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Study Guide for Official’s Licenses The United States Trotting Association Version 1 11/18/2016

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Page 1: Study Guide for Official’s Licenses - Members - U.S. …members.ustrotting.com/pdf/officials_guide.pdfA letter from a licensed Pari-mutuel Starter and Presiding Judge verifying your

Study Guide for Official’s Licenses

The United States Trotting Association

Version 1 11/18/2016

Page 2: Study Guide for Official’s Licenses - Members - U.S. …members.ustrotting.com/pdf/officials_guide.pdfA letter from a licensed Pari-mutuel Starter and Presiding Judge verifying your

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Page 3: Study Guide for Official’s Licenses - Members - U.S. …members.ustrotting.com/pdf/officials_guide.pdfA letter from a licensed Pari-mutuel Starter and Presiding Judge verifying your

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Contents Introduction and Types of Licenses .............................................................................................................. 4

Presiding Judge (Pari-mutuel) ............................................................................................................... 4

Presiding Judge (Fair) ............................................................................................................................ 4

Associate Judge ..................................................................................................................................... 4

Starter (Pari-mutuel) ............................................................................................................................. 5

Starter (Fair) .......................................................................................................................................... 5

Race Secretary....................................................................................................................................... 5

Patrol Judge, Paddock Judge, and Identifier ......................................................................................... 5

Rule 4 – RACING TERMINOLOGY AND DEFINITIONS ..................................................................................... 6

Rule 5 – TRACK MEMBERS ............................................................................................................................ 7

Rule 6 – RACE OFFICIALS ............................................................................................................................... 8

Rule 7 – HORSE IDENTIFICATION AND PROGRAM INFORMATION ............................................................. 11

Rule 8 – RACING, FARM, CORPORATE OR STABLE NAMES ......................................................................... 12

Rule 9 – ELECTRONIC ELIGIBILITY ................................................................................................................ 13

Rule 10 – CLASSIFICATION OF HORSES ....................................................................................................... 14

Rule 11 – CLAIMING RACES ......................................................................................................................... 15

Rule 12 – NOMINATIONS, ADDED MONEY EVENTS .................................................................................... 16

Rule 13 – ENTRIES, STARTERS REQUIRED, PURSE MONEY DISTRIBUTION ................................................. 16

Rule 14 – ENTRY, DRAWING OF POST POSITIONS, POST DRAW ................................................................. 17

Rule 15 – POSTPONEMENT ......................................................................................................................... 20

Rule 16 – STARTING OF HORSES ................................................................................................................. 21

Rule 17 – DRIVERS AND TRAINERS .............................................................................................................. 22

Rule 18 – RACING AND RACETRACK RULES ................................................................................................ 24

Rule 20 – STANDARDS OF CONDUCT .......................................................................................................... 27

Rule 21 – MEDICATIONS AND DRUGS ......................................................................................................... 28

Rule 22 – FINES, SUSPENSIONS AND EXPULSION ....................................................................................... 29

Rule 23 – PROTESTS AND APPEALS ............................................................................................................. 30

Rule 24 – TIME AND RECORDS – RACE WINNERS ....................................................................................... 31

Horse Identification Worksheet .................................................................................................................. 32

eTrack Reports ............................................................................................................................................ 33

Conditions ........................................................................................................................................... 33

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Pre-Race Processing ............................................................................................................................ 36

Post Race Processing ........................................................................................................................... 38

Forms .................................................................................................................................................. 39

Steward’s Notice ................................................................................................................................. 39

Notice of Suspension or Fine .............................................................................................................. 40

Appeal Form ........................................................................................................................................ 41

Official Accident Report ...................................................................................................................... 42

Protest ................................................................................................................................................. 43

Sulky Failure Report ............................................................................................................................ 44

Failure To Honor Declaration .............................................................................................................. 45

Notes ................................................................................................................................................... 46

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Introduction and Types of Licenses

Thank you for your interest in becoming a USTA licensed racing official. This set of study questions,

along with the USTA Rule Book, will assist you as you prepare for the required written exam.

