491—9.6 (99D) Conduct of races.
	 9.6(1) Horses ineligible. Any horse ineligible to be entered for a race, or ineligible to start in any race, that competes in that race may be disqualified and the stewards may discipline the persons responsible for that horse competing in that race. A horse is ineligible to start a race when:
	  a.   	 The horse is not stabled on the premises of the licensed facility by the time so designated by the stewards;
	  b.   	 The U.S.T.A. or C.T.A. eligibility certificate or electronic eligibility certificate has not been examined by the racing secretary, or horse identifier, and determined to be proper and in order;
	  c.   	 The horse is not fully identified by an official tattoo on the inside of the upper lip or a freeze brand applied by an authorized U.S.T.A. or C.T.A. technician;
	  d.   	 With respect to a horse that is entered for the first time, the nominator has failed to identify the horse by name, color, sex, age, names of sire and dam as registered, and present owner and trainer;
	  e.   	 The horse is brought to the paddock and is not in the care of and harnessed by a licensed trainer or assistant trainer;
	  f.   	 The horse has been knowingly entered or raced in any jurisdiction under a different name, with an altered eligibility certificate or electronic eligibility certificate, or altered lip tattoo by a person having lawful custody or control of the horse for the purpose of deceiving any facility or regulatory agency;
	  g.   	 The horse has been allowed to enter or start by a person having lawful custody or control of the horse who participated in or assisted in the entry of racing of some other horse under the name of the horse in question;
	  h.   	 The horse is wholly or partially owned by a disqualified person or is under the direct or indirect management of a disqualified person;
	  i.   	 The horse is wholly or partially owned by the spouse of a disqualified person or is under the direct or indirect management of the spouse of a disqualified person; in such cases, it is presumed that the disqualified person and spouse constitute a single financial entry with respect to the horse, which presumption may be rebutted;
	  j.   	 The horse has no current negative Coggins test certificate or negative equine infectious anemia test certificate attached to the eligibility certificate or on file with the racing secretary;
	  k.   	 The stakes or entrance money for the horse has not been paid;
	  l.   	 The horse appears on the starter’s list, stewards’ list, or veterinarian’s list;
	  m.   	 The horse is a first-time starter not meeting qualifications standards for the race meeting;
	  n.   	 The horse is owned in whole or in part by an undisclosed person of interest;
	  o.   	 The horse is subject to a lien that has not been approved by the stewards and filed with the horsemen’s bookkeeper;
	  p.   	 The horse is subject to a lease not filed with the stewards;
	  q.   	 The horse is not in sound racing condition;
	  r.   	 The horse has been nerved by surgical neurectomy;
	  s.   	 The horse has been trachea-tubed to artificially assist breathing;
	  t.   	 The horse has been blocked with alcohol or injected with any other foreign substance or drug to desensitize the nerves of the leg;
	  u.   	 The horse has impaired eyesight in both eyes;
	  v.   	 The horse appears on the starter’s list, stewards’ list, or veterinarian’s list of any racing jurisdiction or is barred from racing in any racing jurisdiction; or
	  w.   	 The horse has started in any race on the previous calendar day.
	 9.6(2) Two-year-old horses. No two-year-old horse shall be permitted to start in a dash or heat exceeding one mile in distance, and no two-year-old shall be permitted to race in more than two heats or dashes in any single day.
	 9.6(3) Registration. All matters relating to registration of standardbred horses shall be governed by the rules of the U.S.T.A.
	 9.6(4) Eligibility certificate or electronic eligibility certificate. A facility may refuse to accept any declaration without the eligibility certificate or electronic eligibility certificate for the proper gait first being presented. Fax or telephone declarations may be sent and accepted without penalty, provided the declarer furnished adequate program information, but the eligibility certificate or electronic eligibility certificate must be presented when the horse arrives at the facility and before it races. The racing secretary shall check each certificate and certify to the stewards as to the eligibility of all the horses.
	 9.6(5) Canadian track information. Prior to the declaration, owners of horses having Canadian certificates shall furnish the racing secretary with a Canadian certificate completely filled out for the current year, which has a U.S.T.A. validation certificate attached.
	 9.6(6) Foreign entries. No eligibility certificate or electronic eligibility certificate will be issued on a horse coming from a country other than Canada unless the following information, certified by the trotting association or governing body of that country from which the horse comes, is furnished:
	  a.   	 The number of starts during the preceding year, together with the number of firsts, seconds, and thirds for the horse, and the total amount of money won during the current period.
	  b.   	 The number of races in which the horse has started during the preceding year, together with the number of firsts, seconds, and thirds for the horse, and the total amount of money won during the current period.
	  c.   	 A detailed list of the last six starts giving the date, place, track condition, post position or handicap, if it was a handicap race, distance of the race, position at the finish, the time of the race, the driver’s name, and the first three horses in the race.
	 9.6(7) Time bars. No time records or bars shall be used as an element of eligibility.
	 9.6(8) Date when eligibility is determined.
	  a.   	 Horses must be eligible when entries close but winnings on the closing date of eligibility shall not be considered.
	  b.   	 In mixed races, trotting and pacing, a horse must be eligible to the class at the gait at which it is stated in the entry the horse will perform.
