[49 Pa.B. 6221]
[Saturday, October 19, 2019]
[Continued from previous Web Page]
CHAPTER 305. RULES OF THOROUGHBRED RACING—TEMPORARY REGULATIONS Sec.
305.1. General provisions. 305.2. Prohibited conduct by racing officials. 305.3. Conflict of interest. 305.4. Wagering forbidden.
RACING OFFICIALS
305.11. Racing officials. 305.12. Eligibility. 305.13. Approval and licensing 305.14. Prohibited practices. 305.15. Reporting of violations. 305.16. Observations and notifications. 305.17. Appointment. 305.18. Appointment of substitute officials.
BOARD OF STEWARDS
305.31. Accreditation of Stewards. 305.32. Power of the Stewards. 305.33. Disciplinary action. 305.34. Stewards' presence. 305.35. Duties of Stewards. 305.36. Stewards' List.
RACING SECRETARY
305.51. Duties of racing secretary. 305.52. Foal, health and other eligibility certificates. 305.53. List of nerved horses. 305.54. List of bred fillies and mares. 305.55. Allocation of stalls. 305.56. Conditions. 305.57. Eligibility. 305.58. Listing of horses. 305.59. Posting of entries. 305.60. Daily racing program. 305.61. Nominations and declarations. 305.62. Stakes and Entrance Money Records. 305.63. Inspection of licenses and other documents.
HORSEMEN'S BOOKKEEPER
305.71. General authority. 305.72. Records. 305.73. Moneys and funds on account. 305.74. Payment of purses.
PADDOCK JUDGE
305.91. Duties of paddock Judge.
HORSE IDENTIFIER
305.101. General authority and duties.
CLERK OF SCALES
305.111. Duties.
JOCKEY ROOM CUSTODIAN
305.121. Duties of the jockey room custodian.
STARTER
305.131. General authority and duties. 305.132. Use of starting gate. 305.133. Prohibited conduct. 305.134. Starter's List. 305.135. Report violations.
TIMER/CLOCKER
305.151. Duties of timers. 305.152. Duties of clockers.
PATROL JUDGE
305.171. Power and duties of patrol Judges.
PLACING JUDGE
305.191. Duties. 305.192. Photo finish. 305.193. Dead heats.
COMMISSION VETERINARIAN
305.201. Qualifications. 305.202. Duties and responsibilities of the Commission Veterinarian. 305.203. Veterinarian's List.
RACETRACK VETERINARIAN
305.221. General authority and duties. 305.222. Outriders.
ENTRIES AND NOMINATIONS
305.231. Entries. 305.232. Procedure. 305.233. Limitation as to spouses. 305.234. Coupled entries. 305.235. Nominations. 305.236. Closings. 305.237. Number of Starters in a race. 305.238. Split or divided races. 305.239. Post positions. 305.240. Also-eligible list. 305.241. Preferred list. 305.242. Declarations and scratches. 305.243. Ineligible horses.
WEIGHTS, PENALTIES AND ALLOWANCES
305.251. Weight allowances. 305.252. Weight penalties. 305.253. Scale of weights. 305.254. Timed workouts. 305.255. Identification. 305.256. Information dissemination 305.257. Restrictions.
RUNNING OF THE RACE
305.271. Racing equipment. 305.272. Racing numbers. 305.273. Jockey and apprentice license. 305.274. Examination of jockeys by licensed physicians. 305.275. Requirements for apprentice jockeys. 305.276. Apprentice jockey weight allowances in overnight races. 305.277. Applications for extensions. 305.278. Jockey agents. 305.279. Valet-attendants. 305.280. Jockey mount fees. 305.281. Jockey suspensions and designated races. 305.282. Jockey requirements. 305.283. Weighing out. 305.284. Paddock to post. 305.285. Post to finish. 305.286. Interference, jostling or striking. 305.287. Maintaining a straight course. 305.288. Disqualification. 305.289. Multiple disqualifications. 305.290. Horses shall be ridden out. 305.291. Use of a riding crop. 305.292. Review by Stewards. 305.293. Prohibition. 305.294. Horse leaving the racecourse. 305.295. Order of finish. 305.296. Returning after the finish. 305.297. Unsaddling. 305.298. Weighing in. 305.299. Dead heats.
OBJECTIONS AND PROTESTS
305.301. Stewards' inquiries. 305.302. Race objections. 305.303. Prior objections and protest.
CLAIMING RACES
305.401. General provisions. 305.402. Claiming of horses. 305.403. Procedure for claiming. 305.404. Prohibitions. 305.405. Transfer of possession of a claimed horse. 305.406. Delivery of claimed horse. 305.407. Subsequent start of a claimed horse. 305.408. Subsequent sale and transfer of claimed horses. 305.409. Posting of claiming price. 305.410. Starting in claiming races. 305.411. Foal certificate. 305.412. Cancellation of claiming race results. § 305.1. General provisions.
(a) The Commission shall annually approve each licensed racing entity employee whose duties include the enforcement of pari-mutuel racing and wagering activities which directly or indirectly affect the racing product. Compensation for a racetrack racing official shall be paid by the licensed racing entity.
(b) Racetrack racing officials shall enforce this chapter at all times and shall render regular written reports of the activities and conduct of the race meetings to the Commission, if requested by the Board of Stewards or the Commission.
(c) The Commission or its designee shall employ individuals who shall be designated as Commission racing officials and whose duties shall include the oversight and enforcement of the act, regulations and Commission policies related to pre-race and post-race activities, the conduct of live, simulcasted, electronic and pari-mutuel wagering activities and all licensees engaged in those racing activities.
(d) The purpose of this chapter is to define the duties and responsibilities of racing officials and the requirements, procedures and rules of racing.
§ 305.2. Prohibited conduct by racing officials.
(a) A person may not offer and no racing official may accept, directly or indirectly, a gratuity, reward or favor in connection with racing at the meeting.
(b) A racing official may not, directly or indirectly, for a commission, gratuity or otherwise, sell, buy or hold for himself or for another a form of interest in a thoroughbred horse that is run or entered at a meeting where he is officiating.
(c) A racing official may not, directly or indirectly, buy, sell or hold an interest in a contract upon a jockey or apprentice jockey.
(d) A racing official may not write or solicit horse insurance at the meeting.
§ 305.3. Conflict of interest.
A racing official may not participate in the supervision, regulation or review of a race in which either the racing official or a member of the racing official's family, or a business partner, agent, associate, employee or joint-venturer has participated or in which any of them has had an interest in the event there is an objection, protest, claim of foul or dispute raised with regard to the race.
§ 305.4. Wagering forbidden.
A racing official may not wager, directly or indirectly or have a form of interest in a wager of money or other value on the result of a race at the meeting at which the racing official is employed.
RACING OFFICIALS § 305.11. Racing officials.
Officials at a race meeting may include the following:
(1) Stewards;
(2) Racing secretary;
(3) Horsemen's bookkeeper;
(4) Paddock Judge;
(5) Horse identifier;
(6) Clerk of scales;
(7) Jockey room custodian;
(8) Starter;
(9) Timer/clocker;
(10) Patrol Judge, absent video replay equipment;
(11) Placing Judge;
(12) Commission Veterinarian;
(13) Racetrack veterinarian;
(14) Any other person designated by the Commission as a racing official.
§ 305.12. Eligibility.
To qualify as a racing official, the appointee shall, at a minimum be:
(1) of good character and reputation;
(2) experienced in flat racing;
(3) familiar with the duties of the position and with the Commission's rules of flat racing;
(4) mentally and physically able to perform the duties of the job; and
(5) in good standing and not under suspension or ineligible in any racing jurisdiction.
