PUBLIC PROTECTION CABINET
Horse Racing Commission
(As Amended at ARRS,
November 10, 2015)
810 KAR 1:028.
Disciplinary measures and penalties.
RELATES TO: KRS
230.215, 230.225, 230.260, 230.265, 230.290, 230.300, 230.310, 230.320,
230.361
STATUTORY AUTHORITY:
KRS 230.215, 230.225, 230.240, 230.260, 230.265, 230.320
NECESSITY,
FUNCTION, AND CONFORMITY: KRS 230.260(8) authorizes the commission to
promulgate necessary and reasonable administrative regulations under which
racing shall be conducted in Kentucky. This administrative regulation
establishes the penalty structure for rule violations and also establishes
disciplinary powers and duties of the stewards and the commission.
Section 1.
Definitions. (1) "Associated person" means the spouse of an inactive
person, or a companion, family member, employer, employee, agent, partnership,
partner, corporation, or other entity whose relationship, whether financial or
otherwise, with an inactive person would give the appearance that the other
person or entity would care for or train a horse or perform veterinarian
services on a horse for the benefit, credit, reputation, or satisfaction of the
inactive person.
(2) "Class A
drug" means a drug, medication, or substance classified as a Class A drug,
medication, or substance in the schedule.
(3) "Class B
drug" means a drug, medication, or substance classified as a Class B drug,
medication, or substance in the schedule.
(4) "Class C
drug" means a drug, medication, or substance classified as a Class C drug,
medication, or substance in the schedule.
(5) "Class D
drug" means a drug, medication, or substance classified as a Class D drug,
medication, or substance in the schedule.
(6)
"Companion" means a person who cohabits with or shares living
accommodations with an inactive person.
(7) "Inactive
person" means a trainer or veterinarian who has his or her license denied
or suspended or revoked for thirty (30) or more days pursuant to 810 KAR
Chapter 1 or KRS Chapter 230.
(8)
"NSAID" means a non-steroidal anti-inflammatory drug.
(9) "Primary
threshold" means the thresholds for phenylbutazone, flunixin, and
ketoprofen provided in 810 KAR 1:018, Section 8(1)(a), (b), and (c),
respectively.
(10)
"Schedule" means the Kentucky Horse Racing Commission Uniform Drug,
Medication, and Substance Classification Schedule as provided in 810 KAR 1:040.
(11)
"Secondary threshold" means the thresholds for phenylbutazone,[
and] flunixin, and ketoprofen provided in 810 KAR 1:018, Section 8(3)(b),
(c) and (d)[and (c)], respectively.
(12)
"Withdrawal guidelines" means the Kentucky Horse Racing Commission
Withdrawal Guidelines Thoroughbred; Standardbred;[Thoroughbreds,]
Quarter Horse, Appaloosa, and Arabian[Arabians] as
provided in 810 KAR 1:040.
Section 2. General
Provisions. (1) An alleged violation of the provisions of KRS Chapter 230
relating to thoroughbred racing or 810 KAR Chapter 1 shall be adjudicated in
accordance with 810 KAR 1:029, KRS Chapter 230, and KRS Chapter 13B.
(2) If a drug,
medication, or substance is found to be present in a pre-race or post-race
sample or possessed or used by a licensee at a location under the jurisdiction
of the commission that is not classified in the schedule, the commission may
establish a classification after consultation with either or both of the
Association of Racing Commissioners International and the Racing and Medication
Testing Consortium or their respective successors.
(3) The stewards
and the commission shall consider any mitigating or aggravating circumstances
properly presented when assessing penalties pursuant to this administrative
regulation. A licensee may provide evidence to the stewards or the commission
that the licensee complied fully with the withdrawal guidelines as a mitigating
factor.
(4) A licensee
whose license has been suspended or revoked in any racing jurisdiction or a
horse that has been deemed ineligible to race in any racing jurisdiction, shall
be denied access to locations under the jurisdiction of the commission during
the term of the suspension or revocation.
(5) A suspension
or revocation shall be calculated in Kentucky racing days, unless otherwise
specified by the stewards or the commission in a ruling or order.
(6) A person
assessed any penalty, including a written warning, pursuant to this
administrative regulation shall have his or her name and the terms of his or
her penalty placed on the official Web site of the commission and the
Association of Racing Commissioners International, or its successor. If an
appeal is pending, that fact shall be so noted.
