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The Saratoga policy of the New York State Racing and Wagering Board (NYSRWB) fits N.Y. A.P.A. Law § 102(2)(a)(i) of the State Administrative Procedure Act's definition of a rule. As such, a rule is an agency's stated policy of general applicability which prescribes a procedure or practice requirement of the agency.
The policy of respondent New York State Racing and Wagering Board (NYSRWB) required that, following an administrative appeal, a suspension imposed for an infraction committed at the racetrack was to have been served at the meet the following year. The NYSRWB suspended the petitioner jockey’s license for 10 days and directed the suspension to be served at the racetrack meet the following year, and dismissed the proceeding. The suspension was affirmed by the Appellate Division of the Supreme Court in the First Judicial Department (New York). Petitioner jockey appealed, arguing that the policy had the attributes of a "rule" as that term was defined by N.Y. A.P.A. Law § 102(2)(a)(i). Thus, the policy could not have been applied in his case because it was not formally promulgated by the NYSRWB pursuant to the rule-making procedures set forth in N.Y. A.P.A. Law § 202. The NYSRWB argued that the policy did not fit the definition of a rule because it only affected the implementation of a penalty, not the jockey's conduct.
Did the respondent’s policy fit the definition of a rule under N.Y. A.P.A. Law § 102(2)(a)(i)?
The Court concluded that the policy fit the definition of a rule under N.Y. A.P.A. Law § 102(2)(a)(i). It was an agency's stated policy of general applicability that prescribed a procedure or practice requirement of the agency. It established a mandatory procedure that pertained only to when and where a suspension must have been served in the event of an appeal. Thus, the decision was modified by annulling so much of the NYSRWB's determination as directed that the penalty be served during the meet's racing days, and the matter was remitted to the NYSRWB for further proceedings.