§ 305.13. Approval and licensing.
The Commission, in its sole discretion, may determine the eligibility of a racetrack or Commission racing official and, in its sole discretion, may approve or disapprove any official for licensing.
§ 305.14. Prohibited practices.
While serving in an official capacity, racing officials and their assistants shall not:
(1) participate in the sale or purchase, or ownership of any horse actively racing at the meeting;
(2) sell or solicit horse insurance on any horse racing at the meeting;
(3) be licensed in any other capacity without permission of the Commission, or in case of an emergency, the permission of the Stewards;
(4) wager on the outcome of any race under the jurisdiction of the Commission; or
(5) consume or be under the influence of alcohol or any prohibited substances while performing official duties at the meeting.
§ 305.15. Reporting of violations.
All racing officials and their assistants shall immediately report to the Stewards every observed or reported violation of these rules and of the laws of this Commonwealth governing racing.
§ 305.16. Observations and notifications.
A racing official shall immediately report to the Stewards any perceived issues with a horse based on the condition prior to the race which may significantly affect the running of the race. Upon notification to the Stewards, the Stewards may either conduct an immediate investigation or forward the matter to Commission investigators.
§ 305.17. Appointment.
(a) A person shall not be appointed to more than one racing official position at a meeting unless specifically approved by the Commission.
(b) The Commission, the Bureau Director or other Commission representative shall appoint or approve the Stewards at each race meeting.
§ 305.18. Appointment of substitute officials.
The licensed racing entity shall immediately notify the Stewards where an emergency vacancy exists among racetrack racing officials and shall fill the vacancy immediately. The appointment shall be reported to the Commission and shall be effective until the vacancy is filled in accordance with these rules.
BOARD OF STEWARDS § 305.31. Accreditation of Stewards.
(a) To qualify for appointment as a Steward, the appointee must meet the education and examination requirements necessary to be accredited by the Racing Officials Accreditation Program in association with the Universities of Arizona and Louisville or any other similar accreditation program approved by the Commission.
(b) In addition to all of the above, the appointee must also meet the following racing experience requirements:
(1) Five years or more of experience as a licensee of a racing commission or other regulatory racing authority of the United States or Canada;
(2) Certified as a racing official in one or more of the following categories: patrol Judge, placing Judge, paddock Judge, clerk of scales, horse identifier, racing secretary or assistant racing secretary and Starter; and
(3) Be in good standing with all racing jurisdictions.
(c) Once appointed, the Stewards shall attend and complete applicable continuing education programs, as required by the Commission.
§ 305.32. Power of the Stewards.
(a) In matters pertaining to racing, the orders of the Stewards shall supersede the orders of the officers and directors of the association. The Stewards shall have the power and duty to regulate and supervise the conduct of track management, licensed personnel, racing officials, owners, trainers, jockeys, grooms and all other persons participating in pari-mutuel racing activities, unless the power and the duty is exclusively vested in the Commission.
(b) The authority of each Board of Stewards shall begin at least 10 days prior to the beginning of the race meeting and shall terminate with the completion of their business pertaining to the meeting. This period may be modified or altered as deemed necessary by the Commission. If a dispute is unresolved at the time, it may be heard later or disposed of by the Stewards or referred to the Commission. This section does not limit the power of a board to impose sanctions continuing beyond the end of a meeting.
(c) If there is a succeeding meeting approved to begin at the same racetrack, the power of the Board of Stewards at the meetings is deemed to be continuing and sustaining.
(d) In the performance of duty, the Stewards shall have reasonable control over and unrestricted access to stands, weighing rooms and jockey rooms, stables, barns and other areas of the racetrack enclosure.
(e) The Stewards shall have the power to determine questions arising with reference to entries and racing. They shall have the authority to resolve conflicts or disputes related to racing and to discipline violators in accordance with the provisions of these rules.
(f) The Stewards have the authority to interpret these rules and to decide all questions of racing not specifically covered by the rules, but which, in their opinion, may negatively impact the public interest or the public's perception of racing.
(g) The Stewards shall have the power to cause to be examined a horse stabled on the association grounds, or in a stabling area approved by the association.
(h) In accordance with the provisions of Chapter 179 (relating to Rules of Administrative Practice and Procedure—temporary regulations), the Stewards may compel the attendance of witnesses, the submission of documents or potential evidence related to any investigation or hearing and may administer oaths and examine witnesses.
(i) The Stewards may at any time inspect license documents, registration papers, and other documents related to racing.
(j) The Stewards shall consult with the official veterinarian to determine the nature and seriousness of a laboratory finding or an alleged medication violation.
§ 305.33. Disciplinary action.
(a) The Stewards shall take notice of alleged misconduct or rule violations and may initiate investigations into the matters through the Commission's investigative staff or matters may be referred to them for hearing. The Stewards shall have the express authority to charge any licensee for a violation of these rules, to conduct hearings and to impose disciplinary action in accordance with these rules.
(b) The Stewards may impose any of the following penalties on a licensee for a violation of these rules:
(1) Issue a reprimand;
(2) Impose a fine not to exceed the statutory amount set for in the act;
(3) Require forfeiture or redistribution of purse or award;
(4) Place a licensee on probation or a conditional license;
(5) Suspend a license or racing privileges;
(6) Revoke a license;
(7) Order that a person be ineligible for licensing; or
(8) Impose any other penalty as deemed necessary and appropriate for the level of violation.
(c) The Stewards may suspend a person or disqualify a horse for fixed periods of time or under other conditions they may deem appropriate or as may be specified by this chapter. If a person is indefinitely suspended or is ordered suspended for more than the balance of a meeting, the matters shall promptly be referred to the Commission for final disposition.
(d) The Stewards, on an emergency basis, shall have the power to exclude or eject from the racetrack premises and enclosures of the licensed racing entity any person who:
(1) Is under an order of suspension or revocation or has been denied a license or ruled off by a racing commission or Board of Stewards.
(2) Is known to be an objectionable or undesirable person or whose presence on the racetrack enclosure is deemed to be inconsistent with the best interests of racing.
(3) Whose conduct is deemed improper.
(e) The Stewards' ruling shall not prevent the Commission from imposing a more severe penalty.
(f) The Stewards may refer any matter to the Commission and may include recommendations for disposition. The absence of a Stewards' referral shall not preclude Commission action in any matter.
(g) Purses, prizes, awards, and trophies shall be redistributed if the Stewards or Commission order a change in the official order of finish.
(h) All fines imposed by the Stewards shall be paid to the Commission within 10 days after the ruling is issued, unless otherwise directed by the Stewards.
(i) In addition to any penalties imposed upon any owner, trainer, veterinarian or other licensee as a result of a medication or drug positive, after notice and an appropriate hearing, the horse which tested positive for the prohibited substance, shall be placed on the Steward's List and shall be ineligible to participate in racing for the following period of time:
(1) Class 1 or Class 2 drugs (as set forth in the Association of Racing Commissioners International Uniform Classification guidelines) shall be ineligible to race for a period of 90 days from the date of the Stewards' ruling, unless the matter has been appealed to the Commission.
(2) Class 3 drugs or high blood gas (TCO2) readings shall be ineligible for a period of 30 days from the date of the Stewards' ruling unless the matter has been appealed to the Commission.
§ 305.34. Stewards' presence.
(a) Three Stewards shall be present and on duty in the Stewards' stand during the running of each race. During the race times, the Stewards shall remain in the stand, in the paddock or otherwise readily available to the participants at the meet.
(b) At least one of the Stewards shall be on duty within call of the racing secretary from the time of the opening of overnight entries each morning until after the time allowed for filing of protests or objections to entries or assignment of post positions.
