N.Y. Comp. Codes R. & Regs. tit. 9 § 4038.5

Current through Register Vol. 46, No. 19, May 8, 2024

Section 4038.5 - Requirements for claim; determination by stewards

(a) Form of claim and deposit requirements.

(1) All claims shall be in writing, sealed in an envelope and deposited in a locked box provided for this purpose by the racing secretary or the racing secretary's designee, at least 10 minutes before post time. Claim slip forms must be in a form prescribed by the stewards, must be completely filled out and must, in the judgment of the stewards, be sufficiently accurate to identify the claim, otherwise the claim will be void. No money shall accompany the claim.

(2) Each person desiring to make a claim, unless the person has such amount to the person's credit with the association, must first deposit with the association the whole amount of the claim, in a manner approved by the racing secretary or designee for which a receipt will be given. Unless funds of the claimant available in the claimant's account with the association are sufficient, in the judgment of the stewards, to pay the cost of any post-race testing requested on the claim form by the claimant, the commission shall not conduct such testing. If such funds are sufficient, an amount sufficient to pay for the post-race testing requested on the claim form shall be frozen in such claimant's account to secure anticipated costs of testing.

(b) Disposition of claim. If there is one claim for a horse, the right of claim to such horse shall be awarded to such claimant, subject to rights to void the claim set forth in this Part. If more than one claimant enters a claim for the same horse, then the disposition of the horse shall be decided by lot by the racing secretary. The racing secretary shall, before conducting such disposition by lot, ensure that each potential claimant is eligible to claim pursuant to this Part. The right of claim to the horse shall be awarded to the claimant thereby decided by lot.

(c) Voiding claim award to an ineligible claimant.

(1) Through objection by a horseperson. Any party wishing to contest the award of a right of claim to a horse shall make such objection in writing to the stewards no later than one hour after the conclusion of the race from which the horse was claimed (notwithstanding any time period set forth in Part 4039 of this Article or otherwise), setting forth the nature of the objection.

(2) Through initiative of the stewards. The stewards may determine, but only within 24 hours after the running of a race,

(i) that the claimant had been ineligible to make the claim; or

(ii) that the lease or the entry of a horse was not made in good faith but was made for the purpose of obtaining the privilege of entering a claim, in which case the stewards shall invoke the procedures set forth in paragraph (3) of this subdivision.

(3) Procedure for determining timely objection to a claim or potential voiding of a claim through the initiative of the stewards.

(i) The stewards shall promptly arrange a time, the same day of the race in the case of an objection or the same or next day in the case of a potential voiding of a claim through the initiative of the stewards, at which the following parties, each of whom may be represented by a trainer or other designated person, shall have a right to be heard: the party making an objection, if any; the owner who entered the horse in the race; any party that made a claim for the horse; and the racing secretary. After hearing such parties, the stewards shall make a prompt decision.

(ii) If the stewards determine that the right of claim should not have been awarded to the presumptive claimant, then the stewards shall void such claim. If one eligible potential claimant remains, the racing secretary shall verify the eligibility of such potential claimant and, if the potential claimant is eligible, the stewards shall award the right of claim to such claimant. If more than one eligible potential claimant remains, the racing secretary shall verify that each such potential claimant is eligible to make the claim and then the stewards shall supervise the racing secretary in conducting a disposition by lot from among such eligible potential claimants. The right of claim to the horse shall be awarded to the claimant thereby decided by lot.

(iii) As set forth in section 4038.9 of this Part, no eligible potential claimant shall be permitted to withdraw a claim at any stage of the process set forth in this paragraph to consider the voiding of a claim or the award of the right to claim to an alternate party.

(iv) If the stewards void a claim pursuant to this subdivision and there are no other eligible potential claimants, then the horse shall be returned to the owner who had entered the horse in the claiming race.

(v) There shall be no appeal to the commission of the disposition of a horse made pursuant to this section, notwithstanding any provision to the contrary in this Chapter.