(7) A horse
administered a substance in violation of 810 KAR 1:018 may be required to pass
a commission-approved examination as determined by the stewards pursuant to 810
KAR 1:012, Section 10, or be placed on the veterinarian’s list pursuant to 810
KAR 1:018, Section 18.
(8)(a) A claimed
horse may be tested for the presence of prohibited substances if the claimant
completes the Request for Post-Race Testing of Claimed Horse form and includes
the form in the claim blank envelope, which is deposited in the association’s
claim box. The request shall not be valid if the form is not filled out
completely and included in the claim envelope. The claimant shall bear the
costs of the test. The results of the test shall be reported to the chief state
steward.
(b) A person who
claims a horse may void the claim if the post-race or TCO2 test indicates a
Class A, B, or C drug violation, or a total carbon dioxide (TC02) level
exceeding thirty-seven (37.0)[37.0] millimoles per liter. If the
claim is voided, the person claiming the horse shall then be entitled to
reimbursement from the previous owner of all reasonable costs associated with
the claiming process and the post-race or TCO2 testing, including the costs of
transportation, board, training, veterinary or other medical services, testing,
and any other customary or associated costs or fees.
(c) While awaiting
test results, a claimant:
1. Shall exercise
due care in maintaining and boarding a claimed horse; and
2. Shall not
materially alter a claimed horse.
(9) To protect the
racing public and ensure the integrity of racing in Kentucky, a trainer whose
penalty for a Class A violation or for a Class B third offense violation has
not been fully and finally adjudicated may, if stall space is available, be
required to house a horse that the trainer has entered in a race in a
designated stall for the twenty-four (24) hour period prior to post time of the
race in which the horse is entered. If the stewards require the trainer’s horse
to be kept in a designated stall, there shall be twenty-four (24) hour
surveillance of the horse by the association, and the cost shall be borne by
the trainer.
(10) In addition
to the penalties contained in Section 4 of this administrative regulation for
the trainer and owner, any other person who administers, is a party to,
facilitates, or is found to be responsible for any violation of 810 KAR 1:018
shall be subject to the relevant penalty as provided for the trainer or other
penalty as may be appropriate based upon the violation.
(11) A veterinarian
who administers, is a party to, facilitates, or is found to be responsible for
any violation of KRS Chapter 230 or 810 KAR Chapter 1 shall be reported to the
Kentucky Board of Veterinary Examiners and the state licensing Board of
Veterinary Medicine by the stewards.
(12) In accordance
with KRS 230.320(6), an administrative action or the imposition of penalties
pursuant to this administrative regulation shall not constitute a bar or be
considered jeopardy to prosecution of an act that violates the criminal
statutes of Kentucky.
(13) If a person
is charged with committing multiple or successive overages involving a Class C
or D drug, the stewards or the commission may charge the person with only one
(1) offense if the person demonstrates that he or she was not aware that
overages were being administered because the positive test results showing the
overages were unavailable to the person charged. In this case, the person
alleging that he or she was not aware of the overages shall bear the burden of
proving that fact to the stewards or the commission.
(14) If a penalty
for a medication violation requires a horse to be placed on the stewards’ list
for a period of time, the stewards may waive this requirement if ownership of
the horse was legitimately transferred prior to the trainer’s notification by
the commission of the positive test result.
Section 3. Prior
Offenses. A prior offense occurring in Kentucky or any other racing
jurisdiction shall be considered by the stewards and by the commission in assessing
penalties. The stewards shall attach to a penalty judgment a copy of the
offender’s prior record containing violations that were committed both inside
and outside of Kentucky.
Section 4.
Penalties for Class A, B, C, and D Drug Violations and NSAID and Furosemide
Violations. (1) Class A drugs[drug].
(a) TRAINER
First offense
Second lifetime
offense in any racing jurisdiction
Third lifetime offense
in any racing jurisdiction
One (1) to three (3)
year suspension;
AND
$10,000 to $25,000
fine.
Three (3) to five (5)
year suspension;
AND
$25,000 to $50,000
fine.
Five (5) year
suspension to a lifetime ban;
AND
$50,000 to $100,000
fine.