(c) Should any Steward be absent at race time, and no approved alternate Steward be available, the remaining Stewards may appoint a qualified substitute for the absent Steward. If a substitute Steward is appointed, the Bureau Director and the licensed racing entity shall be notified by the Stewards.
§ 305.35. Duties of Stewards.
(a) The Stewards shall investigate promptly and render a decision in every protest, objection and complaint made to them. They shall maintain a record of all protests, objections and complaints. The Stewards shall file daily with the Commission a copy of each protest, objection or complaint and any related ruling.
(b) The Stewards shall prepare a daily report, on a form approved by the Commission, detailing their actions and observations made during each day's race program. The report shall include the following information as the name of the racetrack, the date, the weather and track-conditions, claims, inquiries and objections and any unusual circumstances or conditions. The report shall be signed by each Steward and be filed with the Commission not later than 24 hours after the end of each race day.
(c) The Presiding Steward shall maintain a detailed report of the Stewards' official activities. The log shall describe all questions, disputes, protests, complaints, or objections brought to the attention of the Stewards. Investigative materials and information or interviews conducted by the Stewards is confidential and shall be excluded from this log. The log shall be provided to the Commission upon its request.
(d) Not later than 7 days after the last day of a race meeting, the Presiding Steward shall submit to the Commission a written report regarding the race meeting. The report shall include:
(1) The Stewards' observations and comments regarding the conduct of the race meeting and the overall conditions of the association grounds during the race meeting; and
(2) Any recommendations for improvement by the licensed racing entity or action by the Commission.
§ 305.36. Stewards' List.
(a) The Stewards shall maintain a Stewards' List of the horses which are ineligible to be entered in a race because of poor or inconsistent performance or behavior on the racetrack that endangers the health or safety of other participants in racing.
(b) The Stewards may place a horse on the Stewards' List when there exists a question as to the exact identification or ownership of said horse.
(c) A horse which has been placed on the Stewards' List because of inconsistent performance or behavior, may be removed from the Stewards' List when, in the opinion of the Stewards, the horse can satisfactorily perform competitively in a race without endangering the health or safety of other participants in racing.
(d) A horse which has been placed on the Stewards' List because of questions as to the exact identification or ownership of the horse, may be removed from the Stewards' List when, in the opinion of the Stewards, proof of exact identification or ownership, or both, has been established.
(e) In addition to any penalties imposed upon any owner, trainer, veterinarian or other licensee as a result of a medication or drug positive, after notice and an appropriate hearing, the horse which tested positive for the prohibited substance, shall be placed on the Stewards' List and shall be ineligible to participate in racing for the following period of time:
(1) For Class 1 or Class 2 drugs (as set forth in the Association of Racing Commissioners International Uniform Classification guidelines) the horse shall be ineligible to race for a period of 90 days from the date of the Stewards' ruling, unless the matter has been appealed to the Commission.
(2) For Class 3 drugs or high blood gas (TCO2) readings the horse shall be ineligible for a period of 30 days from the date of the Stewards' ruling, unless the matter has been appealed to the Commission.
RACING SECRETARY § 305.51. Duties of racing secretary.
The racing secretary or the assistant racing secretary as an employee of the licensed racing entity shall be responsible for the programming of races during the race meeting, compiling and publishing condition books, assigning weights for handicap races, and shall receive all entries, subscriptions, declarations.
§ 305.52. Foal, health and other eligibility certi- ficates.
(a) The racing secretary or designee approved by the Stewards shall be responsible for receiving, inspecting and maintaining the digital and paper foal and health certificates, Equine Infectious Anemia (Coggins or EIA) test certificates and other documents of eligibility for all horses competing at the track and stabled on the grounds.
(b) The racing secretary or designee approved by the Stewards shall record the alteration of the sex of a horse on the horse's foal certificate or report, or both, to the appropriate breed registry and past performance services.
(c) The racing secretary or designee approved by the Stewards shall record on a horse's registration certificate when a posterior digital neurectomy (heel nerving) is performed on that horse or report to the appropriate breed registry.
(d) The racing secretary shall ensure that all horses entered to race are registered with The Jockey Club or a similar registration entity.
§ 305.53. List of nerved horses.
The racing secretary shall maintain a list of nerved horses which are on the racetrack grounds and shall make the list available for inspection by the Commission or its designee or by written request from other licensees participating in the race meeting.
§ 305.54. List of bred fillies and mares.
The racing secretary shall maintain a list of all fillies or mares on the racetrack grounds who have been covered by a stallion. The list shall also contain the name of the stallion to which each filly or mare was bred and shall be made available for inspection by other licensees participating in the race meeting.
§ 305.55. Allocation of stalls.
The racing secretary shall have the sole authority to assign stall applicants stabling as is deemed proper and maintain a record of arrivals and departures of all horses entering into and stabled on the racetrack grounds. No appeal to the Commission shall be available from a denial of stalls.
§ 305.56. Conditions.
(a) The racing secretary shall establish the conditions and eligibility for entering races and cause them to be published to owners, trainers, the Stewards and the Commission and be posted in the racing secretary's office. The racing secretary shall remain responsible for any errors occurring regarding a horse's eligibility and along with the licensed racing entity shall remediate the error if possible. No appeal shall be heard by the Commission regarding horse entries and conditions.
(b) For the purpose of establishing conditions, winnings shall be considered to include all moneys and prizes won up to the time of the start of a race. Winnings during the year shall be calculated by the racing secretary from the preceding January 1.
§ 305.57. Eligibility.
(a) When the Commission receives an official testing laboratory report of a positive test or overage for a winner of a race that requires a disqualification, change in the order of finish and redistribution of the purse, the horse in question shall maintain the win in past performance records and carry the penalty of a win when determining eligibility by the racing secretary for entry in a subsequent race. This horse's condition and eligibility shall remain in effect until the Stewards issue a ruling disqualifying the aforementioned horse and order the redistribution of the purse.
(b) The second-place horse shall not carry the win in past performance records nor shall the second-place horse carry the win in determining the eligibility for entry in a subsequent race until the Stewards issue a ruling disqualifying the winner, change the order of finish and order a redistribution of the purse.
(c) Should the aforementioned ruling be properly appealed, the disqualification, change in the order of finish and purse redistribution is stayed until a final adjudication and the winner must carry the win and the second-place horse is not penalized for the condition.
§ 305.58. Listing of horses.
The racing secretary shall examine all entry blanks and declarations to verify information as set forth therein and shall select the horses to start and the ''also eligible'' horses from the declarations in accordance with these rules.
§ 305.59. Posting of entries.
Post positions shall be determined publicly by lot in the presence of the racing secretary, assistant racing secretary, a Steward or designee and at least one trainer licensed by the Commission. Upon completion of the draw, the racing secretary shall post a list of entries in a conspicuous location in his/her office and make the list available to the media, if requested.
§ 305.60. Daily racing program.
The racing secretary shall publish the official daily racing program, ensuring the accuracy therein of the following information:
(1) Sequence of races to be run and post time for the first race;
(2) Purse, conditions and distance for each race, and current track record for the distance;
(3) The name of licensed owners of each horse, indicated as leased, if applicable, and description of racing colors to be carried;
(4) The name of the trainer and the name of the jockey named for each horse together with the weight to be carried;
(5) The post position and saddle cloth number or designation for each horse if there is a variance with the saddle cloth designation;
(6) Identification of each horse by name, color, sex, age, sire and dam;
(7) A notice shall be included in the daily program that all jockeys will carry approximately 3 pounds more than the published weight to account for safety equipment (vest and helmet) that is not included in required weighing out procedures and that jockeys may weigh in with an additional 3 pounds for inclement weather gear when approved by the Stewards; and
(8) Other information as may be requested by the licensed racing entity or the Commission.
