Non Raceday Inquiry – DC Ellis

Mr DC Ellis was charged with two charges.

The charges heard by the Judicial Committee acting pursuant to Rule 1102 were as follows:

"1. THAT the horse ZAMFIR trained at Te Akau Racing Stables, by the licensed trainer, Mr Mark Walker, was, on or about the 1^st of April 2004, leased by the owner Mr Peter Setchell to you as the Syndicate Manager, on behalf of the "Party Syndicate", AND THAT such notice of a change of ownership, by way of a lease, as required by the provisions of Rule 420(1), to be registered on the prescribed form and sent to the Chief Executive of New Zealand Thoroughbred Racing within fourteen days, when in fact such notice was not received for registration until, on or about the 30^th December 2004, AND THAT your failure to register such lease leaves you in breach of Rule 420(5) of the said rules, for which you are liable to a penalty or penalties which may be imposed upon you pursuant to Rule 1003, of the Rules of Racing.

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2. YOU ARE FURTHER CHARGED, THAT you did enter and start the horse ZAMFIR in a race at the Counties Racing Club meeting, held at the Te Aroha Racecourse on the 15^th December 2004, in Race 3, horse number 14 on the card, the Edwards Passenger Service 1300, being at a time during the period of the unregistered lease, (1.4.2004 and 30.12.04), AND THAT subject to the provisions of Rule 420(6), the said horse ZAMFIR was ineligible to race, AND THAT you are therefore in breach of the said rule, for which you are liable to such penalty or penalties which may be imposed upon you pursuant to Rule 1003 of the Rules of Racing.
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3. YOU ARE FURTHER NOTIFIED, that an application will be made on behalf of New Zealand Thoroughbred Racing, for an exemption from the provisions of Rule 403(6), THAT the horse ZAMFIR, not be disqualified from the race in which it ran second, namely the Edwards Passenger 1300, at the Counties Racing Club meeting at Te Aroha, on the 15^th December 2004, BUT THAT the stakes earned from the race, a sum of $1000, for second placing be paid to the Chief Executive of New Zealand Thoroughbred Racing, as provided for in that Rule."

Mr Ellis admitted the breaches.

Mr JW McKenzie, Chief Racecourse Inspector, then read to the Committee a detailed summary of facts as follows ?

"On or about the 1^st of April 2004, the filly ZAMFIR was leased through Mr Mark Walker, the licensed trainer for Te Akau Racing Stables, owned by Mr David Ellis. It was intended for Te Akau to put together a syndicate, to be known as the "Party Syndicate" of which Mr Ellis was to be the Syndicate Manager, in terms of the New Zealand Rules of Racing.

Due to a number of factors the syndicate was not registered with NZTR until on or about the 30 December 2004.

On the 15^th December 2004, the filly ZAMFIR raced and ran second, to win a stake of $1000, in the Edwards Passenger 1300, at the Counties Racing Club meeting, held at Te Aroha.

It is accepted by NZTR that both Mr Walker and Mr Ellis have relied upon their experienced staff to fulfil an obligation placed upon Te Akau Racing Stables, which is in effect Mr Ellis. Mr Ellis accepts that the responsibility rests on his shoulders and that while he can delegate authority, he cannot pass the mantle of responsibility.

The charges arise out of the failure by Mr Ellis (through the delegated authority he has given to his staff to complete the details), as the syndicate manager to have the lease registered, and further that the horse competed in a race, having been nominated, through delegated authority by him, as the syndicate manager, when such ownership/lease arrangement was not in place. Hence this created a breach of Rule 420(6)."

Mr Ellis asked that the Committee take into consideration his long involvement with racing starting from 1973 and in that time this was the only mistake he had made. It arose because some members of the syndicate were overseas and some difficulties arose in receiving information from them. He did not wish any blame to be placed on his office staff and he accepted full responsibility for the failure to complete registration.

Mr McKenzie submitted on the issue of penalty, that in line with similar breaches, details of which he provided, a fine would be appropriate. He also accepted that under the provisions of Rule 403(6) special circumstances existed warranting that the horse ZAMFIR not be liable to disqualification provided that in granting exemption, the sum of $1000, representing the amount earned for second placing, be paid to the Chief Executive of NZTR, as provided for in Rule 403(6).

Penalty Decision:

The Committee carefully considered the submissions on penalty submitted by Mr McKenzie and in particular the range of penalties imposed for similar cases involving breaches of these rules.

The Committee complimented Mr Ellis for personally fronting up to face the charges when perhaps he could have hidden behind the actions of his staff. However, as he stated, the responsibility to make sure the rules are adhered to are finally his and he is entitled to credit for taking that responsibility in this particular case.

We have taken into account Mr Ellis's guilty plea, his previous record and his genuine regret and embarrassment over this breach of the rules.

Accordingly, we order a fine of $1000 be imposed with costs of $250 to NZTR and a further $250 to the JCA. Further we order that the application for exemption from the provisions of Rule 403(6) be allowed in the special circumstances of this case and accordingly the horse ZAMFIR shall be deemed to have been validly entered for and started in the race in which it ran second, namely, the Edwards Passenger Services 1300 at the Counties Racing Club meeting at Te Aroha on the 15 December 2004 and shall not be disqualified therefrom; provided that in granting this exemption it is ordered that the sum of $1000, representing the amount earned for second placing, be paid to the Chief Executive of NZTR, in accordance with the rule.