(vi) Responsibility for any expenses relating to the care of a horse from the time of delivery of the horse after the race to the time alternative custody of the horse is determined pursuant to the subdivision shall remain with the party that had incurred such expenses.

(4) Potential discipline of persons relating to an ineligible potential claimant. Nothing in this section shall impair the ability of the stewards or the commission to impose sanctions upon a party or person involved in making a claim while the potential claimant is ineligible to do so, upon track personnel who fail to verify eligibility of a potential claimant before the awarding of a right to claim, or upon a potential claimant who leased or entered a horse not in good faith as described in subparagraph (ii) of paragraph (2) of this subdivision.

(d) Passing of ownership of horse, testing and voidability. Claimed horses shall be taken after the race to the test barn for a determination of soundness and for any test samples to be collected. The person determined by the stewards to have the right of claim shall become the owner of the horse when the race is started, whether the horse is sound or unsound or injured before or during the race or after the race, except that:

(1) the claim is voidable at the discretion of the new owner pursuant to the conditions stated in section 4038.19 of this Part unless the age or sex of such horse has been misrepresented, and subject to the provisions of subdivision (e) of this section; and

(2) a claim shall be void for any horse that dies during a race or is euthanized on the track following a race;

(3) a claim is voidable at the discretion of the new owner, for a period of one hour after the race is made official, for any horse that is vanned off the track after the race;

(4) a claim is voidable at the discretion of the new owner if the horse is placed on the veterinarian's list following an examination by the State veterinarian or other veterinarian who has been designated by the commission to examine claimed horses in the test barn following the race for a determination of soundness for either of the following reasons:

(i) the horse is grade two lame or higher on the American Association of Equine Practitioners lameness grading scale, meaning the lameness of the horse is consistently apparent under certain circumstances (e.g., weight carrying, circling, inclines, hard surface) even if such lameness is difficult to observe when the horse is at a walk or trotting in a straight line; or

(ii) the claimed horse has bled visibly from a nostril (epistaxis) that is attributable, because the bleeding is not caused wholly by a wound or superficial injury, to an episode of exercise induced pulmonary hemorrhage.

When a horse is placed on the veterinarian's list pursuant to this paragraph, the claimant shall be deemed to have voided the claim and the horse shall be removed from the test barn area by the original owner, unless the claimant or a representative of the claimant is present at the test barn to be informed of the determination of the State or designated veterinarian and, upon being informed of the veterinarian's findings, decides immediately to accept the horse;

(5) a claim shall be void for any horse that is scratched before the race is started; and

(6) a claim shall be void if the stewards determine, pursuant to subdivision (c) of this section,

(i) that the claimant had been ineligible to make the claim; or

(ii) that the lease or the entry of a horse was not made in good faith but was made for the purpose of obtaining the privilege of entering a claim.

(e) Testing for equine infectious anemia. In the event a horse is claimed, and the claimant has indicated on the claiming blank an election to have a test for equine infectious anemia performed and has paid the prescribed fee for such test, a blood sample shall be taken by the State veterinarian, and the sample identified as being from a claimed horse shall be forwarded within 24 hours to an approved laboratory to be tested for equine infectious anemia. Pending the receipt of a negative test for equine infectious anemia the monies paid for the claimed horse shall be held by the track. In the event of a positive test for equine infectious anemia the ownership of the claimed horse shall revert to the owner from whom the horse was claimed and the claiming monies shall be returned to the person or persons who claimed the horse. The cost of the test is to be borne by the claimant.

(f) Provision of records of corticosteroid injections. The previous trainer of a claimed horse shall, within 48 hours after the race is made official, provide to the new owner an accurate record of all corticosteroid joint injections that were administered to the horse within 30 days before the race.

N.Y. Comp. Codes R. & Regs. Tit. 9 § 4038.5

Amended New York State Register February 10, 2016/Volume XXXVIII, Issue 06, eff.2/10/2016

Amended New York State Register June 3, 2020/Volume XLII, Issue 22, eff. 6/3/2020

Amended New York State Register December 28, 2022/Volume XLIV, Issue 52, eff. 12/28/2022