§ 305.61. Nominations and declarations.
The racing secretary shall examine nominations and declarations and early closing events, late closing events and stakes events to verify the eligibility of all declarations and nominations and compile lists thereof for publication.
§ 305.62. Stakes and Entrance Money Records.
The racing secretary shall be caretaker of the permanent records of all stakes and shall verify that all entrance moneys due are paid prior to entry for races conducted at the meeting.
§ 305.63. Inspection of licenses and other documents.
The racing secretary shall have the right to inspect an owner's, trainer's or jockey's license, partnership papers, papers and documents with respect to a contract between a jockey and the jockey's employer, and papers relating to the appointment of authorized agents, jockey agents or the adoption of colors or to stable names.
HORSEMEN'S BOOKKEEPER § 305.71. General authority.
The horsemen's bookkeeper shall maintain the records and accounts and perform the duties described herein and maintain the other records and accounts and perform the other duties as the licensed racing entity and the Commission may prescribe.
§ 305.72. Records.
(a) All records of the horsemen's bookkeeper shall be kept separate and apart from the records of the licensed racing entity.
(1) The records shall include the name, mailing address, Social Security number or Federal tax identification number, and the jurisdiction or country of residence of each horse owner, trainer or jockey participating at the race meeting who has funds due or on deposit in the horsemen's account.
(2) The records shall include a file of all required statements of partnerships, syndicates, corporations, assignments of interest, lease agreements and registrations of authorized agents.
(3) All records of the horsemen's bookkeeper including records of accounts and moneys and funds kept on deposit are subject to inspection by the Regulatory Authority at any time.
(4) The horsemen's bookkeeper and the licensed racing entity are subject to disciplinary action by the Commission for any violations of or non-compliance with the provisions of this rule.
§ 305.73. Moneys and funds on account.
(a) All moneys and funds on account for the horsemen with the horsemen's bookkeeper shall be maintained as follows:
(1) Separate and apart from moneys and funds of the licensed racing entity or any other association or entity;
(2) In a trust or similar type of account designated as Horsemen's Trust Account; and
(3) In an account insured by the Federal Deposit and Insurance Corporation or the Federal Savings and Loan Insurance Corporation.
(b) The horsemen's bookkeeper shall be bonded with proof of the bond submitted to the Commission upon request.
(c) The amount of purse money earned is credited in the currency of the jurisdiction in which the race was run. There shall be no appeal for any exchange rate loss at the time of transfer of funds from another jurisdiction.
§ 305.74. Payment of purses.
(a) The horsemen's bookkeeper shall receive, maintain and disburse the purses of each race and all stakes, entrance money, jockey fees, purchase money in claiming races, along with all applicable taxes and other moneys that properly come into the bookkeeper's possession in accordance with these regulations.
(b) The horsemen's bookkeeper may accept moneys due belonging to other organizations or recognized meetings, provided prompt return is made to the organization to which the money is due.
(c) The fact that purse money has been distributed prior to the issuance of a laboratory report shall not be deemed a finding that no chemical substance has been administered, in violation of these rules, to the horse earning the purse money.
(d) The horsemen's bookkeeper shall disburse the purse of each race and all stakes, entrance money, jockey fees and purchase money in claiming races, along with all applicable taxes, upon request, within 48 hours of receipt of notification that all tests with respect to the races have cleared the drug testing laboratory or the split sample laboratory as reported by the Stewards or the Commission, except that minimum jockey mount fees may be disbursed prior to notification that the tests have cleared the testing laboratories.
(e) In the event a protest or appeal has been filed with the Stewards or the Commission, the horsemen's bookkeeper shall disburse the purse within 48 hours of receipt of the dismissal or a final non-appealable order disposing of the protest or appeal.
PADDOCK JUDGE § 305.91. Duties of paddock Judge.
(a) The paddock Judge shall at all times be in charge of the paddock and the entire saddling area and shall:
(1) Supervise the assembly of horses in the paddock no later than 15 minutes before the scheduled post time for each race;
(2) Maintain a written record of all equipment, inspect all equipment of each horse saddled and report any change in equipment to the Stewards;
(3) Insure that all horses are properly equipped with a type of safety reins that are approved by the Commission and are originally designed and constructed to insure a secure secondary connection to the bit and reinforcement to prevent breakage;
(4) Prohibit any change of equipment without the approval of the Stewards;
(5) Ensure that the saddling of all horses is orderly, open to public view, free from public interference, and that horses are mounted at the same time, and leave the paddock for the post in proper sequence;
(6) Supervise paddock schooling of all horses approved for this by the Stewards;
(7) Report to the Stewards any observed cruelty to a horse;
(8) Ensure that only properly authorized persons are permitted in the paddock and may exclude those unauthorized persons; and
(9) Report to the Stewards any unusual, irregular or illegal activities.
(b) The paddock Judge shall maintain a list of horses which shall not be entered in a race because of poor or inconsistent behavior in the paddock that endangers the health or safety of other participants in racing.
(1) At the end of each race day, the paddock Judge shall provide a copy of the List to the Stewards.
(2) To be removed from the paddock Judge's List, a horse must be schooled in the paddock and demonstrate to the satisfaction of the paddock Judge and the Stewards that the horse is capable of performing safely in the paddock.
HORSE IDENTIFIER § 305.101. General authority and duties.
(a) The Horse Identifier shall:
(1) When required, ensure the safekeeping of digital and paper registration certificates and racing permits for horses stabled or racing, or both, on licensed racing entity grounds;
(2) Inspect documents of ownership, eligibility, registration or breeding necessary to ensure the proper identification of each horse scheduled to compete at a race meeting;
(3) Examine without physically touching every starting horse in the paddock for sex, color, markings and lip tattoo, microchip (ISO 11784), freeze brand or other identification method approved by the appropriate breed registry and the Commission for comparison with its registration certificate to verify the horse's identity.
(b) The Horse Identifier shall report to the Stewards any horse not properly identified or whose registration certificate is not in conformity with these rules.
CLERK OF SCALES § 305.111. Duties.
The clerk of scales or the assistant clerk of scales shall have the general authority and responsibility to:
(1) Verify the presence of all jockeys in the jockeys' room at the appointed time;
(2) Verify that all the jockeys have a current jockey's license issued by the Commission;
(3) Verify the correct weight of each jockey at the time of weighing out and weighing in and report any discrepancies to the Stewards immediately;
(4) Oversee the security of the jockeys' room including the conduct of the jockeys and their attendants;
(5) Promptly report to the Stewards any infraction of the rules with respect to weight, weighing, riding equipment, safety equipment, riding crops, or conduct;
(6) Record all required data on the scale sheet and submit that data to the horsemen's bookkeeper at the end of each race day;
(7) Maintain the record of applicable winning races on all apprentice certificates at the race meeting;
(8) Release apprentice jockey certificates, upon the jockey's departure or upon the conclusion of the race meet; and
(9) Assume the duties of the jockey room custodian in the absence of the employee.
JOCKEY ROOM CUSTODIAN § 305.121. Duties of the jockey room custodian.
