810 Ky. Admin. Regs. 8:030

Current through Register Vol. 48, No. 11, May 1, 2022
Section 810 KAR 8:030 - Disciplinary measures and penalties

RELATES TO: KRS 230.215, 230.260, 230.265, 230.290, 230.300, 230.310, 230.320, 230.361

NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) and 230.260(8) authorize the Kentucky Horse Racing Commission to promulgate administrative regulations under which racing shall be conducted in Kentucky. KRS 230.240(2) requires the commission to promulgate administrative regulations restricting or prohibiting the use and administration of drugs or stimulants or other improper acts to horses prior to the horse participating in a race. This administrative regulation establishes the penalty structure for rule violations and also establishes disciplinary powers and duties of the stewards, judges, 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 KAR Title 810 or KRS Chapter 230.
(8) "NSAID" means a nonsteroidal anti-inflammatory drug.
(9) "Schedule" means the Kentucky Horse Racing Commission Uniform Drug, Medication, and Substance Classification Schedule as provided in 810 KAR 8:020.
(10) "Withdrawal guidelines" means the Kentucky Horse Racing Commission Withdrawal Guidelines established in 810 KAR 8:025.
Section 2. General Provisions.
(1) An alleged violation of the provisions of KRS Chapter 230 or KAR Title 810 shall be adjudicated in accordance with this administrative regulation, 810 KAR 9:010, and KRS Chapters 230 and 13B.
(2) If a drug, medication, or substance that is not classified in the schedule 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, 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, judges, and the commission shall consider any mitigating or aggravating circumstances properly presented when assessing penalties pursuant to this administrative regulation. Evidence of full compliance with the withdrawal guidelines shall be considered by the stewards, judges, and the commission as a mitigating factor to be used in determining violations and penalties.
(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 calendar days, unless otherwise specified by the stewards, judges, or the commission in a ruling or order.
(6) Notice of the assessment of a penalty, including a written warning, shall be made to the person penalized. The notice and terms of the penalty shall be posted immediately on the official Web site of the commission and sent to the United States Trotting Association, the Association of Racing Commissioners International, or their successors, as applicable, to be posted on their respective official Web sites. If an appeal is pending, that fact shall be so noted.
(7) A horse administered a substance in violation of 810 KAR 8:010 may be required to pass a commission-approved examination as determined by the stewards or judges pursuant to 810 KAR 4:010, Section 10 or 810 KAR 5:010, Section 4, or be placed on the veterinarian's list pursuant to 810 KAR 8:010, Section 19.
(8) 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 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 or judges 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.
(9) 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 8:010 shall be subject to the relevant penalty as provided for the trainer or other penalty as may be appropriate based upon the violation.
(10) A veterinarian who administers, is a party to, facilitates, or is found to be responsible for any violation of KRS Chapter 230 or KAR Title 810 shall be reported to the Kentucky Board of Veterinary Examiners and the state licensing Board of Veterinary Medicine by the stewards or judges.
(11) 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.
(12) If a person is charged with committing multiple or successive overages involving a Class C or Class D drug, medication, or substance, the stewards, judges, 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, judges, or the commission.
(13) If a penalty for a medication violation requires a horse to be placed on the stewards' list or the judges' list for a period of time, the stewards or judges may waive this requirement if ownership of the horse was legitimately transferred prior to the trainer's notification by the commission of the positive result.
(14) In standardbred racing only, if the penalty is for a driving violation and does not exceed in time a period of five (5) days, the driver may complete the engagement of all horses declared in before the penalty becomes effective. The driver may drive in stake, futurity, early closing and feature races, during a suspension of five (5) days or less, but the suspension shall be extended one (1) day for each date the driver drives in a race.
(15) A horse shall not be permitted to race while owned or controlled wholly or in part by a person whose license has been suspended or revoked.
(16) An association under the jurisdiction of the commission shall not willfully allow:
(a) A person whose license has been suspended or revoked in any jurisdiction to participate in racing;
(b) A horse suspended in any jurisdiction to start in a race or a performance against time; or
(c) The use of its track or grounds by a licensee whose license has been suspended or revoked and has been denied access to the grounds by the stewards or judges in any jurisdiction.
(17) If a person is ejected or excluded from a location under the jurisdiction of the commission, the stewards, judges, and commission director of security shall be notified in writing.
(18) A licensee that has been suspended shall serve any suspension imposed:
(a) During the current race meet, if there are enough remaining days to serve out the suspension;
(b) During the next regularly scheduled race meet at the operating race track where the infraction took place if there are not enough remaining days to serve out the suspension; or
(c) At the discretion of the stewards or judges, during a race meet at another operating track in any jurisdiction where the licensee seeks to engage in the activity for which he or she is licensed if the track where the infraction took place closes before another race meet is held at that track.
(19) A penalty imposed by the governing body of any racing jurisdiction or the USTA States Trotting Association shall be recognized and reciprocally enforced by the commission unless application is made for a hearing before the stewards or judges, during which the applicant shall show cause as to why the penalty should not be enforced against him in Kentucky. The hearing shall be limited to the following issues:
(a) Whether the applicant is the same person who is subject to the penalty imposed;
(b) Whether the USTA or other racing jurisdiction in fact suspended the applicant; and
(c) Determination of the time period of the suspension as imposed by the USTA or other racing jurisdiction.
Section 3. Prior Offenses. A prior offense occurring in Kentucky or any other racing jurisdiction shall be considered by the stewards, judges, and the commission in assessing penalties. The stewards or judges shall attach to a penalty judgment a copy of the offender's prior record listing 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. The penalties established in paragraphs (a) and (b) of this subsection shall apply to a Class A drug violation.
(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, absent mitigating circumstances; AND $10,000 to $25,000 fine, absent mitigating circumstances.