	 9.6(9) Conflicting conditions. In the event there are conflicting published conditions and neither is withdrawn by the facility, the more favorable to the nominator shall govern.
	 9.6(10) Overnight events.
	  a.   	 Standards for overnight events. When time standards are established at a meeting for both trotters and pacers, trotters shall be given a minimum of two seconds allowance in relation to pacers.
	  b.   	 Posting of overnight conditions. At extended pari-mutuel meetings, condition books will be prepared and races may be divided or substituted only when regularly scheduled races fail to fill. Books containing at least three days’ racing programs will be available to horsemen at least 24 hours prior to closing declarations on any race program contained. When published, the conditions must be clearly stated and not printed as TBA—To Be Announced. The racing secretary shall forward copies of each condition book and overnight sheet to the commission and U.S.T.A. office as soon as they are available to the horsemen.
	 9.6(11) Supplemental purse payments. Supplemental purse payments made by a track after the termination of a meeting will be charged and credited to the winnings of any horse at the end of the racing year in which they are distributed and will appear on the eligibility certificate or electronic eligibility certificate for the subsequent year. Distribution shall not affect the current eligibility until placed on the next eligibility certificate or electronic eligibility certificate.
	 9.6(12) Substitute and divided races.
	  a.   	 Substitute races may be provided for each day’s program and shall be so designated. Entries in races not filling shall be posted. A substitute race or a race divided into two divisions shall be used only if regularly scheduled races fail to fill.
	  b.   	 If a regular race fills, it shall be raced on the day it was offered.
	  c.   	 Overnight events and substitutes shall not be carried over to the next racing day.
	 9.6(13) Qualifying races. A horse qualifying in a qualifying race for which no purse is offered shall not be deprived by reason of that performance of the right to start in any conditioned race.
	 9.6(14) Start. The definition of the word “start” in any type of condition unless specifically so stated will include only those performances in a purse race. Qualifying and matinee races are excluded.
	 9.6(15) Claiming races.
	  a.   	 Eligibility.
	 (1) 	 No person may file a claim for any horse unless the person:
	  1. 	 Is a licensed owner at the meeting who has started a horse at the meeting; or
	  2. 	 Is a licensed authorized agent, authorized to claim for an owner eligible to claim; or
	  3. 	 Has a valid open claim certificate. Any person not licensed as an owner, or a licensed authorized agent for the account of the same, or a licensed owner who has not started a horse at the meeting may request an open claim certificate from the commission. The person must submit a completed application for a prospective owner’s license to the commission. The applicant must give the name of the trainer licensed by the commission who will be responsible for the claimed horse. A nonrefundable fee must accompany the application along with any financial information requested by the commission. The names of the prospective owners shall be prominently displayed in the offices of the commission and the racing secretary. The application will be processed by the commission and when the open claim certificate is exercised, an owner’s license will be issued.
	 (2) 	 One stable claim. No stable that consists of horses owned by more than one person and which has a single trainer may submit more than one claim in any race. An authorized agent may submit only one claim in any race regardless of the number of owners represented.
	  b.   	 Procedure for claiming. To make a claim for a horse, an eligible person shall:
	 (1) 	 Deposit to the person’s account with the horsemen’s bookkeeper the full claiming price and applicable taxes as established by the racing secretary’s conditions.
	 (2) 	 File in a locked claim box, maintained for that purpose by the stewards or their designee, a claim filled out completely in writing and with sufficient accuracy to identify the claim on forms provided by the facility at least ten minutes before the time of the race.
	  c.   	 Claim box.
	 (1) 	 The claim box shall be approved by the commission and kept locked until ten minutes prior to the start of the race when it shall be presented to the stewards or their representative for opening and publication of the claims.
	 (2) 	 The claim box shall include a time clock which automatically stamps the time on the claim envelope prior to its being dropped in the box.
	 (3) 	 No official of a facility shall give any information as to the filing of claims therein until after the race has been run.
	  d.   	 Claim irrevocable. After a claim has been filed in the claim box, it shall not be withdrawn.
	  e.   	 Multiple claims on single horses. If more than one claim is filed on a horse, the successful claim shall be determined by lot conducted by the stewards or their representatives.
	  f.   	 Successful claims; later races.
	 (1) 	 Sale or transfer. No successful claimant may sell or transfer a horse, except in a claiming race, for a period of 30 days from the date of claim.
	 (2) 	 Eligibility price. A horse that is declared the official winner in the race in which it is claimed may not start in a race in which the claiming price is less than the amount for which it was claimed. After the first start back or 30 days, whichever occurs first, a horse may start for any claiming price. A horse which is not the official winner in the race in which it is claimed may start for any claiming price. No right, title, or interest for any claimed horse shall be sold or transferred except in a claiming race for a period of 30 days following the date of claiming. The day claimed shall not count, but the following calendar day shall be the first day.
	 (3) 	 Racing elsewhere. A horse that was claimed under these rules may not participate at a race meeting other than that at which it was claimed until the end of the meeting, except with written permission of the stewards. This limitation shall not apply to stakes races.
	 (4) 	 Same management. A claimed horse shall not remain in the same stable or under the control or management of its former owner.
