnilex-key=us-ky-regs-official--title-810--810 KAR 2:020}

810 KAR 2:030 Chemical dependency {#sec-810-kar-2-030 omnilex-key=us-ky-regs-official--title-810--810 KAR 2:030}

810 KAR 2:040 Stewards {#sec-810-kar-2-040 omnilex-key=us-ky-regs-official--title-810--810 KAR 2:040}

810 KAR 2:050 Judges and Standardbred Racing Officials {#sec-810-kar-2-050 omnilex-key=us-ky-regs-official--title-810--810 KAR 2:050}

810 KAR 2:060 Owners' authorized agents and jockey agents {#sec-810-kar-2-060 omnilex-key=us-ky-regs-official--title-810--810 KAR 2:060}

810 KAR 2:070 Thoroughbred and other flat racing associations {#sec-810-kar-2-070 omnilex-key=us-ky-regs-official--title-810--810 KAR 2:070}

810 KAR 2:080 Standardbred racing associations {#sec-810-kar-2-080 omnilex-key=us-ky-regs-official--title-810--810 KAR 2:080}

810 KAR 2:090 Temporary unsuitability of licensed premises {#sec-810-kar-2-090 omnilex-key=us-ky-regs-official--title-810--810 KAR 2:090}

810 KAR 2:100 Self-exclusion {#sec-810-kar-2-100 omnilex-key=us-ky-regs-official--title-810--810 KAR 2:100}

Chapter 3 Licensing

810 KAR 3:001 Definitions for 810 KAR Chapter 3 {#sec-810-kar-3-001 omnilex-key=us-ky-regs-official--title-810--810 KAR 3:001}

810 KAR 3:010 Licensing of racing associations {#sec-810-kar-3-010 omnilex-key=us-ky-regs-official--title-810--810 KAR 3:010}

810 KAR 3:020 Licensing of racing participants {#sec-810-kar-3-020 omnilex-key=us-ky-regs-official--title-810--810 KAR 3:020}

810 KAR 3:030 Licensing totalizator companies {#sec-810-kar-3-030 omnilex-key=us-ky-regs-official--title-810--810 KAR 3:030}

810 KAR 3:040 Advance deposit account wagering {#sec-810-kar-3-040 omnilex-key=us-ky-regs-official--title-810--810 KAR 3:040}

810 KAR 3:050 Simulcast facilities {#sec-810-kar-3-050 omnilex-key=us-ky-regs-official--title-810--810 KAR 3:050}

Chapter 4 Flat and Steeplechase Racing

810 KAR 4:001 Definitions for 810 KAR Chapter 4 {#sec-810-kar-4-001 omnilex-key=us-ky-regs-official--title-810--810 KAR 4:001}

810 KAR 4:010 Horses {#sec-810-kar-4-010 omnilex-key=us-ky-regs-official--title-810--810 KAR 4:010}

810 KAR 4:020 Weights {#sec-810-kar-4-020 omnilex-key=us-ky-regs-official--title-810--810 KAR 4:020}

810 KAR 4:030 Entries, subscriptions, and declarations {#sec-810-kar-4-030 omnilex-key=us-ky-regs-official--title-810--810 KAR 4:030}

810 KAR 4:040 Running of the race {#sec-810-kar-4-040 omnilex-key=us-ky-regs-official--title-810--810 KAR 4:040}

810 KAR 4:050 Claiming races {#sec-810-kar-4-050 omnilex-key=us-ky-regs-official--title-810--810 KAR 4:050}

810 KAR 4:060 Objections and complaints {#sec-810-kar-4-060 omnilex-key=us-ky-regs-official--title-810--810 KAR 4:060}

810 KAR 4:070 Jockeys and apprentices {#sec-810-kar-4-070 omnilex-key=us-ky-regs-official--title-810--810 KAR 4:070}

810 KAR 4:080 Steeplechase racing {#sec-810-kar-4-080 omnilex-key=us-ky-regs-official--title-810--810 KAR 4:080}

810 KAR 4:090 Race horse owners {#sec-810-kar-4-090 omnilex-key=us-ky-regs-official--title-810--810 KAR 4:090}

810 KAR 4:100 Trainers {#sec-810-kar-4-100 omnilex-key=us-ky-regs-official--title-810--810 KAR 4:100}

Chapter 5 Standardbred Racing

810 KAR 5:001 Definitions for 810 KAR Chapter 5 {#sec-810-kar-5-001 omnilex-key=us-ky-regs-official--title-810--810 KAR 5:001}

810 KAR 5:010 Registration and identification of horses {#sec-810-kar-5-010 omnilex-key=us-ky-regs-official--title-810--810 KAR 5:010}

810 KAR 5:020 Eligibility and classification {#sec-810-kar-5-020 omnilex-key=us-ky-regs-official--title-810--810 KAR 5:020}