This guide is broken into section by USTA rule. Depending on the class of license for which you are

applying, not all sections will apply. Following is a list of USTA official’s licenses, the requirements for

each and the sections of this guide on which you should concentrate. Note that this guide does not

cover licensing information or test questions for a licensed clerk, charter or program director. Please

contact the USTA for study guides and test questions relating to these licenses.

Presiding Judge (Pari-mutuel)

Minimum of 2 years’ experience as a licensed Associate Judge. Written recommendation from a USTA licensed Presiding Judge for whom you have worked. Satisfactory completion of the required exam. Study sections – all.

Presiding Judge (Fair)

Minimum of 2 years’ experience within the industry. Knowledge of the rules, temperament and qualifications to perform duties required. Written recommendation from a USTA licensed Presiding Judge that you have raced under or

with whom you have worked. Satisfactory completion of the required exam. Please Note: Serving in the capacity as an Associate Judge at county fairs is strongly

recommended if you have no prior officiating experience. Even though the USTA does not license Associate Judges at county fairs, we strongly encourage you to serve in that capacity prior to examination.

Study sections – all.

Associate Judge

Minimum of 2 years’ experience involving 75 racing days per year as a USTA Licensed Official in another capacity, such as Patrol Judge, Paddock Judge, Clerk of the Course, Race Secretary, Starter or Identifier.

In lieu of 2 years’ experience, completion of the Racing Officials Accreditation Program. Satisfactory completion of the required exam. Please note: This license will be a restricted license, only issued upon verification of

employment. The restriction will be lifted after one year of employment and a written letter of recommendation from the licensed official for whom your worked.

Study sections – all.

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Starter (Pari-mutuel)

Current license as a fair starter. In lieu of a current license as a fair starter, satisfactory completion of the required exam. A letter from a licensed Pari-mutuel Starter and Presiding Judge verifying your qualifications to

operate the starting gate. Once the recommendation has been submitted you are allowed to start selected pari-mutuel

races with a licensed starter in the gate. At least 30 selected pari-mutuel race starts must be satisfactorily completed before the license

can be issued. Study sections – Rules 4, 5, 6, 13, 16.

Starter (Fair)

At least one year experience of driving the starting gate and schooling horses. Letter from a licensed pari-mutuel starter verifying your qualifications to operate the starting

gate. Satisfactory completion of the required exam. Study sections – Rules 4, 5, 6, 13, 16.

Race Secretary

Minimum 2 years’ experience working as an assistant race secretary under a licensed race secretary (work experience needed before the exam can be taken).

Written recommendation from the race secretary and presiding judge. Satisfactory completion of the required exam. Study sections – Rules 4, 6, 7, 9, 10, 11, 12, 13, 14, 20, 22, 24.

Patrol Judge, Paddock Judge, and Identifier

Satisfactory completion of the required exam. Written recommendation from a presiding judge. Study sections – Rules 4, 6, 7, 20, horse identification worksheet.

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Rule 4 – RACING TERMINOLOGY AND DEFINITIONS

Define the following:

1. Claiming race _________________________________________________________________

2. Early closing race _________________________________________________________________

3. Late closing race _________________________________________________________________

4. Appeal ________________________________________________________________________

5. Declaration ________________________________________________________________________

6. Entry ________________________________________________________________________

7. Futurity ________________________________________________________________________

8. Stake ________________________________________________________________________

9. Maiden ________________________________________________________________________

10. Protest ________________________________________________________________________

11. Conditioned race _________________________________________________________________

12. Classified race _________________________________________________________________

13. Handicap ________________________________________________________________________

14. Nomination ________________________________________________________________________

15. Extended pari-mutuel meet ___________________________________________________________

16. Overnight race _________________________________________________________________

17. Coupled entry _________________________________________________________________

18. Inquiry ________________________________________________________________________

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Rule 5 – TRACK MEMBERS

1. Who prescribes the length of time before a race that horses must be in the paddock?

__________________________________________________________________________________

__________________________________________________________________________________

2. What persons are entitled to admittance to the paddock?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

3. What items of technical equipment are prescribed in the rules as being mandatory at all pari-mutuel

meetings?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

4. When should the official sign be displayed?

__________________________________________________________________________________

__________________________________________________________________________________

5. What action is called for on the part of the judges in the case of a racing accident?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