(b) OWNER
First offense
Second lifetime
offense in any racing jurisdiction in a horse owned by the same owner
Third lifetime offense
in any racing jurisdiction in a horse owned by the same owner
Disqualification and
loss of purse;
AND
Horse shall be placed
on the stewards’ list for sixty (60) days and may be required to pass a
commission-approved examination before being eligible to enter as determined
by the stewards.
Disqualification and
loss of purse;
AND
Horse shall be placed
on the stewards’ list for 120 days and may be required to pass a
commission-approved examination before being eligible to enter as determined
by the stewards.
Disqualification and
loss of purse;
AND
Ninety (90) day
suspension;
AND
$50,000 fine;
AND
Horse shall be placed
on the stewards’ list for 180 days and may be required to pass a
commission-approved examination before being eligible to enter as determined
by the stewards.
(2)(a) The
penalties established in paragraphs (b) and (c) of this subsection shall apply
to the following:
1. Class B drugs;
2. Gamma amino
butyric acid in a concentration greater than 110 nanograms per milliliter; and
3. Cobalt in a
concentration greater than fifty (50) parts per billion[drug].
(b)[(a)]
TRAINER
First offense
Second offense within
a 365-day period in any racing jurisdiction
Third offense within a
365-day period in any racing jurisdiction
Thirty (30) to sixty
(60) day suspension;
AND
$500 to $1,000 fine.
Sixty (60) to 180 day
suspension;
AND
$1,000 to $2,500 fine.
180 to 365 day
suspension;
AND
$2,500 to $5,000 fine.
(c)[(b)]
OWNER
First offense
Second offense within
a 365-day period in any racing jurisdiction in a horse owned by the same
owner
Third offense within a
365-day period in any racing jurisdiction in a horse owned by the same owner
Disqualification and
loss of purse;
[AND]
Horse may be required
to pass a commission-approved examination before being eligible to enter as
determined by the stewards;
AND
For a cobalt
violation, the horse shall be placed on the stewards’ list until the horse
tests below twenty-five (25) parts per billion. The owner shall be
responsible for the cost of testing.
Disqualification and
loss of purse;
AND
Horse may be required
to pass a commission-approved examination before being eligible to enter as
determined by the stewards.
Disqualification and
loss of purse;
AND
Horse shall be placed
on the stewards’ list for forty-five (45) days and may be required to pass a
commission-approved examination before being eligible to enter as determined
by the stewards.
(3)(a) The
penalties established in paragraphs (b) and (c) of this subsection shall apply
to a Class C drug violation and an overage of permitted NSAIDs as follows:
1. Phenylbutazone
in a concentration greater than five (5.0) micrograms per milliliter[5.0
mcg/ml];
2. Flunixin in a
concentration greater than 100 nanograms per milliliter[ng/ml];
and
3. Ketoprofen in a
concentration greater than fifty (50) nanograms per milliliter[50
ng/ml].
(b) TRAINER
First offense
Second offense within
a 365-day period in any racing jurisdiction
Third offense within a
365-day period in any racing jurisdiction
Zero to ten (10) day
suspension;
AND
$500 to $1,500 fine.
Ten (10) to thirty
(30) day suspension;
AND
$1,500 to $2,500 fine.
Thirty (30) to sixty
(60) day suspension;
AND
$2,500 to $5,000 fine.
(c) OWNER
First offense
Second offense within
a 365-day period in any racing jurisdiction
Third offense within a
365-day period in any racing jurisdiction
Disqualification and
loss of purse;
AND
Horse may be required
to pass a commission-approved examination before being eligible to enter as
determined by the stewards.
Disqualification and
loss of purse;
AND
If same horse as first
offense, horse shall be placed on the stewards’ list for forty-five (45) days
and may be required to pass a commission-approved examination before being
eligible to enter as determined by the stewards.
Disqualification and
loss of purse;
AND
$5,000 fine;
AND
If same horse as first
and second offenses, horse shall be placed on the stewards’ list for sixty
(60) days and may be required to pass a commission-approved examination
before being eligible to enter as determined by the stewards.
