Wellington RC 19 March 2022 – R7 – Kate Hercock and Kozzi Asano

ID: RIB8146

Kate Hercock - Jockey, Kozzi Asano - Apprentice Jockey

Mr J Oatham - Chief Stipendiary Steward

N McCutcheon (Chair) and Hon J W Gendall QC

Persons Present:
K Hercock, K Asano, J Oatham, N Goodwin (Stipendiary Steward), Ms K Clapperton (Apprentice Riding Mentor Central District) assisting K Asano

Information Number:
A14525, A14526

Decision Type:
Race Related Charge

Careless Riding

638(1)(d) - Riding/driving infringement



Race Date:

Race Club:
Wellington Racing Club

Race Location:
Trentham - 10 Racecourse Rd, Upper Hutt, 5018

Race Number:

Hearing Date:

Hearing Location:

Penalty: Jockey Kate Hercock is suspended for 4 weeks; Apprentice Jockey Kozzi Asano is suspended for 4 weeks


The two Informations filed with the Adjudicative Committee were, with the approval of the parties, heard together as both Respondents were involved in the same incident (A Rider being dislodged with approximately 50m to travel).  Their carelessness was separately considered.


Information No. A14525

K Hercock admitted a breach of Rule 638(1)(d) in riding carelessly in that she allowed her mount to shift inwards near the 50m resulting in “SCOTCH” (S MacNab) clipping the heel of her mount and dislodging the Rider.

Ms Hercock said that she understood the Rule and charge and confirmed that she admitted the breach.

Information No. A14526

K Asano admitted a breach of Rule 638(1)(d) in that he allowed his mount to shift outwards near the 50m crowding “SCOTCH” which clipped the heel of Ms Hercock’s mount which had been allowed to shift in and impede “SCOTCH”.

Mr Asano said that he understood the Rule, charge and confirmed that he admitted the breach.

Mr Goodwin showed film replays and identified the three horses involved.  He said that initially all three horses had shifted about without any problems.  He then said that approaching the 50m Ms Hercock’s mount shifted in when not clear of Ms MacNab’s mount.  Mr Asano’s mount also shifted out when not clear of Ms MacNab’s mount.

The two shifts resulted in Ms MacNab’s mount “SCOTCH” running out of racing room and having to be checked.  It clipped a heel of Ms Hercock’s mount which had taken its line with Ms MacNab falling to the ground.

Ms Hercock said that Mr Goodwin had summed up correctly.  She said that her horse had shifted about 1.5 horse widths.  She added that at the time she was not aware that Ms MacNab was on the inside of her.

Mr Asano said that his horse was tired and shifted out badly.  He said that he tried to straighten but it still came out.

Both Riders said that there was not any calling.


As both charges were admitted, together with the conclusive film evidence, the two charges, Informations A14525 and A14526 were found proved.


Mr Oatham produced records of both Jockeys which showed:

Ms Hercock had two breaches of the Rule in the last 12 months:

31.12.21         –           4-Days Suspension

02.03.22         –           4-Days Suspension

Mr Asano had breached the Rule once in the last 12 months:

04.12.21         –           5-Days Suspension

Mr Oatham said that it had been recognised that where a fall is caused by a Jockey’s careless riding the starting point is four weeks suspension.

He said that this instance was unusual as two Riders had been charged with careless riding and each had contributed to the fall of Ms MacNab’s mount.

He added that it had occurred in a Listed Race.

Ms Clapperton said that the movements were not abrupt shifts and that both horses shifted gradually.


The Adjudicative Committee found that both Jockeys were equally responsible for “SCOTCH” running out of racing room, which resulted in Rider Ms MacNab being dislodged and falling to the ground.  Although Mr Asano’s mount shifted ground to a greater extent than Ms Hercock’s, the careless riding only occurred at the point when each Rider, separately, took the line of Ms MacNab’s mount.  The fall would not have resulted, if her mount had not clipped the heel of Ms Hercock’s mount although both Riders would still have been guilty of careless riding.

A starting point of four weeks suspension was adopted for both K Hercock and K Asano.

Due to the genuine remorse shown by both Riders, their records and admissions of the breach a discount of one week was afforded.

Aggravating factors were:

  1. Listed Race
  2. “SCOTCH” would likely have at least finished 3rd placing
  3. The Owners lost $5400 in potential prize money
  4. The Punters lost a potential return on their investment

For those matters an uplift of one week’s suspension was considered appropriate.


Ms Hercock’s Jockey’s Licence was suspended from the end of racing on 27 March to 24 April 2022 inclusive (4 weeks).

Mr Asano’s Jockey’s Licence was suspended from the end of racing on 26 March to 23 April 2022 inclusive (4 weeks).

(The commencement dates of the suspensions were at the request of the Jockeys)

Decision Date: 19/03/2022

Publish Date: 22/03/2022