The jockey room custodian shall be responsible to:
(1) Supervise the conduct of the jockeys and their attendants while they are in the jockey room;
(2) Keep the jockey room clean and safe for all jockeys;
(3) Ensure all jockeys are in the correct colors before leaving the jockey room to prepare for mounting their horses;
(4) Keep a daily film list as dictated by the Stewards and have it displayed in plain view for all jockeys;
(5) Keep a daily program displayed in plain view for the jockeys so they may have ready access to mounts that may become available;
(6) Keep unauthorized persons out of the jockey room;
(7) Maintain segregated facilities for female jockeys and keep unauthorized individuals out of the female jockey area; and
(8) Report to the Stewards any unusual occurrences in the jockey room.
STARTER § 305.131. General authority and duties.
The Starter shall have complete jurisdiction over the starting gate, the starting of horses and the authority to give orders not in conflict with the rules as may be required to ensure all participants an equal opportunity to a fair start. The decision of the Starter as to the validity of a start shall be final. In performance of the Starter's duties, the starter may:
(1) Appoint and supervise assistant Starters who have demonstrated they are adequately trained to safely handle horses in the starting gate. In emergency situations, the Starter may appoint qualified individuals to act as substitute assistant Starters;
(2) Ensure that at least one assistant Starter is available for each horse in a race;
(3) Assign the starting gate stall positions to assistant Starters and notify the assistant Starters of their respective stall positions not more than 10 minutes before post time for the race;
(4) Assess the ability of each person applying for a jockey's license in breaking from the starting gate and working a horse in the company of other horses, and shall make said assessment known to the Stewards; and
(5) Load horses into the gate in any order deemed necessary to ensure a safe and fair start.
§ 305.132. Use of starting gate.
(a) A flat race shall be started out of a starting gate approved by the Commission. If the Starter or the Starter's assistant is unable, after reasonable efforts, to place a horse in its assigned position in the gate for a satisfactory start, or if a horse is fractious or unruly, the Starter may order the horse into a different gate position.
(b) If, after reaching the starting post, a horse is so badly injured as to make it impractical or impossible for him to run in the race, the Starter may, in the interest of saving time, excuse that horse, but shall notify the Stewards before the race starts. A horse so excused by the Starter shall be deemed excused by the Stewards.
§ 305.133. Prohibited conduct.
With respect to an official race, the assistant Starters shall not:
(1) Handle or take charge of any horse in the starting gate without the expressed permission of the Starter;
(2) Impede the start of a race;
(3) Apply a whip or other device, except Steward-approved twitches, to assist in loading a horse into the starting gate;
(4) Slap, boot or otherwise dispatch a horse from the starting gate;
(5) Strike or use abusive language to a jockey; or
(6) Accept or solicit any gratuity, gift or payment of any kind other than his/her regular salary, directly or indirectly, for services in starting a race.
§ 305.134. Starter's List.
No horse shall be permitted to start in a race unless approval is given by the Starter. The Starter shall maintain a Starter's List of all horses which are ineligible to be entered in any race because of poor or inconsistent behavior or performance in the starting gate. The horse shall be refused entry until it has demonstrated to the Starter that it has been satisfactorily schooled in the gate and can be removed from the Starter's List. Schooling shall be under the direct supervision of the Starter.
§ 305.135. Report violations.
The Starter and assistant Starter shall immediately report any false starts, impeded starts, unfair starts or any unauthorized activities to the Stewards.
TIMER/CLOCKER § 305.151. Duties of timers.
(a) The timer shall accurately record the time elapsed between the start and finish of each race.
(b) The time shall be recorded from the instant that the first horse leaves the point from which the distance is measured until the first horse reaches the finish line.
(c) At the end of a race, the timer shall post the official running time on the infield totalisator board on instruction by the Stewards.
(d) At a racetrack equipped with an appropriate infield totalisator board, the timer shall post the quarter times (splits) for thoroughbred races in fractions as a race is being run.
(e) For back-up purposes, the timer shall also use a stopwatch to time all races. In time trials, the timer shall ensure that at least three stopwatches are used by the Stewards or their designees.
(f) The timer shall maintain a written record of fractional and finish times of each race and have same available for inspection by the Stewards or the Commission on request.
§ 305.152. Duties of clockers.
(a) The clocker shall be present during training hours at each track on association grounds, which is open for training, to identify each horse working out and to accurately record the distances and times of each horse's workout.
(b) Each day, the clocker shall prepare a list of workouts that describes the name of each horse which worked along with the distance and time of each horse's workout.
(c) At the conclusion of training hours, the clocker shall deliver a copy of the list of workouts to the Stewards and the racing secretary.
PATROL JUDGE § 305.171. Powers and duties of patrol Judges.
The patrol Judge, when utilized, is responsible for observing the race and reporting information concerning the race to the Stewards. If the track's video replay system is deemed adequate, use of patrol Judges is optional.
PLACING JUDGE § 305.191. Duties.
The placing Judges shall determine the order of finish in a race as the horses pass the finish line, and with the approval of the Stewards, may display the results on the totalisator board.
§ 305.192. Photo finish.
(a) In the event the placing Judges or the Stewards request a photo of the finish, the photo finish sign shall be posted on the totalisator board.
(b) Following their review of the photo finish, the placing Judges shall determine the exact order of finish for all horses participating in the race, and shall immediately post the numbers of the first four finishers on the totalisator board.
(c) In the event a photo was requested, the placing Judges shall cause a photographic or digital print of said finish to be produced. The finish photograph or digital print shall, when needed, be used by the placing Judges as an aid in determining the correct order of finish.
(d) Upon determination of the correct order of finish of a race in which the placing Judges have utilized a photographic or digital print to determine the first four finishers, the placing Judges shall cause prints of said photograph or digital print to be displayed publicly on the on-track television monitors and be provided to simulcast outlets.
§ 305.193. Dead heats.
(a) In the event the placing Judges determine that two or more horses finished the race simultaneously and cannot be separated as to their order of finish, a dead heat shall be declared.
(b) In the event one or more of the first four finishers of a race are involved in a dead heat, the placing Judges shall post the dead heat sign on the totalisator board and cause the numbers of the horse or horses involved to blink on the totalisator board.
COMMISSION VETERINARIAN § 305.201. Qualifications.
(a) The Commission Veterinarian shall:
(1) Be employed by the Department as a Veterinary Medical Field Officer (VMFO) and appointed by the Commission to a racetrack under the jurisdiction of the Commission;
(2) Have graduated from an accredited veterinary school, be duly licensed by the Department of State to practice veterinary medicine within this Commonwealth and be properly licensed by the Commission as a Commission Veterinarian;
(3) Possess the necessary qualifications and experience to objectively and competently provide the regulatory duties described herein;
(4) Refuse employment or payment, directly or indirectly, from any horse owner or trainer of a horse racing or intending to race in this Commonwealth while employed as the Commission Veterinarian;
(5) Refrain from directly treating or prescribing for any horse under the Commission's jurisdiction, except in cases of extreme emergency, accident or injury;
(6) Have no employment history or business relationship prior to employment as the Commission Veterinarian that could constitute a conflict of interest or impede in the performance of official duties.
(b) Each racetrack under the jurisdiction of the Commission shall have an adequate number of Commission Veterinarians, as determined by the Commission, necessary to perform all the duties and responsibilities, as set forth in these regulations. The Commission shall designate one of the Commission Veterinarians as the Chief Commission Veterinarian at that racetrack facility.
§ 305.202. Duties and responsibilities of the Commission Veterinarian.