(4)(a)The
penalties established in paragraphs (b) and (c) of this subsection shall apply
to the following:
1. Overage of
permitted NSAIDs as follows:
a. Phenylbutazone
in a concentration greater than two (2) micrograms per milliliter[2
mcg/ml] through five (5) micrograms per milliliter[5 mcg/ml];
b. Flunixin in a concentration
greater than twenty (20) nanograms per milliliter through 100 nanograms
per milliliter[ng/ml]; and
c. Ketoprofen in a
concentration greater than two (2) nanograms per milliliter[10 ng/ml]
through fifty (50) nanograms per milliliter[50 ng/ml];
2. Overage of
furosemide in a concentration greater than 100 nanograms per milliliter[ng/ml];[and]
3. Furosemide not
identified when notice made that the horse would run on furosemide; and
4. Cobalt in a
concentration greater than twenty-five (25) parts per billion through fifty (50)
parts per billion.
(b) TRAINER
First offense
Second offense within
a 365-day period in any racing jurisdiction
Third offense within a
365-day period in any racing jurisdiction
Written warning to a
$500 fine.
Written warning to a
$750 fine.
$500 to $1,000 fine.
(c) OWNER
First offense
Second offense within
a 365-day period in any racing jurisdiction
Third offense within a
365-day period in any racing jurisdiction
Horse may be required
to pass a commission-approved examination before being eligible to enter as
determined by the stewards;
AND
For a cobalt
violation, the horse shall be placed on the stewards’ list until the horse
tests below twenty-five (25) parts per billion. The owner shall be
responsible for the cost of testing.
Horse may be required
to pass a commission-approved examination before being eligible to enter as
determined by the stewards.
If same horse as first
and second offenses, disqualification and loss of purse;
AND
Horse may be required
to pass a commission-approved examination before being eligible to enter as
determined by the stewards.
(d) If a
furosemide violation occurs due solely to the actions or inactions of the
commission veterinarian, then the trainer and owner shall not be penalized.
(5) Multiple
NSAIDs. Overage of two (2) permitted NSAIDs phenylbutazone, flunixin, and
ketoprofen.
(a) TRAINER
Concentrations of both
permitted NSAIDs above the primary threshold.
Concentrations of one
(1) permitted NSAID above the primary threshold and one (1) above the
secondary threshold.
Concentrations of both
permitted NSAIDs below primary threshold and above secondary threshold.
First offense
Zero to sixty (60) day
suspension;
AND
$500 to $1,000 fine.
Zero to fifteen (15)
day suspension;
AND
$250 to $750 fine.
Zero to five (5) day
suspension;
AND
$250 to $500 fine.
Second offense within
a 365-day period in any racing jurisdiction
Sixty (60) to 180 day
suspension;
AND
$1,000 to $2,500 fine.
Fifteen (15) to thirty
(30) day suspension;
AND
$750 to $1,500 fine.
Five (5) to ten (10)
day suspension;
AND
$500 to $1,000 fine.
Third offense within a
365-day period in any racing jurisdiction
180 to 365 day
suspension;
AND
$2,500 to $5,000 fine.
Thirty (30) to sixty
(60) day suspension;
AND
$1,500 to $3,000 fine.
Ten (10) to fifteen
(15) day suspension;
AND
$1,000 to $2,500 fine.
(b) OWNER
Concentrations of both
permitted NSAIDs above the primary threshold.
Concentrations of one
(1) permitted NSAID above the primary threshold and one (1) above the
secondary threshold.
Concentrations of both
permitted NSAIDs below primary threshold and above secondary threshold.
First offense
Disqualification and
loss of purse.
Disqualification and
loss of purse.
No Penalty.
Second offense within
a 365-day period in any racing jurisdiction
Disqualification and
loss of purse.
Disqualification and
loss of purse.
No Penalty.
Third offense within a
365-day period in any racing jurisdiction
Disqualification and
loss of purse.
Disqualification and
loss of purse.
No Penalty.
(6) Class D drugs[Drug].
(a) The penalties
established in paragraph (b) of this subsection shall apply to a Class D drug
violation.
(b) TRAINER
One (1) to four (4)
offenses within a 365-day period in any racing jurisdiction
Five (5) or more
offenses within a 365-day period in any racing jurisdiction
Zero to five (5) day
suspension;
AND
$250 to $500 fine.
Five (5) to ten (10)
day suspension;
AND
$500 to $1,000 fine.