	 (5) 	 When a horse is claimed out of a claiming race, the horse’s engagements are included.
	  g.   	 Transfer after claim.
	 (1) 	 Forms. Upon a successful claim, the stewards shall issue in triplicate, upon forms approved by the commission, an authorization of transfer of the horse from the original owner to the claimant. Copies of the transfer authorization shall be forwarded to and maintained by the commission, the stewards, and the racing secretary. No claimed horse shall be delivered by the original owner to the successful claimant until authorized by the stewards. Every horse claimed shall race for the account of the original owner, but title to the horse shall be transferred to the claimant from the time the horse becomes a starter. The successful claimant shall become the owner of the horse at the time of starting, regardless of whether it is alive or dead, sound or unsound, or injured during or after the race. The original trainer of the claimed horse shall be responsible for the postrace test results.
	 (2) 	 Other jurisdiction rules. The commission will recognize and be governed by the rules of any other jurisdiction regulating title and claiming races when ownership of a horse is transferred or affected by a claiming race conducted in that other jurisdiction.
	 (3) 	 Determination of sex and age. The claimant shall be responsible for determining the age and sex of the horse claimed notwithstanding any designation of sex and age appearing in the program or in any racing publication. In the event of a spayed mare, the (s) for spayed should appear next to the mare’s name on the program. If it does not, and the claimant finds that the mare is in fact spayed, claimant may then return the mare for full refund of the claiming price.
	 (4) 	 Affidavit by claimant. The stewards may, if they determine it necessary, require any claimant to execute a sworn statement that the claimant is claiming the horse for the claimant’s own account or as an authorized agent for a principal and not for any other person.
	 (5) 	 Delivery required. No person shall refuse to deliver a properly claimed horse to the successful claimant. The claimed horse shall be disqualified from entering any race until delivery is made to the claimant.
	 (6) 	 Obstructing rules of claiming. No person or licensee shall obstruct or interfere with another person or licensee in claiming any horse, enter into any agreement with another to subvert or defeat the object and procedures of a claiming race, or attempt to prevent any horse entered from being claimed.
	  h.   	 Elimination of stable. An owner whose stable has been eliminated by claiming may claim for the remainder of the meeting at which eliminated or for 30 racing days, whichever is longer. With the permission of the stewards, stables eliminated by fire or other casualty may claim under this rule.
	  i.   	 Deceptive claim. The stewards may cancel and disallow any claim within 24 hours after a race if they determine that a claim was made upon the basis of a lease, sale, or entry of a horse made for the purpose of fraudulently obtaining the privilege of making a claim. In the event of a disallowance, the stewards may further order the return of a horse to its original owner and the return of all claim moneys.
	  j.   	 Protest of claim. A protest to any claim must be filed with the stewards before noon of the day following the date of the race in which the horse was claimed. Nonracing days are excluded from this rule.
	 9.6(16) Entries. All entries must:
	  a.   	 Be made in writing.
	  b.   	 Be signed by the owner or authorized agent, except as provided in this chapter.
	  c.   	 Give name and address of the owner and agent or registered stable name or lessee.
	  d.   	 Give name, color, sex, sire, and dam of horse.
	  e.   	 Name the event or events in which the horse is to be entered.
	 9.6(17) Entries and starters; split races.
	  a.   	 Entries required. The facility must specify how many entries are required for overnight events and, after the condition is fulfilled, the event must be contested.
	  b.   	 Elimination heats or two divisions. In any race where the number of horses declared to start exceeds 11 on a half-mile track, or 14 on a larger track, unless lesser numbers are specified in the conditions of the race, the race, at the option of the facility and stated before positions are drawn, may be raced in elimination heats.
In the absence of conditions providing for a lesser number of starters, no more than two tiers of horses, allowing eight feet per horse, will be allowed to start in any race.
	  c.   	 Elimination plans.
	 (1) 	 Whenever elimination heats are required, or specified in the published conditions, the race shall be raced in the following manner unless otherwise stated in the conditions or conducted under another segment of these rules. The field shall be divided by lot and the first division shall race a qualifying dash for 30 percent of the purse, the second division shall race a qualifying dash for 30 percent of the purse, and the horses so qualified shall race in the main event for 40 percent of the purse. The winner of the main event shall be the race winner.
	 (2) 	 In the event there are more horses declared to start than can be accommodated by the two elimination dashes, there shall be added enough elimination dashes to take care of the excess. The percent of the purse raced for each elimination dash will be determined by dividing the number of elimination dashes into 60. The main event will race for 40 percent of the purse.
	  1. 	 Draw positions to determine which of the dash winners has the pole and which the second position; which of the two horses that have been second shall start in third position and which in fourth; and subsequent positions, or
	  2. 	 Have an open draw to determine the positions in which the horses are to start in the main event; that is, all positions shall be drawn by lot from among all horses qualified for the main event. In the event the sponsor fails to prescribe in the conditions for the event the method to be used for the drawing of post positions, the provisions of paragraph “1” above shall apply.
	  d.   	 Overnight events. In overnight events at extended pari-mutuel meetings, not more than eight horses shall be allowed to start on a half-mile track and not more than ten horses on larger tracks.
	  e.   	 Qualifying race for stake. Where qualifying races are provided in the conditions of any early closing event, stakes, or futurity, the qualifying race must be held not more than seven days prior to contesting the main event, omitting the day of the race.