(a) The Commission's Veterinarian, among other things, shall:
(1) Inform the Stewards that a horse has been deemed unsafe to race, or inhumane to allow to race and shall place that horse on the Veterinarian's List as set forth in § 305.203 (relating to Veterinarian's List);
(2) Conduct pre-race inspections (racing soundness examination) on all potential Starters on race day under the Pre-Race Examination Protocol as established and amended by the Commission. The examinations shall be conducted in or near the stall to which the horse is assigned;
(3) Inspect any horse when there is a question as to the physical condition of the horse regardless of the horse's entry status;
(4) Be present in the paddock during saddling and on the racetrack during the post parade;
(5) Recommend to the Stewards the scratching of any horse that is, in the opinion of the Commission Veterinarian, injured, ill, or otherwise unable to compete due to an apparent medical or health-related condition;
(6) Inspect any horse which appears in physical distress during the race or at the finish of the race; and shall make a report of the horse and the suspected cause of the distress to the Stewards;
(7) Maintain a continuing health and racing soundness record of each horse so examined;
(8) Be authorized, in an emergency scenario, to humanely destroy any horse deemed to be so seriously injured that it is in the best interests of the horse to so act;
(9) Report to the Commission the names of all horses humanely destroyed or which otherwise expire at the meeting and the reasons therefore;
(10) Maintain the Veterinarian's List of horses ineli- gible to race;
(11) Supervise and control the Test Barn and the procedures implemented therein;
(12) Supervise the taking of all specimens, including but not limited to saliva, blood, urine or any other bodily fluid taken from the horse for pre-race or post-race testing according to procedures approved by the Commission;
(13) Maintain the proper administrative safeguards to protect the chain of custody handling of all laboratory specimens to prevent tampering, confusion, or contamination and assure sample integrity;
(14) Have jurisdiction over the practicing licensed veterinarians within the racetrack enclosure for the purpose of these rules;
(15) Cooperate with the racetrack veterinarian, practicing licensed veterinarians and other regulatory agencies to take measures to control communicable or reportable equine diseases, or both.
§ 305.203. Veterinarian's List.
The Commission Veterinarian shall maintain a list to be known as the Veterinarian's List upon which the name of a horse which is considered unfit, unsound or not ready for racing shall be placed. The Veterinarian's List shall be binding on all licensed racetrack facilities and those participating in racing activities under the jurisdiction of the Commission. The Veterinarian's List shall be published in a format as required by the Commission. A horse placed on the Veterinarian's List shall be refused entry until the horse is shown to be fit, sound or ready to race.
RACETRACK VETERINARIAN § 305.221. General authority and duties.
(a) The racetrack track veterinarian may be present at the starting gate and may visually inspect each entrant. If, in the opinion of the racetrack veterinarian, prior to the starting gate dispatching the horses, a horse is not in condition to compete in that race, the racetrack veterinarian shall immediately notify the Stewards or the Commission Veterinarian of the horse's condition.
(b) The racetrack veterinarian shall be attendant on the Stewards and the racing secretary at scratch time each morning, and shall examine the horse that they request, and make reports to the racing officials as promptly as possible.
(c) The racetrack veterinarians shall be an employee of the licensed racing entity and shall:
(1) Be directly responsible to the Commission Veterinarian;
(2) Be a graduate veterinarian and be licensed to practice in this Commonwealth;
(3) Be present at the starting gate until the horses are dispatched from the gate for the race;
(4) Inspect any horse which appears in physical distress during the race or at the finish of the race; and shall report the horse together with a written opinion as to the cause of the distress to the Stewards and to the Commission Veterinarian;
(5) Refrain from directly treating or prescribing for any horse scheduled to participate during his/her term of appointment at any recognized meeting except in cases of emergency, accident or injury;
(6) Be authorized to humanely destroy any horse deemed to be so seriously injured that it is in the best interests of the horse to so act;
(7) Perform any other veterinarian function deemed necessary and appropriate as directed by the Commission Veterinarian, the Commission or the racetrack's employer.
§ 305.222. Outriders.
(a) The Outriders shall make every effort to maintain the safety and orderly conduct of training and racing according to the rules, regulations and directives of the Commission, the Stewards and the licensed racing entity management.
(b) The Outriders shall report all unauthorized activities, unusual occurrences or potential rule violations to the Stewards.
(c) The Outriders shall, in cooperation with the Stewards, establish a plan to stop the running of a race should there be a loose horse, removal of starting gate malfunction or in case of any other on-track issue that endangers the safety of the participants and horses.
(d) The Outriders shall oversee and supervise all jockeys, exercise riders, pony persons and trainers when they are on the track. First-time applicants for these positions shall be observed and approved by the Outriders as a condition of licensure.
(e) The Outriders shall enforce the track and Commission regulations concerning the use of approved safety vests and protective helmets while riders are on the racetrack.
ENTRIES AND NOMINATIONS § 305.231. Entries.
(a) No horse shall be qualified to start in a race unless it has been properly entered and its owner, trainer, or their authorized designee have been licensed by the Commission, and evidence of workers compensation insurance carried by owners and trainers properly filed. A trainer may use the affidavit process to temporarily license an owner for purposes of entering a horse as provided for by the Commission. Overnight entries shall be made and completed 48 hours prior to the morning of the applicable race program.
(b) To compete in a race, a horse must be eligible at the time of starting that race. A horse disqualified in any jurisdiction or placed on the Stewards' List, Starters' List or Veterinarians' List in any jurisdiction is not allowed to be entered or to start in a race without permission of the Stewards. The racing secretary shall be responsible to verify and accurately determine the horse's eligibility at the time of entry.
§ 305.232. Procedure.
(a) Entries and nominations shall be made with the racing secretary and shall not be considered until received by the racing secretary, who shall maintain a record of time of receipt of them for a period of 1 year.
(b) An entry shall be in the name of the horse's licensed owner and made by the owner, trainer or a licensed designee of the owner or trainer.
(c) Races printed in the condition book shall have preference over substitute and extra races.
(d) An entry may initially be made by telephone with the racing secretary but must be immediately confirmed in writing or facsimile machine to the racing secretary.
(e) The person making an entry shall clearly designate the horse so entered.
(f) No alteration may be made in any entry after the closing of entries, but an error may be corrected with permission of the Stewards.
(g) No horse may be entered in more than one race at the same licensed racing facility to be run on the same day on which pari-mutuel wagering is conducted.
(h) Any permitted medication or approved change of equipment must be declared at time of entry.
§ 305.233. Limitation as to spouses.
No entry in any race shall be accepted for a horse owned wholly or in part by, or trained by, a person whose husband or wife is under license suspension at time of the entry, unless the non-suspended spouse can demonstrate, by horse records, financial documents and other business records that they are duly licensed as a trainer by the Commission and maintain a separate business from the suspended spouse. The Stewards shall review the provided documentation.
§ 305.234. Coupled entries.
(a) The term ''entry'' means a horse made eligible to run in a race. When Starters in a race include two or more horses with common ownership, they shall be coupled as an entry. A wager on one horse in the entry shall be a wager on all horses in the entry. If one horse is scratched after betting has begun, the remaining horse shall run as a single betting entry.
(b) Horses owned wholly or in part by the same trainer, person or the spouse of the person shall be coupled and run as an entry.
(c) Starters in a race which include two horses of different ownership trained by the same person, or trained in the same stable shall not be coupled as an entry and shall constitute a separate wagering interest.
(d) No more than two horses having common ties through ownership or training may be entered in an overnight race. Under no circumstances may both horses of a coupled entry start to the exclusion of a single entry. When making a coupled entry, a preference for one of the horses must be made.
(e) The rules in subsections (a)—(d) may be waived by application and demonstration of proper cause to the racing secretary and the Stewards.
§ 305.235. Nominations.
(a) Any nominator to a stakes race may transfer or declare the nomination prior to closing.
(b) Joint nominations and entries may be made by any one of joint owners of a horse, and each owner shall be jointly and severally liable for all payments due.