Section 5. TCO2
Penalties. Penalties for violations of 810 KAR 1:018, Section 20(6), (7), or
(8) shall be as follows:
(1) TRAINER
First offense
Second offense within
a 365-day period in any racing jurisdiction
Third offense within a
365-day period in any racing jurisdiction
Subsequent offenses
within a 365-day period in any racing jurisdiction
Zero to ninety (90)
day suspension;
AND
$1,000 to $1,500 fine.
Ninety (90) to 180 day
suspension;
AND
$1,500 to $3,000 fine.
180 to 365 day
suspension;
AND
$3,000 to $5,000 fine.
One (1) year
suspension to lifetime ban.
(2)[(b)]
OWNER
First offense
Second offense within
a 365-day period in any racing jurisdiction
Third offense within a
365-day period in any racing jurisdiction
Subsequent offenses
within a 365-day period in any racing jurisdiction
Disqualification and
loss of purse.
Disqualification and
loss of purse;
AND
If same horse as first
offense, horse shall be placed on the stewards’ list from fifteen (15) to
sixty (60) days and may be required to pass a commission-approved examination
before being eligible to enter as determined by the stewards.
Disqualification and
loss of purse;
AND
If same horse as first
and second offenses, horse shall be placed on the stewards’ list from sixty
(60) to 180 days and may be required to pass a commission-approved
examination before being eligible to enter as determined by the stewards.
Disqualification and
loss of purse;
AND
If same horse as
first, second, and third offenses, horse shall be placed on the stewards’
list from 180 to 365 days and may be required to pass a commission-approved
examination before being eligible to enter as determined by the stewards.
Section 6. Shock
Wave Machine and Blood Gas Machine Penalties. Penalties for violations of 810
KAR 1:018, Section 20(5), (9), or (10), shall be as follows:
(1) TRAINER
First offense
Second lifetime
offense in any racing jurisdiction
Third lifetime offense
in any racing jurisdiction
Thirty (30) to sixty
(60) day suspension;
AND
$1,000 to $5,000 fine.
Sixty (60) to 180 day
suspension;
AND
$5,000 to $10,000
fine.
180 to 365 day
suspension;
AND
$10,000 to $20,000
fine.
(2) OWNER
First offense
Second lifetime
offense in any racing jurisdiction
Third lifetime offense
in any racing jurisdiction
Disqualification and
loss of purse.
Disqualification and
loss of purse;
AND
If same horse as first
offense, horse shall be placed on the stewards’ list from fifteen (15) to
sixty (60) days and may be required to pass a commission-approved examination
before being eligible to enter as determined by the stewards.
Disqualification and
loss of purse;
AND
If same horse as first
and second offenses, horse shall be placed on the stewards’ list from sixty
(60) to 180 days and may be required to pass a commission-approved
examination before being eligible to enter as determined by the stewards.
Section 7.
Out-of-Competition Testing. The penalties established in 810 KAR 1:110, Section
8, shall apply to violations involving the prohibited substances and practices
described in Section 2 of that administrative regulation.
Section 8. Persons
with a Suspended or Revoked License. (1) A person shall not train a horse or
practice veterinary medicine for the benefit, credit, reputation, or
satisfaction of an inactive person. The partners in a veterinary practice may
provide services to horses if the inactive person does not receive a pecuniary
benefit from those services.
(2) An associated
person of an inactive person shall not:
(a) Assume the
inactive person’s responsibilities at a location under the jurisdiction of the
commission;
(b) Complete an
entry form for a race to be held in Kentucky on behalf of or for the inactive
person or an owner or customer for whom the inactive person has worked; or
(c) Pay or advance
an entry fee for a race to be held in Kentucky on behalf of or for the inactive
person or an owner or customer for whom the inactive person has worked.
(3) An associated
person who assumes the responsibility for the care, custody, or control of an
unsuspended horse owned (fully or partially), leased, or trained by an inactive
person shall not:
(a) Be paid a
salary directly or indirectly by or on behalf of the inactive person;
(b) Receive a
bonus or any other form of compensation in cash, property, or other
remuneration or consideration;
(c) Make a payment
or give remuneration or other compensation or consideration to the inactive
person or associated person; or
(d) Train or
perform veterinarian work for the inactive person or an owner or customer of
the inactive person at a location under the jurisdiction of the commission.