Three (3) to five (5) year suspension, absent mitigating circumstances; AND $25,000 to $50,000 fine, absent mitigating circumstances.

Five (5) year suspension to a lifetime ban, absent mitigating circumstances; AND $50,000 to $100,000 fine, absent mitigating circumstances.

(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 or judges' 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 or judges.

Disqualification and loss of purse;

AND

Horse shall be placed on the stewards' list or judges' list for 120 days and may be required to pass a commission-approved examination before being eligible to enter as determined by the stewards or judges.

Disqualification and loss of purse;

AND

Ninety (90) day suspension, absent mitigating circumstances;

AND

$50,000 fine, absent mitigating circumstances;

AND

Horse shall be placed on the stewards' list or judges' list for 180 days and may be required to pass a commission-approved examination before being eligible to enter as determined by the stewards or judges.

(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.
(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

Thirty (30) to sixty (60) day suspension, absent mitigating circumstances;

AND

$500 to $1,000 fine, absent mitigating circumstances.

Sixty (60) to 180 day suspension, absent mitigating circumstances;

AND

$1,000 to $2,500 fine, absent mitigating circumstances.

180 to 365 day suspension, absent mitigating circumstances;

AND

$2,500 to $5,000 fine, absent mitigating circumstances.

(c) 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;

Horse may be required to pass a commission-approved examination before being eligible to enter as determined by the stewards or judges;

AND

For a cobalt violation, the horse shall be placed on the stewards' list or judges' 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 or judges.

Disqualification and loss of purse;

AND

Horse shall be placed on the stewards' list or judges' 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 or judges.

(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 three-tenths (0.3) micrograms per milliliter;
2. Flunixin in a concentration greater than five (5) nanograms per milliliter; and
3. Ketoprofen in a concentration greater than two (2) nanograms per milliliter.
(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 absent mitigating circumstances;

AND

$500 to $1,500 fine absent mitigating circumstances.

Ten (10) to thirty (30) day suspension absent mitigating circumstances;

AND

$1,500 to $2,500 fine absent mitigating circumstances.

Thirty (30) to sixty (60) day suspension absent mitigating circumstances;

AND

$2,500 to $5,000 fine absent mitigating circumstances.

(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 or judges.

Disqualification and loss of purse;

AND

If same horse as first offense, horse shall be placed on the stewards' list or judges' 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 or judges.

Disqualification and loss of purse;

$5,000 fine, absent mitigating circumstances;

AND

If same horse as first and second offenses, horse shall be placed on the stewards' list or judges' 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 or judges.

(4)
(a) The penalties established in paragraphs (b) and (c) of this subsection shall apply to the following:
1. Overage of furosemide in a concentration greater than one (1) nanogram per milliliter for horses that are not permitted by 810 KAR 8:010 to receive furosemide within twenty-four (24) hours of the post time of a race in which the horse is entered;
2. Overage of furosemide in a concentration greater than 100 nanograms per milliliter for horses other than those identified in subparagraph 1. of this paragraph;
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, absent mitigating circumstances.

Written warning to a $750 fine, absent mitigating circumstances.

$500 to $1,000 fine, absent mitigating circumstances.

(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 or judges;

AND

For a cobalt violation, the horse shall be placed on the stewards' list or judges' 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 or judges.

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 or judges.

(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. The penalties established in paragraphs (a) and (b) of this subsection shall apply to an overage of two (2) permitted NSAIDs: phenylbutazone, flunixin, and ketoprofen.
(a) Trainer

Concentrations of both permitted NSAIDs above the NSAID threshold.

First offense

Zero to sixty (60) day suspension, absent mitigating circumstances;

AND

$500 to $1,000 fine, absent mitigating circumstances.

Second offense within a 365-day period in any racing jurisdiction

Sixty (60) to 180 day suspension, absent mitigating circumstances;

AND

$1,000 to $2,500 fine, absent mitigating circumstances.

Third offense within a 365-day period in any racing jurisdiction mitigating circumstances.

180 to 365 day suspension, absent mitigating circumstances;

AND

$2,500 to $5,000 fine, absent

(b) Owner

Concentrations of both permitted NSAIDs above the NSAID threshold.