(c) Death of a horse, or a mistake in its entry when the horse is eligible, does not release the nominator or transferee from liability for all stakes fees due. No fees paid in connection with a nomination to a stakes race that is run shall be refunded, except as otherwise stated in the conditions of a stakes race.
(d) Death of a nominator to a stakes race shall not render void any subscription, entry or right of entry. All rights, privileges and obligations shall be attached to the legal heirs of the decedent or the successor owner of the horse.
(e) When a horse is sold privately or at public auction or claimed, stakes engagements shall be transferred automatically to its new owner; except when the horse is transferred to a person whose license is suspended or who is otherwise unqualified to race or enter the horse, then the nomination shall be void as of the date of the transfer.
(f) All stakes fees paid toward a stakes race shall be allocated to the winner unless otherwise provided by the conditions for the race. If a stakes race is not run for any reason, all the nomination fees paid shall be refunded.
§ 305.236. Closings.
(a) Entries for purse races and nominations to stakes races shall close at the time designated by the licensed racing entity in previously published conditions for the races. This time may not be less than 48 hours prior to the time of the running of the races for which entry is being made. No entry, nomination or declaration shall be accepted after the closing time, except that in the event of an emergency or if an overnight race fails to fill, the racing secretary may, with the approval of a Steward, extend the closing time.
(b) Except as otherwise provided in the conditions for a stakes race, the deadline for accepting nominations and declarations is midnight of the day of closing, provided they are received in time for compliance with every other condition of the race.
§ 305.237. Number of Starters in a race.
The maximum number of Starters in any race shall be limited to the number of starting positions afforded by the association starting gate and its extensions. The number of Starters may be further limited by the number of horses which, in the opinion of the Board of Stewards, after consultation with the horsemen's group and the jockeys' association, can be afforded a safe, fair and equal start. The decision of the Stewards is final and not appealable.
§ 305.238. Split or divided races.
In the event a race is cancelled or declared off, the licensed racing entity may split any overnight race for which post positions have not been drawn. Where an overnight race is split, forming two or more separate races, the racing secretary shall give notice of not less than 15 minutes before the races are closed to grant time for making additional entries to the split races.
§ 305.239. Post positions.
Post positions for all races shall be determined by lot and shall be publicly drawn in the presence of a Steward or Steward designee.
§ 305.240. Also-eligible list.
(a) If the number of entries for a race exceeds the number of horses permitted to start, the racing secretary may create and post an also-eligible list.
(b) If any horse is scratched from a race for which an also-eligible list was created, a replacement horse shall be drawn from the also-eligible list into the race in order of preference. If none is preferred, a horse shall be drawn into the race from the also-eligible list by lot.
(c) Any owner or trainer of a horse on the also-eligible list who does not wish to start the horse in the race shall so notify the racing secretary prior to scratch time for the race, thereby forfeiting any preference to which the horse may have been entitled.
(d) A horse which draws into a straightaway race from the also-eligible list shall start from the post position vacated by the scratched horse. In the event more than one horse is scratched, post positions of horses drawing in from the also-eligible list shall be determined by lot.
(e) A horse which draws into a non-straightaway race from the also-eligible list shall start from the outermost post position. In the event more than one horse is scratched, post positions of horses drawing in from the also-eligible list shall be determined by public lot.
§ 305.241. Preferred list.
The racing secretary shall maintain a list of entered horses eliminated from starting by a surplus of entries, and these horses shall constitute a preferred list and have preference. The preferred list shall be maintained and all rules governing the list shall be the sole responsibility of the racing secretary.
§ 305.242. Declarations and scratches.
(a) Declaration. A declaration is the act of withdrawing an entered horse from a race prior to the closing of entries. The declaration of a horse before closing shall be made by the owner, trainer or their licensed designee in the form and manner prescribed in these rules.
(b) Scratch. A scratch is the act of withdrawing an entered horse from a contest after the closing of entries. The scratch of a horse after closing shall be made by the owner, trainer or their licensed designee, with permission from the Stewards. No horse may be scratched from an overnight race without the express approval of the Stewards.
(1) A horse may be scratched from a stakes race for any reason at any time up until 45 minutes prior to post time for that race.
(2) A horse which has been scratched, or excused from starting by the Stewards, because of a physical disability or sickness shall not be accepted until the horse has been released from the Veterinarian's List by the Commission Veterinarian.
(c) The declaration or scratch of a horse out of an engagement is irrevocable.
§ 305.243. Ineligible horses.
(a) A horse is ineligible to start in a race within this Commonwealth if:
(1) It is not stabled on the grounds of the licensed racing entity or present by the time established by the Commission;
(2) Its breed registration certificate is not on file with the racing secretary or horse identifier (unless the racing secretary has submitted the certificate to the appropriate breed registry for correction). The Stewards may waive these requirements if the information contained on the registration certificate is otherwise available and the horse is otherwise correctly identified to the Stewards' satisfaction;
(3) It is not fully identified and is tattooed on the inside of the upper lip, is microchipped with a unique microchip (ISO 11784), freeze brand or identified by any other method approved by the appropriate breed registry and the Commission;
(4) It has been fraudulently entered or raced in any jurisdiction under a different name, with an altered registration certificate or altered lip tattoo, microchip ISO 11784, freeze brand or other identification method approved by the appropriate breed registry and the Commission;
(5) It is wholly or partially owned by or is under the direct or indirect training or management of a person who for any reason is ineligible to be licensed to participate in this jurisdiction;
(6) It is wholly or partially owned by or is under the direct or indirect management of the spouse of a person who for any reason is ineligible to be licensed or to participate in this jurisdiction;
(7) The stakes or entrance money for the horse has not been paid, in accordance with the conditions of the race;
(8) Its name appears on the Starter's List, Stewards' List or Veterinarian's List except when an unforeseen administrative issue occurs in removing the horse from the Veterinarian's List of another racing jurisdiction;
(9) It is a first-time Starter and has not been approved to start by the Starter;
(10) It is owned in whole or in part by an undisclosed person or interest;
(11) It lacks sufficient official published workouts or race past performances;
(12) It has been entered in a stakes race and has subsequently been transferred with its engagements, unless the racing secretary has been notified prior to the start;
(13) It is subject to a lien which has not been approved by the Stewards and filed with the horsemen's bookkeeper;
(14) It is subject to a lease not filed with the Stewards;
(15) It is not in sound racing condition;
(16) It has had a surgical neurectomy performed on a heel nerve, which has not been approved by the Commission Veterinarian;
(17) It has been trachea tubed to artificially assist breathing;
(18) It has been blocked with alcohol or otherwise drugged or surgically denerved to desensitize the nerves above the ankle;
(19) It has impaired eyesight in both eyes;
(20) It is barred or suspended in any other recognized racing jurisdiction;
(21) It does not meet the eligibility conditions of the race;
(22) Its owner or lessor is in arrears for any stakes fees, except with approval of the racing secretary;
(23) Its owners, lessors or trainer have not completed the licensing or affidavit procedures as required by the Commission;
(24) It is by an unknown sire or out of an unknown mare;
(25) There is no current negative test certificate for Equine Infectious Anemia (Coggins or EIA) attached to its breed registration certificate or proof of a negative test certificate is not otherwise available if the Stewards have waived the requirement of a registration certificate; or
(26) It has shoes (racing plates) which have toe grabs with a height greater than 2 millimeters (0.07874 inches), bends, jars, caulks, stickers or any other traction device on the front hooves while racing or training on all racing surfaces.
WEIGHTS, PENALTIES AND ALLOWANCES § 305.251. Weight allowances.
