491—10.5  (99D)  Trainer, jockey, and jockey agent responsibilities.
	   10.5(1) Trainer.
	      a.    	  Responsibility. The trainer is responsible for:
	       (1)  	  The condition of horses entered in an official workout or race and, in the absence of substantial evidence to the contrary, for the presence of any prohibited drug, medication or other substance, including permitted medication in excess of the maximum allowable level, in such horses, regardless of the acts of third parties. A positive test for a prohibited drug, medication, or substance, including permitted medication in excess of the maximum allowable level, as reported by a commission-approved laboratory, is prima facie evidence of a violation of this rule or Iowa Code chapter 99D.
	       (2)  	  Preventing the administration of any drug, medication, or other prohibited substance that may cause a violation of these rules. An “in-today” sign must be placed by 8 a.m.	on race day next to the stall of a horse that is scheduled to race on that day. For horses shipping in on race day, the sign must be placed upon the horse’s arrival.
	       (3)  	  Any violation of rules regarding a claimed horse’s participation in the race in which the trainer’s horse is claimed.
	       (4)  	  The condition and contents of stalls, tack rooms, feed rooms, sleeping rooms, and other areas which have been assigned to the trainer by the facility and maintaining the assigned stable area in a clean, neat, and sanitary condition at all times.
	       (5)  	  Ensuring that fire prevention rules are strictly observed in the assigned stable area.
	       (6)  	  Being present to witness the administration of furosemide during the administration time and sign as the witness on the affidavit form. A licensed designee of the trainer may witness the administration of the furosemide and sign as the witness on the affidavit form; however, this designee may not be another practicing veterinarian or veterinary assistant.
	       (7)  	  The proper identity, custody, care, health, condition, and safety of horses in the trainer’s charge.
	       (8)  	  Disclosure to the racing secretary of the true and entire ownership of each horse in the trainer’s care, custody, or control. Any change in ownership shall be reported immediately to, and approved by, the stewards and recorded by the racing secretary. The disclosure, together with all written agreements and affidavits setting out oral agreements pertaining to the ownership for or rights in and to a horse, shall be attached to the registration certificate for the horse and filed with the racing secretary.
	       (9)  	  Training all horses owned wholly or in part by the trainer which are participating at the race meeting.
	       (10)  	  Registering with the racing secretary each horse in the trainer’s charge within 24 hours of the horse’s arrival on facility premises.
	       (11)  	  Ensuring that, at the time of arrival at the facility, each horse in the trainer’s care is accompanied by a valid health certificate which shall be filed with the racing secretary.
	       (12)  	  Having each horse in the trainer’s care that is racing or stabled on facility premises tested for equine infectious anemia (EIA) in accordance with state law and for filing evidence of such negative test results with the racing secretary. The test must have been conducted within the previous 12 months and must be repeated upon expiration. The certificate must be attached to the foal certificate.
	       (13)  	  Using the services of those veterinarians licensed by the commission to attend horses that are on facility premises.
	       (14)  	  Properly recording the sex of the horses in the trainer’s care with the horse identifier and the racing secretary and immediately reporting the alteration of the sex of a horse in the trainer’s care to the horse identifier and the racing secretary.
	       (15)  	  Promptly reporting to the racing secretary and the commission veterinarian any horse on which a posterior digital neurectomy (heel nerving) has been performed and ensuring that such fact is designated on its certificate of registration. See Iowa Code subsections 99D.25(1) to 99D.25(3).
	       (16)  	  Promptly reporting to the stewards and the commission veterinarian the serious illness of any horse in the trainer’s charge.
	       (17)  	  Promptly reporting the death of any horse in the trainer’s care on facility premises to the stewards, owner, and the commission veterinarian and complying with Iowa Code subsection 99D.25(5) governing postmortem examination.
	       (18)  	  Maintaining a knowledge of the medication record and status of all horses in the trainer’s care.
	       (19)  	  Immediately reporting to the stewards and the commission veterinarian if the trainer knows, or has cause to believe, that a horse in the trainer’s custody, care, or control has received any prohibited drugs or medication.
	       (20)  	  Representing an owner in making entries and scratches and in all other matters pertaining to racing.
	       (21)  	  Eligibility of horses entered and weight or other allowance claimed.