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6. What are the physical requirements of a paddock?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

7. Under USTA Rules, what are the requirements at an extended pari-mutuel track with respect to the

use of a breath analyzer?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

Rule 6 – RACE OFFICIALS

1. Who is responsible for the records of a meeting?

__________________________________________________________________________________

__________________________________________________________________________________

2. What are the reasons for which an official’s license may be revoked?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

3. What is the maximum fine or suspension the judges may impose without a hearing?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

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4. Who must be present for a hearing per USTA Rules?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

5. May an official at a pari-mutuel track own a horse or deal in horses racing at the track at which he

works as an official?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

6. Under which circumstances should the “objection” or “inquiry” sign be displayed?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

7. On what should all judges concentrate during the post parade and preliminary scoring of the field?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

8. At what meetings are patrol judges required?

__________________________________________________________________________________

__________________________________________________________________________________

9. If no complaint is received from the driver, is it necessary to investigate possible interference or

other violations?

__________________________________________________________________________________

__________________________________________________________________________________

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10. What are the reasons specified in the rules whereby a horse may be excluded from a race by the

judges?

__________________________________________________________________________________

__________________________________________________________________________________

11. After official placings have been made at the conclusion of a race, is it possible for the judges to alter

their decision and by doing so affect the distribution of betting pools? Explain.

___________________________________________________________________________________

___________________________________________________________________________________

12. Do the rules state that the judges must investigate any act of cruelty seen by them or reported to

them, or is this simply a moral obligation?

__________________________________________________________________________________

__________________________________________________________________________________

13. Who is responsible for the locking down of the pari-mutuel machines?

__________________________________________________________________________________

14. What is the duty of the judges when a track is thrown into darkness due to a power failure during a

race?

__________________________________________________________________________________

__________________________________________________________________________________

15. Whose responsibility is it to furnish complete and accurate program information?

__________________________________________________________________________________

16. When should the photo sign be displayed?

__________________________________________________________________________________

__________________________________________________________________________________

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17. When does the starter have control over the field of horses?

__________________________________________________________________________________

__________________________________________________________________________________

18. Can a race be made “official” before reports have been received from the patrol judges?

__________________________________________________________________________________

__________________________________________________________________________________

19. The rules list various duties of the judges. In your own words, what are they?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

Rule 7 – HORSE IDENTIFICATION AND PROGRAM INFORMATION

1. Under whose name must a horse race?

__________________________________________________________________________________

2. If a horse, which is under lease, is racing, in whose name must he race – the owner’s name or the

name of the lessee?

__________________________________________________________________________________

3. Under USTA Rules, may a horse that has not been tattooed/freeze branded start in a race at a pari-

mutuel track? Explain.

__________________________________________________________________________________

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4. What are the program requirements concerning a pacer racing without hopples?

__________________________________________________________________________________

5. What information must be listed on the printed program and electronic eligibility regarding claiming

races?

__________________________________________________________________________________

__________________________________________________________________________________

6. What is the penalty which may be imposed upon an individual who fails to provide legible, clear and

accurate judge’s sheets?

__________________________________________________________________________________

__________________________________________________________________________________

7. Is it necessary to record permissive medications on a judge’s sheet and printed program?

__________________________________________________________________________________

Rule 8 – RACING, FARM, CORPORATE OR STABLE NAMES

1. What is the status of a horse that is registered under a stable name when one of the members is

suspended?

__________________________________________________________________________________

_________________________________________________________________________________

2. How is a corresponding officer designated?

__________________________________________________________________________________

__________________________________________________________________________________

3. Who is responsible for signing on behalf of a racing, farm, corporation or stable name in regards to

transfers, claims and other documents?

__________________________________________________________________________________

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4. Must a racing, farm, corporate or stable name be registered with the USTA?