	 9.6(18) Declaration to start; drawing horses.
	  a.   	 Declaration.
	 (1) 	 Declaration time shall be determined by the stewards.
	 (2) 	 No horse shall be declared to start in more than one race on any one racing day.
	 (3) 	 Declaration box (box). The facility shall provide a locked box with an aperture through which declarations shall be deposited.
	 (4) 	 Responsibility for box. The stewards shall be in charge of the box.
	 (5) 	 Search for declarations by the steward(s) before opening box. Just prior to opening of the box at extended pari-mutuel meetings where futurities, stakes, early closing, or late closing events are on the program, the steward(s) shall check with the racing secretary to ascertain if any declarations by mail, fax, or otherwise are in the office and not deposited in the box and shall see that they are declared and drawn in the proper event.
	 (6) 	 Opening of box. The box shall be opened by the steward(s) at the advertised time and the steward(s) will be responsible for ensuring that at least one horseman or the horseman’s official representative is present. No owner or agent for a horse with a declaration in the box shall be denied the privilege of being present. Under the supervision of the steward(s), all declarations shall be listed, the eligibility verified, the preference ascertained, starters selected, and post positions drawn. If it is necessary to reopen any race, public announcement shall be made at least twice and the box reopened at a defined time.
	 (7) 	 Drawing of post positions for heats in races of more than one dash or heat. In races of a duration of more than one dash or heat, the stewards may draw post positions from the stand for succeeding dashes or heats.
	 (8) 	 Declarations by mail, fax, or telephone. Declarations by mail, fax, or telephone actually received and evidence of which is deposited in the box before the time specified to declare shall be drawn in the same manner as the others. Drawings shall be final. Mail, fax, and telephone declarations must state the name and address of the owner or lessee; the name, color, sex, sire and dam of the horse; the name of the driver and colors; the date and place of last start; a current summary, including the number of starts, firsts, seconds, thirds, earnings, and best winning time for the current year; and the event or events in which the horse is to be entered.
	 (9) 	 Effect of failure to declare on time. When a facility requires a horse to be declared by a stated time, failure to declare as required shall be considered a withdrawal from the event.
	 (10) 	 Drawings of horses after declaration. After declaration to start has been made, no horse shall be drawn except by permission of the stewards.
	 (11) 	 Horses omitted through error. Drawings shall be final unless there is conclusive evidence that a horse properly declared was omitted from the race through the error of the facility or its agent or employee, in which event the horse shall be added to the race but given the last post position, provided the error is discovered prior to scratch time or the printing of the program, whichever is sooner. However, in the case of early closers and stake and futurity races, the race shall be redrawn.
	  b.   	 Qualifying races. At all extended pari-mutuel meetings, eligibility to declare for overnight events shall be governed by the following:
	 (1) 	 Within 30 days of being declared in, a horse that has not raced previously at the gait chosen must go through a qualifying race under the supervision of a steward and acquire at least one charted line by a licensed charter. In order to provide complete and accurate chart information on time and beaten lengths, a standard photo finish shall be in use.
	 (2) 	 A horse that does not show a charted line for the previous season or a charted line within its last six starts must go through a qualifying race as set forth above. Uncharted races contested in heats of more than one dash and consolidated according to subparagraph 9.6(18)“b”(4) below will be considered one start.
	 (3) 	 A horse that has not started at a charted meeting by April 1 of a season must go through a qualifying race and meet the qualifying standards of the meet.
	 (4) 	 When a horse has raced at a charted meeting during the current season, then gone to meetings where the races are not charted, the information from the uncharted races may be summarized, including each start, and consolidated in favor of charted lines. The requirements of subparagraph 9.6(18)“b”(2) above would not then apply.
	 (5) 	 The consolidated line shall carry date, place, time, driver, finish, track condition, and distance if race is not at one mile.
	 (6) 	 The stewards may require any horse that has been on the stewards’ list to go through a qualifying race. A horse that is on the stewards’ list for breaks or refusing to come to the gate must qualify in a qualifying race.
	 (7) 	 If a horse has not raced an individual time meeting the qualifying standards for that class of horse, the horse may be required to go through a qualifying race.
	 (8) 	 The stewards may permit a fast horse to qualify by means of a timed workout consistent with the time of the races in which it will compete in the event adequate competition is not available for a qualifying race.
	 (9) 	 To enable a horse to qualify, qualifying races should be held at least one full week prior to the opening of any meeting and shall be scheduled once a week during the meeting and through the last week of the meeting.
	 (10) 	 When a race is conducted for the purpose of qualifying drivers and not horses, the race need not be charted, timed, or recorded. This subparagraph is not applicable to races qualifying both drivers and horses.
	 (11) 	 If a horse takes a win race record in a qualifying race, the record must be prefaced with the letter “Q” wherever it appears, except in a case where, immediately prior to or following the race, the horse taking the record has had a specimen taken and tested. It will be the responsibility of the steward to report the results of the test on the stewards’ sheet.