	       (22)  	  Ensuring the fitness of a horse to perform creditably at the distance entered.
	       (23)  	  Ensuring that the trainer’s horses are properly shod, bandaged, and equipped.
	       (24)  	  Presenting the trainer’s horse in the paddock at least 20 minutes before post time or at a time otherwise appointed before the race in which the horse is entered.
	       (25)  	  Personally attending to the trainer’s horses in the paddock and supervising the saddling thereof, unless excused by the stewards.
	       (26)  	  Instructing the jockey to give the jockey’s best effort during a race and instructing the jockey that each horse shall be ridden to win.
	       (27)  	  Witnessing the collection of a urine or blood sample from the horse in the trainer’s charge or delegating a licensed employee or the owner of the horse to do so.
	       (28)  	  Notifying horse owners upon the revocation or suspension of their trainer’s license. A trainer whose license has been suspended for more than 30 days, whose license has expired or been revoked, or whose license application has been denied must inform the horse owners that, until the license is restored, the trainer can no longer be involved with the training, care, custody or control of their horses, nor receive any compensation from the owners for the training, care, custody or control of their horses. Upon application by the horse owner, the stewards may approve the transfer of such horse(s) to the care of another licensed trainer, and upon such approved transfer, such horse(s) may be entered to race. Upon transfer of such horse(s), the inactive trainer shall not be involved in any arrangements related to the care, custody or control of the horse(s) and shall not benefit financially or in any other way from the training of the horse(s).
	       (29)  	  Ensuring that all individuals in their employ are properly licensed by the commission.
	      b.    	  Restrictions on wagering. A trainer with a horse(s) entered in a race shall be allowed to wager only on that horse(s) or that horse(s) in combination with other horses.
	      c.    	  Assistant trainers.
	       (1)  	  Upon the demonstration of a valid need, a trainer may employ an assistant trainer as approved by the stewards. The assistant trainer shall be licensed prior to acting in such capacity on behalf of the trainer.
	       (2)  	  Qualifications for obtaining an assistant trainer’s license shall be prescribed by the stewards and the commission and may include requirements set forth in 491—Chapter 6.
	       (3)  	  An assistant trainer may substitute for and shall assume the same duties, responsibilities and restrictions as are imposed on the licensed trainer, in which case the trainer shall be jointly responsible for the assistant trainer’s compliance with the rules.
	      d.    	  Substitute trainers.
	       (1)  	  A trainer absent for more than five days from responsibility as a licensed trainer, or on a day in which the trainer has a horse in a race, shall obtain another licensed trainer to substitute.
	       (2)  	  A substitute trainer shall accept responsibility for the horses in writing and shall be approved by the stewards.
	       (3)  	  A substitute trainer and the absent trainer shall be jointly responsible as absolute insurers of the condition of their horses entered in an official workout or race.
	   10.5(2) Jockey.
	      a.    	  Responsibility.
	       (1)  	  A jockey shall give a best effort during a race, and each horse shall be ridden to win.
	       (2)  	  A jockey shall not have a valet attendant except one provided and compensated by the facility.
	       (3)  	  No person other than the licensed contract employer or a licensed jockey agent may make riding engagements for a rider, except that a jockey not represented by a jockey agent may make the jockey’s own riding engagements.
	       (4)  	  A jockey shall have no more than one jockey agent.
	       (5)  	  No revocation of a jockey agent’s authority is effective until the jockey notifies the stewards in writing of the revocation of the jockey agent’s authority.
	       (6)  	  A jockey shall promptly report objections to the outrider(s) following the finish of the race.
	      b.    	  Jockey betting. A jockey shall be allowed to wager only on a race in which the jockey is riding. A jockey shall be allowed to wager only if:
	       (1)  	  The owner or trainer of the horse that the jockey is riding makes the wager for the jockey;
	       (2)  	  The jockey only wagers on the jockey’s own mount to win or finish first in combination with other horses in multiple-type wagers; and
	       (3)  	  Records of such wagers are kept and available for presentation upon request by the stewards.
	      c.    	  Jockey’s spouse. A jockey shall not compete in any race against a horse that is trained or owned by the jockey’s spouse.