_________________________________________________________________________________

5. Must all members of a racing, farm corporate or stable name be members of the USTA?

__________________________________________________________________________________

Rule 9 – ELECTRONIC ELIGIBILITY

1. Is a horse permitted to start in a race without electronic eligibility?

__________________________________________________________________________________

2. Who may make corrections on an electronic eligibility?

__________________________________________________________________________________

3. If a horse is sold after electronic eligibility is issued, what must be done with regard to the transfer

of ownership?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

4. May a horse 15 years of age or older perform in a race? Explain.

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

5. Are there any instances when an electronic eligibility may not be issued? Explain.

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

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Rule 10 – CLASSIFICATION OF HORSES

1. Per USTA Rules, what types of races may be offered at a meet?

__________________________________________________________________________________

2. Who sets the standards to determine whether a horse is qualified to race in overnight events at a

meet?

__________________________________________________________________________________

3. When does a two-year old or three-year old become eligible to be placed on the preferred or

invitational list to race against older horses?

__________________________________________________________________________________

__________________________________________________________________________________

4. When may a race secretary reject the declaration of a horse?

__________________________________________________________________________________

5. When is a horse’s eligibility determined?

__________________________________________________________________________________

6. When may substitute races be used?

__________________________________________________________________________________

__________________________________________________________________________________

7. May an overnight event which fills satisfactorily ever be carried over to the next racing day in favor

of a second division of another overnight event?

__________________________________________________________________________________

__________________________________________________________________________________

8. When may classified races be used?

__________________________________________________________________________________

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9. When, if ever, is it permissible for a race secretary to select the divisions in which horses will race in

the event a race is split?

__________________________________________________________________________________

__________________________________________________________________________________

Rule 11 – CLAIMING RACES

1. Under USTA Rules, who is eligible to claim a horse from a claiming race?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

2. Under any circumstance may a trainer sign an authorization for a horse to start in a claiming race?

__________________________________________________________________________________

__________________________________________________________________________________

3. How long before post time must a claim be entered for a race?

__________________________________________________________________________________

4. When may a horse that was claimed be transferred or sold?

__________________________________________________________________________________

__________________________________________________________________________________

5. What items, other than verification of electronic eligibility, must be on file with the race secretary’s

office before a horse may race in a claiming race?

__________________________________________________________________________________

__________________________________________________________________________________

6. What types of conditions may be applied to claiming races?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

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7. When, if ever, may a claim be voided?

__________________________________________________________________________________

__________________________________________________________________________________

Rule 12 – NOMINATIONS, ADDED MONEY EVENTS

1. What is the date for closing of nominations of yearlings to stakes? _______ To futurities? _______

2. In the event there are conflicting published conditions for a race, which one will govern?

__________________________________________________________________________________

__________________________________________________________________________________

3. If an early closing event is split into divisions, how much would the sponsor have to add to the

advertised purse?

__________________________________________________________________________________

__________________________________________________________________________________

Rule 13 – ENTRIES, STARTERS REQUIRED, PURSE MONEY DISTRIBUTION

1. In the event an early closing race is declared off because of a lack of declarations, what disposition is

made of the money paid in by the nominators?

__________________________________________________________________________________

__________________________________________________________________________________

2. What is the maximum number of horses that may start in any race?

__________________________________________________________________________________

3. What is the maximum number of horses that may start in an overnight race at an extended pari-

mutuel meeting? ________ Distinguish between a half mile track and a larger track.

__________________________________________________________________________________

__________________________________________________________________________________

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4. In an overnight event, if only four horses start in a race, what disposition is made of fifth money?

__________________________________________________________________________________

5. Except in the case of stake and futurities, unless otherwise specified in the conditions, how shall the

purse money be distributed in dashes?

__________________________________________________________________________________

__________________________________________________________________________________

6. For stake and futurities, unless otherwise specified in the conditions, how shall the purse money be

distributed?

__________________________________________________________________________________

__________________________________________________________________________________

7. If there are any premiums for which horses have started but were unable to finish due to an

accident, what horse or horses are awarded this money?

__________________________________________________________________________________

__________________________________________________________________________________

8. What number of horses declared to start in an early closing or late closing race at a pari-mutuel

track make it mandatory for the race to be contested?