	 (12) 	 Any horse that fails to race at a charted meeting within 30 days after having started in a current year shall start in a charted race or a qualifying race and meet the standards of the meeting before being allowed to start.
	  c.   	 Coupled entries.
	 (1) 	 When one owner or lessee enters more than one horse in the same race, the horses shall be coupled as an entry. Horses shall be regarded as having a common owner when an owner of one horse, either as an individual, a licensed member of a partnership, or a licensed shareholder of a corporation, has an aggregate commonality of ownership of 5 percent interest in another horse, either as an individual, a licensed member of a partnership, or a licensed shareholder of a corporation. If the race is split in two or more divisions, horses in an “entry” shall be seeded insofar as possible, first by owners, then by trainer, then by stables; but the divisions in which the horses compete and their post positions shall be drawn by lot. The above provision shall also apply to elimination heats.
	 (2) 	 Coupled entry limitations on owner. No more than two horses coupled by a common ownership or trainer shall be entered in an overnight race.
	 (3) 	 Coupling entries by stewards. The stewards shall couple as a single entry any horses which, in the determination of the stewards, are connected by common ownership, common lessee, or when the stewards determine that coupling is necessary in the interest of the regulation of a pari-mutuel wagering industry or is necessary to ensure the public’s confidence in racing.
	  d.   	 Also eligibles. No more than two horses may be drawn as also eligibles for a race and their positions shall be drawn along with the starters in the race. In the event one or more horses are excused by the stewards, the also eligible horse(s) shall race and take the post position drawn by the horse that it replaces, except in handicap races. In handicap races the also eligible horse shall take the place of the horse that it replaces in the event that the handicap is the same. In the event the handicap is different, the also eligible horse shall take the position on the outside of horses with a similar handicap. No horse may be added to a race as an also eligible unless the horse was drawn as such at the time declarations closed. No horse may 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 put into the race from the also eligible list cannot be drawn except by permission of the stewards, but the owner or trainer of the horse shall be notified that the horse is to race and the notification shall be posted at the racing secretary’s office. All horses on the also eligible list and not moved into the race by scratch time for the race shall be released.
	  e.   	 Preference.
	 (1) 	 Preference shall be given in all overnight events according to a horse’s last purse race during the current year. The preference date on a horse that has drawn to race and been scratched is the date of the race from which it was scratched.
	 (2) 	 When a horse is racing for the first time in the current year, the date of the first successful qualifying race shall be considered its last race date and preference shall be applied accordingly.
	 (3) 	 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 hour of the announcement of the draw. If in fact a preference date error has occurred, the race will be redrawn.
	 (4) 	 Exclusion of single interest. Horses having the same owner, lessee, or trainer shall not be permitted to enter or start if the effect would deprive a single interest from starting in overnight races.
	 (5) 	 Whenever horses have equal preference in a race, the actual preference of said horses in relation to one another shall be determined from the most recent previous starts which do not result in equal preference.
	 (6) 	 When an overnight race has been reopened because it did not fill, all eligible horses declared into the race prior to the reopening shall receive preference over other horses subsequently declared, irrespective of the actual preference dates.
	  f.   	 Stewards’ list.
	 (1) 	 A horse that is unfit to race because it is dangerous, unmanageable, sick, lame, unable to show a performance to qualify for races at the meeting, or is otherwise unfit to race at the meeting, may be placed on a stewards’ list by the stewards, and declarations of the horse shall be refused. The owner or trainer shall be notified in writing of such action and the reason as set forth above shall be clearly stated on the notice. When any horse is placed on the stewards’ list, the clerk of the course shall make a note on the certificate or electronic eligibility certificate of such horse showing the date the horse was put on the stewards’ list, the reason, and the date of removal if the horse has been removed.
	 (2) 	 No steward or other official at a nonextended meeting shall have the power to remove from the stewards’ list and accept as an entry any horse which has been placed on a stewards’ list for the reason that it is a dangerous or unmanageable horse. Meetings may refuse declarations on any horse that has been placed on the stewards’ list and has not been removed.
	 (3) 	 A horse scratched from a race because of lameness or sickness may not race or enter another race for at least three days from the date scheduled to race.
	  g.   	 Driver. Declarations shall state who shall drive the horse and give the driver’s colors. Drivers shall be named at the time of the draw after which no driver may be changed without good cause and permission of the steward(s). All drivers must be changed by scratch time. When a nominator starts two or more horses, the stewards shall approve or disapprove the second and third drivers.
	 9.6(19) Starting.
	  a.   	 With starting gate.
	 (1) 	 Starter’s control. The starter shall have control of the horses from the formation of the parade until giving the word “go.”
	 (2) 	 Scoring. After one or two preliminary warming up scores, the starter shall notify the drivers to fasten their helmets and come to the starting gate. During or before the parade, the drivers must be informed as to the number of scores permitted.
	 (3) 	 Starting gate. The horses shall be brought to the starting gate as near to one-quarter of a mile before the start as the facility will permit.
	 (4) 	 Speed of gate. Allowing sufficient time so that the speed of the gate can be increased gradually, the following minimum speeds will be maintained.