First offense

Disqualification and loss of purse.

Second offense within a 365-day period in any racing jurisdiction

Disqualification and loss of purse.

Third offense within a 365-day period in any racing jurisdiction

Disqualification and loss of purse.

(6) Class D drugs.
(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, absent mitigating circumstances;

AND

$250 to $500 fine, absent mitigating circumstances.

Five (5) to ten (10) day suspension, absent mitigating circumstances;

AND

$500 to $1,000 fine, absent mitigating circumstances.

Section 5. TCO2 Penalties. The penalties established in subsections (1) and (2) of this section shall apply to a violation of 810 KAR 8:010, Section 21(6), (7), or (8).
(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 jurisdicti on

Zero to ninety (90) day suspensi on, absent mitigating circumstances;

AND

$1,000 to $1,500 fine, absent mitigating circumst ances.

Ninety (90) to 180 day suspension, absent mitigating circumstances;

AND

$1,500 to $3,000 fine, absent mitigating circumstances.

180 to 365 day suspensi on, absent mitigating circumstances;

AND

$3,000 to $5,000 fine, absent mitigating circumstances.

One (1) year suspensi on to lifetime ban, absent mitigating circumstances.

(2) 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

Disqualif ication and loss of purse.

Disqualifi cation 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 determin ed by the stewards.

Disqualifi cation 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.

Disqualif ication and loss of purse;

AND

If same horse as first, second, and third offenses , horse shall be placed on the steward s' 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. The penalties established in subsections (1) and (2) of this section shall apply to a violation of 810 KAR 8:010, Section 21(5), (9), or (10).
(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 absent mitigating circumstances;

AND

$1,000 to $5,000 fine absent mitigating circumstances.

Sixty (60) to 180 day suspension absent mitigating circumstances;

AND

$5,000 to $10,000 fine absent mitigating circumstances.

180 to 365 day suspension absent mitigating circumstances;

AND

$10,000 to $20,000 fine absent mitigating circumstances.

(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 or judges' 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 or judges.

Disqualification and loss of purse;

AND

If same horse as first and second offenses, horse shall be placed on the stewards' list or judges' 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 or judges.

Section 7. 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 veterinary 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 veterinary services provided to a horse formerly under the care, training, or veterinary 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 8. Other Disciplinary Measures.
(1) A person who violates 810 KAR 8:010, Section 21(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 8:010, Section 21(3), shall be treated the same as a person who has committed a Class A drug violation.
Section 9. Disciplinary Measures by Stewards or Judges. Upon finding a violation or an attempted violation of the provisions of KRS Chapter 230 or KAR Title 810, if not otherwise provided for in this administrative regulation, the stewards or judges may impose one (1) or more of the following penalties:
(1) If the violation or attempted violation may affect the health or safety of a horse or race participant, or may affect the outcome of a race, declare a horse or a licensee ineligible to race or disqualify a horse or a 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 in proportion to 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 or judges to be inconsistent with maintaining the honesty and integrity of the sport of horse racing to be denied access to association grounds or a portion of association grounds; and
(4) Payment of a fine in an amount not to exceed $50,000 as deemed appropriate by the commission in keeping with the seriousness of the violation and the facts of the case.
Section 10. Disciplinary Measures by the Commission.
(1) Upon finding a violation or an attempted violation of the provisions of KRS Chapter 230 or KAR Title 810, if not otherwise provided for in this administrative regulation, the commission may impose one (1) or more of the following penalties:
(a) If the violation or attempted violation may affect the health or safety of a horse or race participant or may affect the outcome of a race, declare a horse or a licensed person ineligible to race or disqualify a horse or licensed person in a race;
(b) Suspend or revoke a person's licensing privileges for a period of time of not more than five (5) years in proportion to the seriousness of the violation;
(c) Cause a person 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 commission to be inconsistent with maintaining the honesty and integrity of horse racing, to be denied access to association grounds or a portion of association grounds for a length of time the commission deems necessary;
(d) Payment of a fine of up to $50,000 as deemed appropriate by the commission in keeping with the seriousness of the violation and the facts of the case.
(2) Upon appeal of a matter determined by the stewards' or judges the commission may:
(a) Order a hearing de novo of a matter determined by the stewards' or judges; and
(b) Reverse or revise the stewards' or judges' ruling in whole or in part, except as to findings of fact by the stewards' or judges' ruling regarding matters that occurred during or incident to the running of a race and as to the extent of disqualification fixed by the stewards or judges for a foul in a race.

810 KAR 8:030

45 Ky.R. 2003; 3171; eff. 5-31-2019; 46 Ky.R. 2747; 47 Ky.R. 326; eff. 8-25-2020; 47 Ky.R. 2167; 48 Ky.R. 39; eff. 10-5-2021.

STATUTORY AUTHORITY: KRS 230.215(2), 230.240(2), 230.260(8), 230.265, 230.320