	      d.    	  Jockey mount fees. Rescinded IAB 5/6/09, effective 6/10/09.
	      e.    	  Entitlement. Any apprentice or contract rider shall be entitled to the regular jockey fees, except when riding a horse owned in part or solely by the contract holder. An interest in the winnings only (such as trainer’s percent) shall not constitute ownership.
	      f.    	  Fee earned. A jockey’s fee shall be considered earned when the jockey is weighed out by the clerk of scales. The fee shall not be considered earned when injury to the horse or rider is not involved and jockeys, of their own free will, take themselves off their mounts. Any conditions or considerations not covered by the above shall be at the discretion of the stewards.
	      g.    	  Multiple engagements. If any owner or trainer engages two or more jockeys for the same race, the owner or trainer shall be required to pay each of the jockeys the appropriate fee whether the jockeys ride in the race or not.
	      h.    	  Dead heats. Jockeys finishing a race in a dead heat shall divide equally the totals they individually would have received had one jockey won the race alone. The owners of the horses finishing in the dead heat shall pay equal shares of the jockey fees.
	      i.    	  Apprentices subject to jockey rules. Unless excepted under these rules, apprentices are subject to all rules governing jockeys and racing.
	      j.    	  Conduct.
	       (1)  	  Clothing and appearance. A jockey shall wear the colors furnished by the owner or facility with the number on the saddlecloth corresponding to the number given in the racing program. A jockey shall maintain a neat and clean appearance while engaged in duties on facility premises and shall wear a clean jockey costume, cap, helmet (approved by commission), a jacket of silk or waterproof fabric, breeches, and top boots.
	       (2)  	  Competing against contractor. No jockey may ride in any race against a starting horse belonging to the jockey’s contract employer unless the jockey’s mount and the contract employer’s horse are both trained by the same trainer.
	       (3)  	  Confined to jockey room. Jockeys engaged to ride a race shall report to the jockey room on the day of the race at the time designated by the facility officials. The jockeys shall then report their engagements and any overweight to the clerk of scales. Thereafter, they shall not leave the jockey room, except by permission of the stewards, until all of their riding engagements of the day have been fulfilled. Once jockeys have fulfilled their riding engagements for the day and have left the jockeys’ quarters, they shall not be readmitted to the jockeys’ quarters until after the entire racing program for that day has been completed, except upon permission of the stewards. Jockeys are not allowed to communicate with anyone but the trainer while in the room during the performance except with approval of the stewards. On these occasions, they shall be accompanied by a security guard.
	       (4)  	  Whip prohibited. Jockeys may not use a whip on a two-year-old horse before April 1 of each year, nor shall a jockey or other person engage in excessive or indiscriminate whipping of any horse at any time.
	       (5)  	  Spurs prohibited. Jockeys shall not use spurs.
	       (6)  	  Possessing drugs or devices. Jockeys shall not have in their care, control, or custody any drugs, prohibited substances, or electrical or mechanical device that could affect a horse’s racing performance.
	      k.    	  Jockey effort. A jockey shall exert every effort to ride the horse to the finish in the best and fastest run of which the horse is capable. No jockey shall ease up or coast to a finish, without adequate cause, even if the horse has no apparent chance to win prize money.
	      l.    	  Duty to fulfill engagements. Jockeys shall fulfill their duly scheduled riding engagements, unless excused by the stewards. Jockeys shall not be forced to ride a horse they believe to be unsound or over a racing strip they believe to be unsafe. If the stewards find a jockey’s refusal to fulfill a riding engagement is based on personal belief unwarranted by the facts and circumstances, the jockey may be subject to disciplinary action. Jockeys shall be responsible to their agent for any engagements previously secured by the agent.
	      m.    	  Riding interference.
	       (1)  	  When the way is clear in a race, a horse may be ridden to any part of the course; but if any horse swerves, or is ridden to either side, so as to interfere with, impede, or intimidate any other horse, it is a foul.
	       (2)  	  The offending horse may be disqualified if, in the opinion of the stewards, the foul altered the finish of the race, regardless of whether the foul was accidental, willful, or the result of careless riding.
	       (3)  	  If the stewards determine the foul was intentional, or due to careless riding, the jockey shall be held responsible.