__________________________________________________________________________________

__________________________________________________________________________________

9. When is it optional for a track to race an event as elimination heats?

__________________________________________________________________________________

__________________________________________________________________________________

Rule 14 – ENTRY, DRAWING OF POST POSITIONS, POST DRAW

1. Unless otherwise specified in the conditions, what time does the declaration box close?

__________________________________________________________________________________

2. If a horse is placed on the steward’s list, what notices are required?

__________________________________________________________________________________

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3. What are the reasons by which a presiding judge may place a horse on the steward’s list?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

4. For what reasons may the judges require a horse at a pari-mutuel meeting to go a qualifying race?

__________________________________________________________________________________

__________________________________________________________________________________

5. If the length of a race and the number of heats are not specified in the conditions, what length shall

a race be and how many heats shall be raced at an extended pari-mutuel meet? ________________

At a meeting of ten days or less? ______________________

6. How many heats or dashes may a two year old start in a single day and at what distance may he

race?

__________________________________________________________________________________

__________________________________________________________________________________

7. If it was determined the day after a race that the winner was ineligible and the horse finishing

second was awarded first purse money, what would be the effect on the placed horse’s status as a

maiden?

__________________________________________________________________________________

__________________________________________________________________________________

8. How is preference date on a horse determined?

__________________________________________________________________________________

__________________________________________________________________________________

9. If a condition was advertised “non-winners of $3,500” in a given year “mares preferred”, who would

have preference – a mare with a date of an 8/10 preference date or a gelding with an 8/8

preference date? Explain.

__________________________________________________________________________________

__________________________________________________________________________________

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10. Who is responsible for the coupling of horses?

__________________________________________________________________________________

11. When, if ever, may a horse that was omitted through error be added to a race?

__________________________________________________________________________________

__________________________________________________________________________________

12. Under what circumstances may an entry be “uncoupled”?

__________________________________________________________________________________

13. When must horses be coupled as an entry?

__________________________________________________________________________________

__________________________________________________________________________________

14. How many horses may be drawn as also eligibles?

__________________________________________________________________________________

15. May a horse be barred from a race because he has drawn as an also eligible in another race?

__________________________________________________________________________________

16. When must horses on the also eligible list, not moved in to race, be released?

__________________________________________________________________________________

17. State the procedure to be followed in reopening any event that did not fill.

__________________________________________________________________________________

__________________________________________________________________________________

18. How is preference applied in the event an overnight event has been reopened because it did not fill?

__________________________________________________________________________________

__________________________________________________________________________________

19. May the presiding judge or other official at a non-extended meet remove a horse from the steward’s

list that was placed on the list for being dangerous or unmanageable?

__________________________________________________________________________________

__________________________________________________________________________________

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20. In your own words, state the rule which provides when starting fees are payable and the

circumstances, if any, under which they may be refunded.

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

21. Under the elimination heats plan, when there are two elimination heats, how many horses qualify

for the final? __________________ When there are three or more? _________________________

22. How are post positions drawn for the final heat of an event raced under the elimination heats plan?

__________________________________________________________________________________

__________________________________________________________________________________

Rule 15 – POSTPONEMENT

1. Per USTA Rules, who decides to cancel or postpone races at a pari-mutuel track?

__________________________________________________________________________________

__________________________________________________________________________________

2. What occurs in the case of an early or late closing or overnight event that has been started but

remains unfinished on the last day of the scheduled meet?

__________________________________________________________________________________

__________________________________________________________________________________

3. May a meet be extended to allow for a stake or futurity to be finished?

__________________________________________________________________________________

4. At a meet of five days or less, explain if/how races may be cancelled or postponed.

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

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Rule 16 – STARTING OF HORSES

1. Where shall the starting point on a race track be located?

__________________________________________________________________________________

2. Under what circumstances is it possible for a starter to have a recall after the word “GO” has been

given?

__________________________________________________________________________________

__________________________________________________________________________________

3. At what point are horses placed under the control of the starter?

__________________________________________________________________________________

4. What are the possible reasons for a starter to have a recall?

__________________________________________________________________________________

__________________________________________________________________________________

5. How long may horses be held on the backstretch before the start of a race?

__________________________________________________________________________________

6. List the violations of the starting rule.

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

7. In the event there are two tiers of horses and a horse is scratched out of the first tier, how does this

affect the horses in the second tier?

