New York State Gaming Commission Rules and Regulations 9 NYCRR §§ 4000-4082.3 Chapter I (Division of Horse Racing and Pari-Mutuel Wagering) Subchapter A (Thoroughbred Racing) PART 4080 New York State Thoroughbred Breeding and Development Fund Section 4080.1 Authority 4080.2 Interpretation 4080.3 Administration 4080.4 Registration and de-registration 4080.5 Sanctions § 4080.1. Authority. Pursuant to Laws of 1979, chapter 507, the New York State Thoroughbred Breeding and Development Fund (the fund) hereby designates the registry of the New York State Thoroughbred Breeders, Inc. (breeders association) as the official registry of New York-bred thoroughbred horses, which registry shall be administered by the fund pursuant to such arrangements with such breeders association as shall be established from time to time. § 4080.2. Interpretation. The rules in this Article shall be administered by the fund and questions of interpretation and intent shall be determined by the fund. § 4080.3. Administration. Procedures for establishing compliance with or satisfaction of such rules shall be established by the fund and administered by its executive director. § 4080.4. Registration and de-registration. No horse shall be considered as a New York-bred thoroughbred unless such horse is so registered by the fund. Should the fund be satisfied that grounds exist to cancel or void a registration it may so determine and order any monies of the fund due any person as a result of such questionable registration held, and if paid, to be returned to the fund for proper disposition. In addition, pending such determination, the fund shall be empowered to order retention of such monies as may be payable as a result of any questionable registration, for proper disposition, upon its final determination. § 4080.5. Sanctions. For good cause shown the fund may order that any individual shall be disqualified from participating as a beneficiary of such fund for such time as it may determine appropriate. 147 updated (5/14) New York State Gaming Commission Rules and Regulations 9 NYCRR §§ 4000-4082.3 Chapter I (Division of Horse Racing and Pari-Mutuel Wagering) Subchapter A (Thoroughbred Racing) PART 4081 New York-Bred Eligibility Section 4081.1 Definitions 4081.2 Registration as a New York-bred 4081.3 Bred back in New York State 4081.4 Permanently quartered and remained in New York 4081.5 Proof of qualifications 4081.6 Duty to cooperate 4081.7 Disqualification for cruelty, abuse or neglect of horses 4081.8 New York State Gaming Commission § 4081.1. Definitions. (a) As used in this Article, the following terms shall mean: (1) Breeder means the owner of the mare (dam) at the time the mare (dam) foals a New York-bred. (2) Breeders association means New York Thoroughbred Breeders, Incorporated. (3) Dam means the female parent of a horse. (4) Foal means the offspring of a sire and dam; being born. (5) Foaled means born. (6) Fund means the New York State Thoroughbred Breeding and Development Fund. (7) Horse, except where from the context it appears otherwise, means horse, stallion, mare, gelding, ridgling, colt or filly. (8) New York-bred means a thoroughbred that is registered in the registry designated and administered by the fund in accordance with the rules of this Article. (9) New York stallion means a thoroughbred stallion standing in New York State and registered with the fund in accordance with law. (10) Registry means the New York-bred registry of the breeders association administered by the fund. (11) Sire means the male parent of a horse. (12) Thoroughbred means a horse registered or qualified for registration as thoroughbred by The Jockey Club. 148 updated (5/14) New York State Gaming Commission Rules and Regulations 9 NYCRR §§ 4000-4082.3 Chapter I (Division of Horse Racing and Pari-Mutuel Wagering) Subchapter A (Thoroughbred Racing) (b) Inquiries. Questions regarding these rules and regulations, procedures, application forms or other similar matters may be directed to the executive director of the fund at the fund offices, One Broadway Center, Suite 600, Schenectady, New York 12305. Telephone (518) 395-5400. § 4081.2. Registration as a New York-bred. In order to qualify for registration as a New York-bred, a thoroughbred horse must have been foaled in New York State and: (a) If such horse was conceived in New York State by a registered New York stallion at the time of conception, the dam of such horse must have remained in New York State for a minimum of 90 days after foaling or the dam must have remained in New York continuously from the time of conception until she foaled. (b) If such horse was not conceived in New York State by a stallion registered as a New York stallion at the time of conception, the dam of such horse must