	       (4)  	  In a straightaway race, every horse must maintain position as nearly as possible in the lane in which it started. If a horse is ridden, drifts, or swerves out of its lane in such a manner that it interferes with, impedes, or intimidates another horse, it is a foul and may result in the disqualification of the offending horse.
	      n.    	  Jostling. Jockeys shall not jostle another horse or jockey. Jockeys shall not strike another horse or jockey or ride so carelessly as to cause injury or possible injury to another horse in the race.
	      o.    	  Partial fault/third-party interference. If a horse or jockey interferes with or jostles another horse, the aggressor may be disqualified, unless the interfered or jostled horse or jockey was partly at fault or the infraction was wholly caused by the fault of some other horse or jockey.
	      p.    	  Careless riding. A jockey shall not ride carelessly or willfully permit the mount to interfere with, intimidate, or impede any other horse in the race. A jockey shall not strike at another horse or jockey so as to impede, interfere with, or injure the other horse or jockey. If a jockey rides in a manner contrary to this rule, the horse may be disqualified; or the jockey may be fined, suspended, or otherwise disciplined; or other penalties may apply.
	      q.    	  Jockey weighed out.
	       (1)  	  Jockeys must be weighed for their assigned horse not more than 30 minutes before the time fixed for the race.
	       (2)  	  A jockey’s weight shall include the jockey’s clothing, boots, saddle and its attachments. A safety vest shall be mandatory, shall weigh no more than two pounds, and shall be designed to provide shock-absorbing protection to the upper body.
	       (3)  	  All other equipment shall be excluded from the weight.
	      r.    	  Overweight limited. No jockey may weigh more than two pounds or, in the case of inclement weather, four pounds over the weight the horse is assigned to carry unless with consent of the owner or trainer and unless the jockey has declared the amount of overweight to the clerk of scales at least 45 minutes before the time of the race. However, a horse shall not carry more than seven pounds overweight, except in inclement weather when nine pounds shall be allowed. The overweight shall be publicly announced and posted in a conspicuous place both prior to the first race of the day and before the running of the race.
	       (1)  	  Weigh in. Upon completion of a race, jockeys shall ride promptly to the winner’s circle and dismount. Jockeys riding the first four finishers, or at the discretion of the stewards a greater number, shall present themselves to the clerk of scales to be weighed in. If a jockey is prevented from riding the mount to the winner’s circle because of accident or illness either to the jockey or the horse, the jockey may walk or be carried to the scales unless excused by the stewards.
	       (2)  	  Unsaddling. Jockeys, upon completion of a race, must return to the unsaddling area and unsaddle their own horse, unless excused by the stewards.
	       (3)  	  Removing horse’s equipment. No person except the valet attendant for each mount is permitted to assist the jockey in removing the horse’s equipment that is included in the jockey’s weight, unless the stewards permit otherwise. To weigh in, jockeys shall carry to the scales all pieces of equipment with which they weighed out. Thereafter they may hand the equipment to the valet attendant.
	       (4)  	  Underweight. When any horse places first, second, or third in a race, or is coupled in any form of multiple exotic wagering, and thereafter the horse’s jockey is weighed in short by more than two pounds of the weight of which the jockey was weighed out, the mount may be disqualified and all purse moneys forfeited.
	       (5)  	  Overweight. If the jockey is overweight, the jockey is subject to fine, suspension, or both.
	      s.    	  Contracts. Rescinded IAB 5/16/01, effective 6/20/01.
	      t.    	  Jockey fines and forfeitures. Jockeys shall pay any fine or forfeiture from their own funds within 48 hours of the imposition of the fine or at a time deemed proper by the stewards. No other person shall pay jockey fines or forfeitures for the jockey.
	      u.    	  Competing claims. Whenever two or more licensees claim the services of one jockey for a race, first call shall have priority and any dispute shall be resolved by the stewards.
	      v.    	  Jockey suspension.
	       (1)  	  Offenses involving fraud. Suspension of a licensee for an offense involving fraud or deception in racing shall begin immediately after the ruling unless otherwise ordered by the stewards or commission.
	       (2)  	  Offenses not involving fraud. Suspension for an offense not involving fraud or deception in racing shall begin on the third day after the ruling or at the stewards’ discretion.