	  1. 	 For the first one-eighth mile, not less than 11 miles per hour.
	  2. 	 For the next one-sixteenth of a mile, not less than 18 miles per hour.
	  3. 	 From the above point to the starting point, the speed will be increased gradually to maximum speed.
	 (5) 	 On mile tracks, horses will be brought to the starting gate at the head of the stretch, and the relative speeds stated in subparagraph (4) of this subrule will be maintained.
	 (6) 	 The starting point will be a point on the inside rail a distance of not less than 200 feet from the first turn. The starter shall give the word “go” at the starting point.
	 (7) 	 When a speed has been reached in the course of a start, there shall be no decrease except in the case of a recall.
	 (8) 	 Recall notice. In case of a recall, a light plainly visible to the drivers shall be flashed and a recall sounded, and whenever 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. In an emergency, the starter shall use discretion to close the wings of the gate.
	 (9) 	 There shall be no recall after the word “go” has been given and any horse, regardless of position or an accident, shall be deemed a starter from the time entered into the starter’s control unless dismissed by the starter.
	 (10) 	 Breaking horse. The starter shall endeavor to get all horses away in position and on gait but there shall be no recall for a breaking horse.
	 (11) 	 Reason for recall. The starter may sound a recall only for the following reasons:
	  1. 	 A horse scores ahead of the gate.
	  2. 	 There is interference.
	  3. 	 A horse has broken equipment.
	  4. 	 A horse falls before the word “go” is given.
	  5. 	 A starting gate malfunctions.
	  6. 	 A horse comes to the starting gate out of position.
	 (12) 	 Riding in gate. No person(s) shall be allowed to ride in the starting gate except the starter, driver or operator, and a patrol judge unless permission has been granted by the stewards.
	 (13) 	 Loudspeaker. Use of a mechanical loudspeaker for any purpose other than to give instructions to drivers is prohibited. The volume shall be no higher than necessary to carry the voice of the starter to the drivers.
	  b.   	 Holding horses before start. Horses may be held on the backstretch not to exceed two minutes awaiting post time, except when delayed by an emergency.
	  c.   	 Two tiers. In the event there are two tiers of horses, the withdrawing 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. Whenever a horse is withdrawn from any tier, horses on the outside shall move in to fill up the vacancy.
	  d.   	 Starters. The horses shall be deemed to have started when the word “go” is given by the starter and all the horses must go the course except in case of an accident, broken equipment, or any other reason in which the stewards determine that it is impossible to go the course.
	  e.   	 Unmanageable horse.
	 (1) 	 If, in the opinion of the stewards or the starter, a horse is unmanageable or liable to cause accidents or injury to any other horse or to any driver, it may be sent to the barn. When this action is taken, the stewards will notify the public.
	 (2) 	 A horse shall be considered unmanageable if it causes more than one recall in the same dash or heat and the horse shall be excused by the starter.
	  f.   	 Post positions; heat racing. The horse winning the first 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. When two or more horses have made a dead heat, their positions shall be settled by lot.
	 9.6(20) Racing and track.
	  a.   	 Although a leading horse is entitled to any part of the track, except after selecting its position in the home stretch, neither the driver of the first horse nor any other driver in the race shall do any of the following:
	 (1) 	 Change either to the right or left during any part of the race when another horse is so near that altering its position compels the horse behind to shorten its stride or causes the driver of the other horse to pull out of its 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 them.”
	 (6) 	 “Carry a horse out” or “sit down in front” of a horse or take up abruptly in front of other horses so as to cause confusion or interference among the trailing horses.
	 (7) 	 Let a horse 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 when it is well within the horse’s capacity to keep the hole closed.
	 (9) 	 Commit any act which shall impede the progress of another horse or cause it to “break.”
	 (10) 	 Change course after selecting a position in the home stretch, swerve in or out, or bear in or out to interfere with another horse or cause it to change course or take back.
	 (11) 	 Drive in a careless or reckless manner.
	 (12) 	 Whip under the arch of the sulky.
	 (13) 	 Kick the horse.
	 (14) 	 Fail to set or maintain a pace comparable to the class in which the driver is racing by going an excessively slow quarter or any other distance that changes the normal pattern, overall timing, or general outcome of the race.
	 (15) 	 Cross the inside limits of the course.
	  b.   	 Complaints—reports of interference.
	 (1) 	 Complaints. All complaints by drivers of any foul driving or other misconduct during the heat must be made to the starter at the termination of the heat, unless the driver is prevented from doing so by an accident or injury. Any driver desiring to enter a claim of foul or other complaint of violation of the rules must, before dismounting, indicate to the starter the desire to enter the claim or complaint and, upon dismounting, shall proceed to the telephone or stewards’ stand where the claim, objection, or complaint shall be immediately entered. The stewards shall not cause the official sign to be displayed until the claim, objection, or complaint has been entered and considered.