have been bred back in New York State to a registered New York stallion in the year of foaling and must have remained in New York State for a minimum of 90 days after the date of foaling. (c) The horse conceived as a result of such breed-back shall not qualify for registration as New York-bred unless: (1) the dam of such horse shall have remained a minimum of 90 days after the date of foaling; or (2) the dam shall have remained in New York State continuously from the time of conception until it foaled. § 4081.3. Bred back in New York State. To qualify as having been bred back in New York, a mare, after foaling in New York State, shall remain in New York for the applicable period of such year. During such applicable period, such mare shall be booked exclusively to and serviced exclusively by a registered New York sire. Should such mare fail to be so certified as in foal during such period, it may be taken from the State after the applicable period of such year and be deemed “bred back” provided it is not serviced by a nonregistered New York sire thereafter in the year. Should such mare die or otherwise become medically unfit for breeding during or after foaling, it shall be considered “bred back” if such mare had been booked for service to a registered New York stallion in such year and, if alive, was not serviced by a nonregistered New York sire thereafter during such year or the following year. § 4081.4. Permanently quartered and remained in New York. To qualify as permanently quartered or as having remained in New York State for a minimum of 90 days after the date of foaling in New York State, a mare shall be continuously present and available for examination within the State during the applicable period except that: 149 updated (5/14) New York State Gaming Commission Rules and Regulations 9 NYCRR §§ 4000-4082.3 Chapter I (Division of Horse Racing and Pari-Mutuel Wagering) Subchapter A (Thoroughbred Racing) (a) Such mare may be removed from the State for racing or medical treatment elsewhere upon such notice requirements as the fund may direct, for a period of up to 30 consecutive days, or extended period as may be granted by the fund. (b) If such mare dies during such period, no prior arrangements had been made to remove such mare permanently from the State during such applicable period. § 4081.5. Proof of qualifications. It shall be the burden of the applicant for registration to establish by proof satisfactory to the fund that a horse is qualified under these rules for registration. Should a question arise subsequent to registration as to the validity of such registration, it shall be the burden of the party or parties asserting such validity to establish the validity thereof. § 4081.6. Duty to cooperate. (a) It shall be the duty of every person concerned with the steps required for registration to cooperate with the fund, its employees and agents in their attempt to verify eligibility requirements, including but not limited to: (1) affording such access to the premises and place where any horse may be personally seen and inspected during regular business hours; (2) furnishing relevant information and records as may be requested concerning eligibility requirements; (3) attendance and participation at interviews or proceedings concerning the eligibility of any horse for which such person may be able to furnish relevant information; (4) such other reasonable requests as may be made from time to time. (b) If the fund finds that a person has failed to cooperate as required in this section, it may impose such sanctions as it deems appropriate, including disqualifying such person from breeder's awards, stallion awards, and purses earned in New York-bred races. § 4081.7. Disqualification for cruelty, abuse or neglect of horses. (a) Any individual or any entity that is charged with the commission of a crime, offense or other violation of the law involving cruelty to, abuse or neglect of, any horses within the State of New York or elsewhere within the United States, shall be required to report such charge to the fund within 10 days thereof. Upon notice of the charge, the individual or entity may be suspended from receiving breeder's awards, stallion awards and owners awards pending final disposition of said charge. The suspension of such individual or entity shall attach upon adoption of a resolution of the board. In the event of such suspension, the Fund Board shall provide written notification to the individual or entity who may request an opportunity to be heard. Such individual or entity shall not receive any breeders awards, stallion awards and owner awards, pending the final disposition of the charge. Said monies shall be placed in an interest bearing account pending final disposition of the charge.