__________________________________________________________________________________

8. When may a horse that has been deemed a starter fail to complete the race?

__________________________________________________________________________________

__________________________________________________________________________________

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9. List the minimum speeds that must be maintained to allow sufficient time to gradually increase the

speed of the gate.

__________________________________________________________________________________

__________________________________________________________________________________

10. Shall the speed of the gate ever be decreased? Explain.

__________________________________________________________________________________

Rule 17 – DRIVERS AND TRAINERS

1. List the categories of driver’s licenses which are valid for extended pari-mutuel meetings.

__________________________________________________________________________________

__________________________________________________________________________________

2. Under what circumstances may a driver holding a qualifying license race in races at an extended

pari-mutuel meeting other than qualifying races?

__________________________________________________________________________________

__________________________________________________________________________________

3. What are the requirements which must be met before a driver holding a provisional license can be

considered for advancement?

__________________________________________________________________________________

__________________________________________________________________________________

4. State the rule relating to the “dress” of drivers.

__________________________________________________________________________________

__________________________________________________________________________________

5. Explain the provisions of Rule 17, Section 5 relative to obtaining a driver’s license.

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

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6. List the eleven acts which constitute disorderly conduct under Rule 17, Section 14.

1. ______________________________________________________________________________

2. ______________________________________________________________________________

3. ______________________________________________________________________________

4. ______________________________________________________________________________

5. ______________________________________________________________________________

6. ______________________________________________________________________________

7. ______________________________________________________________________________

8. ______________________________________________________________________________

9. ______________________________________________________________________________

10. ______________________________________________________________________________

11. ______________________________________________________________________________

7. Explain the following driver’s license categories:

a. Qualifying

________________________________________________________________________

________________________________________________________________________

b. Conditional

________________________________________________________________________

________________________________________________________________________

c. Provisional

________________________________________________________________________

________________________________________________________________________

8. Explain the provisions of Rule 17, Section 16 relative to obtaining a rider’s license.

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

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Rule 18 – RACING AND RACETRACK RULES

1. What actions are required by a driver whose horse breaks from its gait in a race?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

2. If a driver is guilty of interference and is to be set back in the placings, state the rule which

prescribes how far he may be set back.

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

3. If a driver is not mounted in the sulky at the finish of the race, where must the horse be placed?

__________________________________________________________________________________

__________________________________________________________________________________

4. What are the three violations of the breaking rule?

1. ___________________________________________________________________________

2. ___________________________________________________________________________

3. ___________________________________________________________________________

5. Explain the procedure which a driver must follow in filing an objection.

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

6. In your own words, distinguish between the application of Rule 18, Section 5(a) and Rule 18, Section

5(b) (the rule on inconsistent performance).

__________________________________________________________________________________

__________________________________________________________________________________

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7. Under USTA Rules, may a penalty which is imposed for an act of interference be in the form of either

a fine or suspension from driving? __________________ Explain.

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

8. If there has been no failure on the part of the driver in complying with the “breaking rule” may he

still be set back? _______________ Explain.

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

9. In your own words, state the rule relating to the substitution of drivers.

__________________________________________________________________________________

__________________________________________________________________________________

10. If a driver driving a horse coupled in betting as part of an entry is guilty of interference, is it

necessary for the judges to penalize the entire entry?

__________________________________________________________________________________

_________________________________________________________________________________

11. There are thirteen sub-sections of Rule 18, Section 1 (driving violations). List them.

1. ___________________________________________________________________________

2. ___________________________________________________________________________

3. ___________________________________________________________________________

4. ___________________________________________________________________________

5. ___________________________________________________________________________

6. ___________________________________________________________________________

7. ___________________________________________________________________________

8. ___________________________________________________________________________

9. ___________________________________________________________________________

10. ___________________________________________________________________________

11. ___________________________________________________________________________

12. ___________________________________________________________________________

13. ___________________________________________________________________________

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12. In your opinion, what factors should be considered by officials in determining whether or not a

horse was raced inconsistently?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

13. What shall be the time between separate heats of a single race?

__________________________________________________________________________________

__________________________________________________________________________________

14. What are the two reasons by which a horse that fails to finish after starting in a heat may return for

the next heat?