	       (3)  	  Withdrawal of appeal. Withdrawal by the appellant of a notice of appeal filed with the commission, whenever imposition of the disciplinary action has been stayed or enjoined pending a final decision by the commission, shall be deemed a frivolous appeal and referred to the commission for further disciplinary action in the event the appellant fails to show good cause to the stewards why the withdrawal should not be deemed frivolous.
	       (4)  	  Riding suspensions of ten days or less and participating in designated races. The stewards appointed for a race meeting shall immediately, prior to the commencement of that meeting, designate the stakes, futurities, futurity trials, or other races in which a jockey will be permitted to compete, notwithstanding the fact that such jockey is technically under suspension for ten days or less for a riding infraction at the time the designated race is to be run.
	      1. 	  Official rulings for riding suspensions of ten days or less shall state: “The term of this suspension shall not prohibit participation in designated races.”
	      2. 	  A listing of the designated races shall be posted in the jockey room and any other such location deemed appropriate by the stewards.
	      3. 	  A suspended jockey must be named at time of entry to participate in any designated race.
	      4. 	  A day in which a jockey participated in one designated race while on suspension shall count as a suspension day. If a jockey rides in more than one designated race on a race card while on suspension, the day shall not count as a suspension day. Designated trials for a stake shall be considered one race.
	   10.5(3) Apprentice jockey. Upon completion of licensing requirements, the stewards may issue an apprentice jockey certificate allowing the holder to claim this allowance only in overnight races.
	      a.    	  An apprentice jockey shall ride with a five-pound weight allowance beginning with the first mount and for one full year from the date of the jockey’s fifth winning mount.
	      b.    	  If, after riding one full year from the date of the fifth winning mount, the apprentice jockey has not ridden 40 winners, the applicable weight allowance shall continue for one more year or until the fortieth winner, whichever comes first. In no event shall a weight allowance be claimed for more than two years from the date of the fifth winning mount, unless an extension has been granted.
	      c.    	  The steward may extend the weight allowance of an apprentice jockey when, in the discretion of the steward, the apprentice provides proof of incapacitation for a period of seven or more consecutive days. The allowance may be claimed for a period not to exceed the period such apprentice was unable to ride.
	      d.    	  The apprentice jockey must have the apprentice certificate with the jockey at all times and must keep an updated record of the first 40 winners. Prior to riding, the jockey must submit the certificate to the clerk of scales, who will record the apprentice’s winning mounts.
	   10.5(4) Jockey agent.
	      a.    	  Responsibilities.
	       (1)  	  A jockey agent shall not make or assist in making engagements for a jockey other than the jockeys the agent is licensed to represent.
	       (2)  	  A jockey agent shall file written proof of all agencies and changes of agencies with the stewards.
	       (3)  	  A jockey agent shall notify the stewards, in writing, prior to withdrawing from representation of a jockey and shall submit to the stewards a list of any unfulfilled engagements made for the jockey.
	       (4)  	  All persons permitted to make riding engagements shall maintain current and accurate records of all engagements made. Such records shall be subject to examination by the stewards at any time.
	       (5)  	  No jockey agent shall represent more than two jockeys and one apprentice jockey at the same time except:
	      1. 	  A jockey agent may represent three jockeys at a “mixed” meeting so long as no more than two of the jockeys ride the same breed.
	      2. 	  A jockey agent may represent three jockeys at a race meeting exclusive of thoroughbred racing.
	       (6)  	  A jockey agent must honor a first call given to a trainer or the trainer’s assistant trainer.
	      b.    	  Prohibited areas. A jockey agent is prohibited from entering the jockey room, winner’s circle, racing strip, paddock, or saddling enclosure during the hours of racing.
	      c.    	  A jockey agent shall not be permitted to withdraw from the representation of any jockey unless written notice to the stewards has been provided.
[ ARC 7757B , IAB 5/6/09, effective 6/10/09;    ARC 0734C , IAB 5/15/13, effective 6/19/13;    ARC 1456C , IAB 5/14/14, effective 6/18/14;    ARC 1876C , IAB 2/18/15, effective 3/25/15;    ARC 2468C , IAB 3/30/16, effective 5/4/16;    ARC 2927C , IAB 2/1/17, effective 3/8/17]