	 (2) 	 Report of interference. It is the duty of every driver to report to the official designated for that purpose, as promptly as possible after the conclusion of a race in which the driver has participated, any material interference to the driver or the horse by another horse or driver during a race.
	  c.   	 If any of the above violations are committed by a person driving a horse coupled as an entry in the betting, the stewards shall set the offending horse back. The horse coupled in the entry with the offending horse shall also be set back if the stewards find that it improved its finishing position as a direct result of the offense committed by the offending horse.
	  d.   	 In the case of interference, collision, or violation of any of the above restrictions, whether occurring before or after the start, the offending horse may be placed back one or more positions in that heat or dash and, in the event the collision or interference prevents any horse from finishing the heat or dash, the offending horse may be disqualified from receiving any winnings; and the driver may be subject to discipline. In the event a horse is set back, it must be placed behind the horse with whom it interfered.
	  e.   	 Unsatisfactory drive—fraud. Every heat in a race must be contested by every horse in the race and every horse must be driven to the finish. If the stewards believe that a horse is being driven or has been driven to prevent winning a heat or dash which it was evidently able to win, in an inconsistent manner, or to perpetrate or to aid a fraud, they shall consider it a violation and the driver and anyone in concert with the driver to so affect the outcome of the race(s) may be subject to disciplinary action. The stewards may substitute a competent and reliable driver at any time. The substitute driver shall be paid at the discretion of the stewards and the fee shall be retained from the purse money due the horse, if any.
In the event a drive is unsatisfactory due to lack of effort or carelessness, and the stewards believe that there is no fraud, gross carelessness, or a deliberate inconsistent drive, they shall impose a penalty.
	  f.   	 If, in the opinion of the stewards, a driver is for any reason unfit or incompetent to drive, refuses to comply with the directions of the stewards, or is reckless in conduct and endangers the safety of horses or other drivers in the race, the driver may be removed and another driver substituted at any time after the positions have been assigned in a race, and the offending driver shall be subject to discipline. The substitute driver shall be properly compensated.
	  g.   	 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 out.
	  h.   	 Loud shouting or other improper conduct is forbidden in a race. After the starting gate is in motion, both feet must be kept in the stirrups until after the finish of the race, except that a driver shall be allowed to remove a foot from the stirrups temporarily for the purpose of pulling earplugs.
	  i.   	 Drivers will be allowed whips not to exceed three feet nine inches, plus a snapper not longer than six inches. Provided further that the following actions may be considered as excessive or indiscriminate use of the whip:
	 (1) 	 Causing visible injury to a horse.
	 (2) 	 Whipping a horse after a race.
	  j.   	 A driver using any goading device, chain, or mechanical devices or appliances, other than the ordinary whip or crop, upon any horse in any race shall be subject to discipline.
	  k.   	 The brutal, excessive, or indiscriminate use of the whip or crop shall be considered a violation. A driver may use a whip only in the conventional manner. Welts, cuts, or whip marks on a horse resulting from whipping shall constitute a violation of this subrule. Drivers are prohibited from punching or jabbing a horse, or using the whip so as to interfere with or cause disturbance to any other horse or driver in a race.
	  l.   	 No horse shall wear hopples in a race unless it starts with the hopples in the first heat and, having so started, it shall continue to wear them to the finish of the race. Any person found guilty of removing or altering a horse’s hopples during a race, or between races, for the purpose of fraud, shall be suspended or expelled. Any horse habitually wearing hopples shall not be permitted to start in a race without them except by permission of the stewards. Any horse habitually racing free-legged shall not be permitted to wear hopples in a race except with the permission of the stewards. No horse shall be permitted to wear a head pole protruding beyond its nose.
	  m.   	 Breaking.
	 (1) 	 When any horse breaks from its gait in trotting or pacing, its driver shall at once, where clearance exists, take such horse to the outside and pull it to its gait.
	 (2) 	 The following shall be considered violations of subparagraph 9.6(20)“m”(1):
	  1. 	 Failure to properly attempt to pull the horse to its gait.
	  2. 	 Failure to take to the outside where clearance exists.
	  3. 	 Failure to lose ground by the break.
	 (3) 	 Any breaking horse shall be set back when a contending horse on its gait is lapped on the hind quarter of the breaking horse at the finish.
	 (4) 	 Any horse making a break which causes interference to other contending horses may be placed behind all offended horses; if there has been no failure on the part of the driver of the breaking horse in complying with subparagraph 9.6(20)“m”(2) above, no fine or suspension shall be imposed on the driver as a consequence of the interference.
	 (5) 	 The stewards may set any horse back one or more places if, in their judgment, any of the above violations have been committed.
If, in the opinion of the stewards, a driver allows the horse to break for the purpose of fraudulently losing a heat, then the driver shall be subject to the penalties elsewhere provided for fraud and fouls.