(4) A person who
is responsible for the care, training, or veterinarian services provided to a
horse formerly under the care, training, or veterinarian services of an
inactive person shall:
(a) Bill customers
directly on his or her bill form for any services rendered at or in connection
with any race meeting in Kentucky;
(b) Maintain a
personal checking account totally separate from and independent of that of the
inactive person to be used to pay expenses of and deposit income from an owner
or client of the inactive person;
(c) Not use the services,
directly or indirectly, of current employees of the inactive person; and
(d) Pay bills
related to the care, training, and racing of the horse from a separate and
independent checking account. Copies of the invoices for the expenses shall be
retained for not less than six (6) months after the date of the reinstatement
of the license of the inactive person or the expiration of the suspension of
the inactive person’s license.
Section 9. Other
Disciplinary Measures. (1) A person who violates 810 KAR 1:018, Section 20(2),
shall be treated the same as a person who has committed a drug violation of the
same class, as determined by the commission after consultation with the Equine
Drug Research Council.
(2) A person who
violates 810 KAR 1:018, Section 20(3), shall be treated the same as a person
who has committed a Class A drug violation.
Section 10.
Disciplinary Measures by Stewards. Upon finding a violation or an attempted
violation of the provisions of KRS Chapter 230 relating to thoroughbred racing or
810 KAR Chapter 1, if not otherwise provided for in this administrative
regulation, the stewards may impose one (1) or more of the following penalties:
(1) If the
violation or attempted violation may affect the health or safety of the horse
or a participant in a race or may affect the outcome of a race, declare a horse
or a licensee ineligible to race or disqualify a horse or licensee in a race;
(2) Suspend or
revoke a person’s licensing privileges for a period of time of not more than
five (5) years as may be deemed appropriate by the stewards in keeping with the
seriousness of the violation and the facts of the case;
(3) Cause a
person, licensed or unlicensed, found to have interfered with, or contributed
toward the interference of the orderly conduct of a race or race meeting, or
person whose presence is found by the stewards to be inconsistent with
maintaining the honesty and integrity of the sport of horse racing to be
excluded or ejected from association grounds or from a portion of association grounds;
or
(4) Payment of a
fine in an amount not to exceed $50,000 as may be deemed appropriate by the
stewards in keeping with the seriousness of the violation and the facts of the
case.
Section 11.
Disciplinary measures by the commission. Upon finding a violation or an
attempted violation of the provisions of KRS Chapter 230 relating to
thoroughbred racing or 810 KAR Chapter 1, if not otherwise provided for in this
administrative regulation, the commission may impose one (1) or more of the
following penalties:
(1) If the
violation or attempted violation may affect the health or safety of the horse
or a participant in a race or may affect the outcome of a race, declare a horse
or a licensee ineligible to race or disqualify a horse or licensee in a race;
(2) Suspend or
revoke a person's licensing privileges for a period of time of not more than
five (5) years as may be deemed appropriate by the commission in keeping with
the seriousness of the violation;
(3) Eject or
exclude persons from association grounds for a length of time the commission
deems necessary; or
(4) Payment of a
fine in an amount not to exceed $50,000 as may be deemed appropriate by the
commission in keeping with the seriousness of the violation and the facts of
the case.
Section 12. Incorporation
by Reference. (1) The following material is incorporated by reference:
(a) "Request
for Post-Race Testing of Claimed Horse", August 2014; and
(b) "Claim
Blank envelope", 2014.
(2) This material
may be inspected, copied, or obtained, subject to applicable copyright law, at
the Kentucky Horse Racing Commission, 4063 Iron Works Parkway, Building B,
Lexington, Kentucky 40511, Monday through Friday, 8:00 a.m. to 4:30 p.m.
ROBERT M. BECK, JR.,
Chairman
AMBROSE WILSON IV,
Secretary
APPROVED BY AGENCY:
September 14, 2015
FILED WITH LRC:
September 14, 2015 at 4 p.m.
CONTACT PERSON:
Susan B. Speckert, General Counsel,
Kentucky Horse Racing
Commission, 4063 Iron Works Parkway, Building B, Lexington, Kentucky 40511,
phone (859) 246-2040, fax (859) 246-2039, email Susan.speckert@ky.gov.