810 KAR 5:030 Claiming races {#sec-810-kar-5-030 omnilex-key=us-ky-regs-official--title-810--810 KAR 5:030}

810 KAR 5:040 Farm, corporate, or stable name {#sec-810-kar-5-040 omnilex-key=us-ky-regs-official--title-810--810 KAR 5:040}

810 KAR 5:050 Stakes and futurities {#sec-810-kar-5-050 omnilex-key=us-ky-regs-official--title-810--810 KAR 5:050}

810 KAR 5:060 Entries and starters {#sec-810-kar-5-060 omnilex-key=us-ky-regs-official--title-810--810 KAR 5:060}

810 KAR 5:070 Running of the race {#sec-810-kar-5-070 omnilex-key=us-ky-regs-official--title-810--810 KAR 5:070}

810 KAR 5:080 Kentucky Proud Series {#sec-810-kar-5-080 omnilex-key=us-ky-regs-official--title-810--810 KAR 5:080}

Chapter 6 Pari-Mutuel Wagering

810 KAR 6:001 Definitions for 810 KAR Chapter 6 {#sec-810-kar-6-001 omnilex-key=us-ky-regs-official--title-810--810 KAR 6:001}

810 KAR 6:010 Exotic wagering {#sec-810-kar-6-010 omnilex-key=us-ky-regs-official--title-810--810 KAR 6:010}

810 KAR 6:020 Calculation of payouts and distribution of pools {#sec-810-kar-6-020 omnilex-key=us-ky-regs-official--title-810--810 KAR 6:020}

810 KAR 6:030 Pari-mutuel wagering {#sec-810-kar-6-030 omnilex-key=us-ky-regs-official--title-810--810 KAR 6:030}

Chapter 7 Incentive and Development Funds

810 KAR 7:010 Backside Improvement Fund {#sec-810-kar-7-010 omnilex-key=us-ky-regs-official--title-810--810 KAR 7:010}

810 KAR 7:020 Kentucky thoroughbred breeders' incentive fund {#sec-810-kar-7-020 omnilex-key=us-ky-regs-official--title-810--810 KAR 7:020}

810 KAR 7:030 Kentucky Thoroughbred Development Fund {#sec-810-kar-7-030 omnilex-key=us-ky-regs-official--title-810--810 KAR 7:030}

810 KAR 7:040 Kentucky Standardbred Development Fund and Kentucky Standardbred Breeders' Incentive Fund {#sec-810-kar-7-040 omnilex-key=us-ky-regs-official--title-810--810 KAR 7:040}

810 KAR 7:050 Kentucky Horse Breeders' Incentive Fund {#sec-810-kar-7-050 omnilex-key=us-ky-regs-official--title-810--810 KAR 7:050}

810 KAR 7:060 Kentucky Paint Horse, Appaloosa, and Arabian Development Fund {#sec-810-kar-7-060 omnilex-key=us-ky-regs-official--title-810--810 KAR 7:060}

810 KAR 7:070 Violations, discipline, disputes, and investigation {#sec-810-kar-7-070 omnilex-key=us-ky-regs-official--title-810--810 KAR 7:070}

810 KAR 7:080 Kentucky Quarter Horse Development Fund {#sec-810-kar-7-080 omnilex-key=us-ky-regs-official--title-810--810 KAR 7:080}

Chapter 8 Medication Guidelines

810 KAR 8:010 Medication; testing procedures; prohibited practices {#sec-810-kar-8-010 omnilex-key=us-ky-regs-official--title-810--810 KAR 8:010}

810 KAR 8:020 Drug, medication, and substance classification schedule {#sec-810-kar-8-020 omnilex-key=us-ky-regs-official--title-810--810 KAR 8:020}

810 KAR 8:025 Drug, medication, and substance withdrawal guidelines {#sec-810-kar-8-025 omnilex-key=us-ky-regs-official--title-810--810 KAR 8:025}

810 KAR 8:030 Disciplinary measures and penalties {#sec-810-kar-8-030 omnilex-key=us-ky-regs-official--title-810--810 KAR 8:030}

810 KAR 8:040 Out-of-competition testing {#sec-810-kar-8-040 omnilex-key=us-ky-regs-official--title-810--810 KAR 8:040}

810 KAR 8:050 International Medication Protocol as a Condition of a Race {#sec-810-kar-8-050 omnilex-key=us-ky-regs-official--title-810--810 KAR 8:050}

810 KAR 8:060 Post-race sampling and testing procedures {#sec-810-kar-8-060 omnilex-key=us-ky-regs-official--title-810--810 KAR 8:060}

810 KAR 8:070 Bisphosphonates {#sec-810-kar-8-070 omnilex-key=us-ky-regs-official--title-810--810 KAR 8:070}

Chapter 9 Hearings and Appeals

810 KAR 9:010 Hearings, reviews, and appeals {#sec-810-kar-9-010 omnilex-key=us-ky-regs-official--title-810--810 KAR 9:010}

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