To assist in determining the matters contained in paragraphs 9.6(20)“m” and 9.6(20)“n,” it shall be the duty of one of the stewards to call out every break made, and the clerk shall at once note the break and character of it in writing.
	  n.   	 The time between separate heats of a single race shall be no less than 40 minutes. The time between the heats shall not exceed one hour and 30 minutes. No heat shall be called after sunset when the track is not lighted for night racing.
	  o.   	 Horses called for a race shall have the exclusive right of the course, and all other horses shall vacate the track at once, unless permitted to remain by the stewards.
	  p.   	 In the case of accidents, only so much time shall be allowed as the stewards may deem necessary and proper.
	  q.   	 A driver must be mounted in the sulky at the finish of the race or the horse must be placed as not finishing.
	  r.   	 It shall be the responsibility of the owner and trainer to provide every sulky used in a race with unicolored or colorless wheel discs on the inside and outside of the wheel of a type approved by the commission. In their discretion, the stewards may order the use of mudguards at pari-mutuel tracks.
	  s.   	 Sulky. Only sulkies of the conventional dual-shaft and dual-hitch type shall be permitted to be used in any races. A conventional-type sulky is one having two shafts that must be parallel to and securely hitched on each side of the horse. No point of hitch or any part of a shaft shall be above a horizontal level equal to the lowest point of the horse’s back.
	  t.   	 Excessive or unnecessary conversation between and among drivers while on the racetrack during the time when colors are required is prohibited.
	  u.   	 If, at any racetrack which does not have a continuous solid inside hub rail, a horse or part of the horse sulky leaves the course by going inside the hub rail or other demarcation which constitutes the inside limits of the course, the offending horse shall be placed back one or more positions where, in the opinion of the stewards, the action gave the horse an unfair advantage over other horses in the race, or the action helped the horse improve its position in the race. In addition, when an act of interference causes a horse or part of the horse’s sulky to cross the inside limits of the course, and the horse is placed by the judges, the offending horse shall be placed behind the horse with which it interfered.
	 9.6(21) Protests.
	  a.   	 Protests may be made only by an owner, manager, trainer, or driver of one of the contending horses at any time before the winnings are paid over and shall be in writing, sworn to, and contain at least one specific charge, which, if true, would prevent the horse from winning or competing in the race.
	  b.   	 The stewards shall in every case of protest demand that the driver, and the owner or owners if present, immediately testify under oath and, in case of their refusal to do so, the horse shall not be allowed to start or continue in the race, but shall be ruled out, with a forfeit of entrance money.
	  c.   	 Unless the stewards find satisfactory evidence to warrant excluding the horse, they shall allow the horse to start or continue in the race under protest, and the premium, if any, won by that horse shall be forthwith transmitted to the commission to allow the parties interested an opportunity to sustain the allegation of the protest or furnish information which will warrant an investigation of the matter. When no action is taken to sustain the protest within 30 days, payment may be made as if such protest had not been filed.
	  d.   	 Any person found guilty of protesting a horse falsely and without cause, or merely with intent to embarrass a race, shall be subject to discipline.
	  e.   	 Nothing here contained shall affect the distribution of pari-mutuel pools when the distribution is made upon the official placing at the conclusion of the heat or dash.
	  f.   	 In case of an appeal or protest, the purse money affected will be deposited with the commission in trust funds pending the decision of the appeal.
	 9.6(22) Timing and records.
	  a.   	 Timing races. In every race, the time of each heat shall be accurately taken by three timers or an approved electric timing device, in which case there shall be one timer; placed in the record in minutes, seconds, and fifths of seconds; and, upon the decision of each heat, the time shall be publicly announced or posted. No unofficial timing shall be announced or admitted to the record and, when the timers fail to act, no time shall be announced or recorded for that heat.
	  b.   	 Error in reported time. In any case of alleged error in the record, announcement, or publication of the time made by a horse, the time so questioned shall not be changed to favor the horse or owner, except upon the sworn statement of the stewards and timers who officiated in the race.
	  c.   	 Time, where lapped on. The leading horse shall be timed and that time only shall be announced. No horse shall 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.
	  d.   	 Time for dead heat. In case of a dead heat, the time shall constitute a record for the horses making a dead heat and both shall be considered winners.
	  e.   	 Timing procedure. The time shall be recorded from the instant that the first horse leaves the point from which the distance is measured until the first horse reaches the finish line. The time of the leading horse at the quarter, half, three-quarters and the finish shall be taken.
	  f.   	 Fraudulent misrepresentation. Any person guilty of fraudulent misrepresentation of time or the alteration of the record in any public race shall be fined, suspended, or expelled, and the time declared not a record.
	 9.6(23) Heat number and saddle pads; entry number. Each competing horse shall be equipped with numbers of style, type, and design approved by the commission or its representatives. Numbers shall be so arranged that coupled entries may be distinguished.
	 9.6(24) Paddock. The paddock or receiving barn must be completely enclosed with a secure fence and each opening through the fence shall be policed by a person or persons licensed by this commission so as to exclude unauthorized personnel. A daily record of all persons entering or leaving the paddock from one hour prior to post time until all races of that program have been completed shall be maintained on forms approved by the commission.
	 9.6(25) Other facility conditions.
	  a.   	 Default in payment of purses. Any facility that defaults in the payment of a premium that has been raced for shall stand suspended, together with its officers.
	  b.   	 If, at a meeting of a facility, a race is contested which has been promoted by another party or parties, and the promoters default in the payment of the amount raced for, the same liability shall attach to the facility as if the race had been offered by it.
	  c.   	 Removal of horses from facility premises. No horse shall be ordered off the premises without at least 72 hours’ notice (excluding Sunday) to the person in charge of the horse.
[ARC 9987B, IAB 2/8/12, effective 3/14/12]