__________________________________________________________________________________

__________________________________________________________________________________

15. In your own words, state the rule which relates to a horse wearing hopples.

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

16. Per USTA Rules, what are the mandatory penalties for the brutal use of a whip or crop or excessive

or indiscriminate use of the whip or crop?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

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Rule 20 – STANDARDS OF CONDUCT

1. Explain the rule which relates to an owner, trainer or driver betting on a horse other than one they

represent, handle or have an interest in.

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

2. When a mare is spayed, where must this information be noted?

__________________________________________________________________________________

__________________________________________________________________________________

3. What responsibilities are placed upon an owner or trainer of a horse that has been nerved?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

4. In your own words, state the provision in the rules that fixes the responsibility for the condition of

the horse.

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

5. Explain the financial responsibility rule.

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

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Rule 21 – MEDICATIONS AND DRUGS

1. What horses are subject to a blood or urine test at every pari-mutuel track?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

2. What do the rules prescribe shall be procedure followed by the presiding judge in the event he/she

is notified by the laboratory that there has been a positive test finding?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

3. When a horse has had a positive test, what changes must be made on the electronic eligibility and

how is it indicated on the program and judge’s books?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

4. Do the rules prescribe a definite time for a hearing to be set after a positive test finding?

__________________________________________________________________________________

__________________________________________________________________________________

5. When a positive test is charged to the winner of the race, what becomes of the official time of the

race?

__________________________________________________________________________________

6. There is a definite rule on the medication of horses that are racing. What is the rule?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

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7. What is required if an owner, trainer, driver or authorized agent who has the care, custody and/or

control of the horse refuses to submit a horse for testing?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

Rule 22 – FINES, SUSPENSIONS AND EXPULSION

1. When does a penalty become effective?

__________________________________________________________________________________

__________________________________________________________________________________

2. In the event of a fine or suspension, what notices are necessary?

__________________________________________________________________________________

__________________________________________________________________________________

3. May the ownership of a horse be transferred in order to circumvent a suspension?

__________________________________________________________________________________

__________________________________________________________________________________

4. Under any circumstances may a horse race that is owned by a person under suspension?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

5. Explain the rule which deals with the effect of a minor penalty on the future driving engagements of

a driver.

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

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Rule 23 – PROTESTS AND APPEALS

1. What is the time limit requirement which must be met in the filing of an appeal?

__________________________________________________________________________________

__________________________________________________________________________________

2. Who is eligible to file a protest against a horse?

__________________________________________________________________________________

__________________________________________________________________________________

3. When must a protest be filed?

__________________________________________________________________________________

__________________________________________________________________________________

4. When an appeal is made, is the appellant always granted a stay of suspension? Explain.

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

5. In the event a horse starts under protest and there is nothing further done to sustain the charges,

when may winnings which the protested horse may have won be paid?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

6. What penalty may be imposed on an official who refuses to accept a protest or an appeal?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

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Rule 24 – TIME AND RECORDS – RACE WINNERS

1. If a horse is disqualified for interference in winning a race, can the horse placed first get credit for

the time of the race?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

2. What age(s) of horse may perform in a time trial and what times must they equal or beat?

__________________________________________________________________________________

__________________________________________________________________________________

3. In the case of a malfunction of an approved electric timer, how may a race be timed?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

4. In the case of a dead heat for first place, which horse, if any, receives the record?

__________________________________________________________________________________

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Horse Identification Worksheet

____________________Abbreviations of Markings Used for Identification_____________________

AND &

INTO INT

ANKLE ANK

IRREGULAR IRR, IR

BEHIND BHND, BEH

LARGE LG

BLACK BLK, BL

LEFT FRONT LF

BLAZE BLZ

LEFT HIND LH

BOTH BO

LOWER LOW LWR

BRANDED BRND

LOWER LIP LWLIP, LWLP

BROKEN BRKN

MUZZLE MUZ, MZ

CONNECTING CON, CO

NECK NK

CORONET COR, CO

NOSE NS

CRESCENT CRSNT, CRES

NOSTRIL NSTL, NST

DARK DRK, DK

OUTSIDE OUT, OU

ELONGATED ELNG

PASTERN PAST, PAS, PA

EXTENDING EXT, EX

QUARTER QRTR, QTR

FAINT FNT

RIGHT FRONT RF

FETLOCKS FET

RIGHT HIND RH

FOREHEAD FRHD, FHD

SCATTERED SCAT, SC

FRONT FR

SHOULDER SHLD

HEAD HD

SMALL SM

HIGHER HI

UPPER LIP UPLIP, UPLP

HIND ANKLES HDANKS

WITH W/

INSIDE INS, IN

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eTrack Reports

There are many reports available to licensed officials via eTrack, which is the system used by the race

office to complete daily work. This section will provide a sample and description of the most commonly

used reports from each subsection – conditions, pre-race processing and post-race processing.

Conditions

Entries Exception Report

The entries exception report is a comprehensive report consisting of several sections. The first lists all

horses entered into a condition sheet in alphabetical order along with each tattoo or freezebrand,

Coggins date and state issued, trainer name, and judges’ notes. In addition, a horse that does not have

US lifetime or Canadian yearly eligibility will be denoted with “No EE”.

The next section of the exception report lists trainers with more than one horse entered into the same

event and horses entered into the same event with common ownership. Both of these are used to

determine if entries need to be split into separate divisions or if coupled entries are needed.

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The last section of the exception report is membership status. This section lists, by event, any owner,

driver or trainer that has expired USTA membership.

Eligibility/Draw Eligibility

The eligibility report is used by the race secretary to check the eligibility of a horse for the event in which

it has been entered. The draw eligibility, shown below, includes all the same information as the

eligibility, but also includes slots that may be used to denote the post position, head number and race

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number, similar to a declaration blank. In most race offices, this report is printed and used in the draw

instead of using hand written declaration blanks.

Entry Checklist

The entry checklist is generated for each event of a condition sheet and lists every horse entered, in

alphabetical order, as well as preference dates, money won last “x” starts, sex, and age. Slots are also

provided to denote the post position drawn and division (if there are multiple divisions) for each horse

or to list why a horse was not used in the race (i.e. out by date, moved to another event, requested out,

etc.). This report is often posted in the race office following a draw.

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Pre-Race Processing

Identifier’s List

The most commonly used report within the pre-race section of eTrack is the identifier’s list. It is used by

the identifier and/or paddock judge to correctly identify horses as they check into the paddock prior to

racing.

This report also includes a driver and trainer paddock list and can be used for drivers and trainers to sign

into the paddock.

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Daily Medication List

The daily medication list lists all horses that are scheduled to receive permissible medication by race.

The tattoo/freezebrand, trainer and owner name and a slot for a signature are also provided on the

report.

Lasix Sign In

The Lasix sign in sheet is a variation of the medication list. This sheet provides slots for the amount of

Lasix being given as well as a slot for a signature and time given.

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Post Race Processing

Judges Sheets

A judges sheet is the official chart of a race that must be signed by the presiding judge. Before signing

off on a race, judges must review all information carefully and give any changes to the charter. Once the

presiding judge has signed off on the race, the results are electronically submitted to the USTA. Judges

sheets are also used by the horsemen’s bookkeeper to pay out purses.

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Forms

The USTA has made various forms available electronically. These forms may be accessed through the

main menu of eTrack and also via this link: http://www.ustrotting.com/forms/track_forms.cfm. Sample

forms are listed below.

Steward’s Notice

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Notice of Suspension or Fine

Fines/suspensions are most often entered electronically via the USTA Fines and Suspensions System

(FAS), but in the rare case that a judge does not have access to this system (i.e. certain county fairs), this

form may be used and sent to the USTA for entry.

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Appeal Form

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Official Accident Report

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Protest

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Sulky Failure Report

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Failure To Honor Declaration

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Notes