(a) Weight allowance must be claimed at time of entry and shall not be waived after the posting of entries, except by consent of the Stewards.
(b) A horse shall start with only the allowance of weight to which it is entitled at time of starting, regardless of its allowance at time of entry.
(c) Horses not entitled to the first weight allowance in a race shall not be entitled to any subsequent allowance specified in the conditions.
(d) Claim of weight allowance to which a horse is not entitled shall not disqualify it unless protest is made in writing and lodged with the Stewards at least one hour before post time for that race.
(e) A horse shall not be given a weight allowance for failure to finish second or lower in any race.
(f) No horse shall receive allowance of weight nor be relieved extra weight for having been beaten in one or more races, but this rule shall not prohibit maiden allowances or allowances to horses that have not won a race within a specified period or a race of a specified value.
(g) Except in handicap races which expressly provide otherwise, 2-year-old fillies shall be allowed 3 pounds, and fillies and mares, 3 years old and upward, shall be allowed 5 pounds before September 1 and 3 pounds thereafter in races where competing against male horses.
(h) All allowances are optional and may be waived at the time of entry by the trainer or the trainer's designee with the permission of the Stewards.
§ 305.252. Weight penalties.
(a) Weight penalties are obligatory.
(b) Weight allowance, including apprentice allowance, shall be claimed at time of overnight entry.
(c) Horses incurring weight penalties for a race shall not be entitled to any weight allowance for that race.
(d) No horse shall incur a weight penalty or be barred from any race for having been placed second or lower in any race.
(e) Penalties incurred and allowances due in steeplechase or hurdle races shall not apply to races on the flat, and vice versa.
(f) The reports, records and statistics as published by Daily Racing Form, Equibase or other recognized publications shall be considered official in determining eligibility, allowances and penalties, but may be corrected.
(g) For determining weight penalties and allowances for horses that have previously won or placed in Graded or Group races, penalties in the race conditions will only apply to Graded or Group races in Part 1 countries as recognized in the International Catalogue Standards (ICS) book.
§ 305.253. Scale of weights.
(a) With the exception of apprentice allowances, handicap races, 3-year-old horses entered to run in races against horses 4 years old and upwards, and the allowance provided in subsection (b) of this section, no jockey shall be assigned a weight of less than 118 pounds. For 3-year-old horses entered to run in races against horses 4 years old and upwards from January 1 through August 31, no jockey shall be assigned a weight of less than 116 pounds.
(b) Except in handicaps, fillies 2 years old shall be allowed 3 pounds, and fillies and mares 3 years old and upward shall be allowed 5 pounds before September 1, and 3 pounds thereafter in races where competing against horses of the opposite sex.
(c) A notice shall be included in the daily program that all jockeys will carry approximately 3 pounds more than the published weight to account for safety equipment (vest and helmet) that is not included in required weighing out procedures. Additionally, upon Stewards' approval, jockeys may weigh in with an additional 3 pounds for inclement weather gear.
§ 305.254. Timed workouts.
In addition to the provisions of § 305.243 (relating to ineligible horses), a horse which has not started for a period of 45 days or more is ineligible to race until it has completed a timed workout satisfactory to the Stewards. A workout following the entry of a horse shall appear on the official daily racing program or electronically online in Equibase or a similar entity.
§ 305.255. Identification.
(a) The trainer or exercise rider shall bring each horse scheduled for an official workout to be identified by the clocker or clocker's assistant immediately prior to the workout.
(b) The horse shall be properly identified by its lip tattoo, unique implanted microchip (ISO 11784), freeze brand or other identification method approved by the breed registry and the Commission immediately prior to participating in an official timed workout.
(c) The trainer or trainer's designee shall be required to identify the distance the horse is to be worked and the point on the track where the workout will start.
§ 305.256. Information dissemination.
Information regarding a horse's approved timed workout(s) shall be furnished to the public prior to the start of the race for which the horse has been entered.
§ 305.257. Restrictions.
A horse shall not be taken onto the track for training or a workout except during hours designated by the licensed racing entity.
RUNNING OF THE RACE § 305.271. Racing equipment.
(a) All riding crops are subject to inspection and approval by the Stewards and the clerk of scales.
(1) Riding crops shall have a shaft and a flap and will be allowed in flat racing including training, only as follows:
(i) Maximum weight of 8 ounces;
(ii) Maximum length, including flap of 30 inches;
(iii) Minimum diameter of the shaft of 3/8 inch; and
(iv) Shaft contact area must be smooth, with no protrusions or raised surface, and covered by shock absorbing material that gives a compression factor of at least one-millimeter throughout its circumference.
(2) The flap is the only allowable attachment to the shaft and must meet these specifications:
(i) Length beyond the end of the shaft a maximum of 1 inch;
(ii) Width a minimum of 0.8 inch and a maximum of 1.6 inches;
(iii) No reinforcements or additions beyond the end of the shaft;
(iv) No binding within 7 inches of the end of the shaft; and
(v) Shock absorbing characteristics similar to those the contact area of the shaft.
(b) No bridle shall exceed 2 pounds.
(c) A horse's tongue may be tied down with clean bandages, gauze or tongue strap.
(d) No licensee may add blinkers or cheek pieces to a horse's equipment or discontinue their use without the prior approval of the Starter, the paddock Judge, and the Stewards. Any request for a change must be stated at entry. Blinkers and cheek pieces may not be utilized at the same time.
(e) No licensee may change any equipment used on a horse since its last race in this Commonwealth without approval of the paddock Judge.
§ 305.272. Racing numbers.
(a) Each horse shall carry a conspicuous saddle cloth number corresponding to the official number given that horse on the official program.
(b) In the case of a coupled entry that includes more than one horse, each horse in the entry shall carry the same number, with a different distinguishing letter following the number. As an example, two horses in the same entry shall appear in the official program as 1 and 1A.
(c) Each horse in the mutuel field shall carry a separate number or may carry the same number with a distinguishing letter following the number.
§ 305.273. Jockey and apprentice license.
(a) A jockey or an apprentice jockey who wants to obtain an appropriate license from the Commission shall meet all the licensing and eligibility requirements set forth in Chapter 303 (relating to licensing, duties and responsibilities of Thoroughbred occupational licensees—temporary regulations) of these regulations.
(b) No person under 18 years of age shall be licensed by the Commission as a jockey.
(c) The Stewards may permit a jockey to ride pending action on a license application.
(d) A licensed jockey may not be an owner or trainer of a race horse.
(e) A jockey may not make a bet on any horse other than the one the jockey is riding. The bet placed shall only be to ''win'' and shall only be placed through the owner or trainer of the horse the jockey is riding.
(f) A jockey may not solicit or accept directly or indirectly anything of value from any person for the performance of his duties other than the applicable jockey's fee.
(g) A jockey shall not compete in any race against a horse which is trained by the jockey's spouse or partner.
(h) It shall be unlawful and a violation of these rules for a jockey, an owner, trainer or other person authorized to handle the horse, to be in possession or control of any electrical, mechanical or similar type of stimulating or shocking device. In addition to any penalty imposed by the Stewards, the matter may be referred by the Commission to law enforcement agencies for criminal prosecution.
§ 305.274. Examination of jockeys by licensed physicians.
Before the beginning of a racing season, a jockey shall pass a physical examination given within the previous 12 months by a licensed physician affirming fitness to participate as a jockey. The Stewards may require that a jockey be reexamined and may refuse to allow the jockey to ride pending successful completion of the physical examination.
§ 305.275. Requirements for apprentice jockeys.
(a) A person 18 years of age or older who has never been licensed as a jockey in any country may apply to become an apprentice jockey. An applicant with an approved apprentice certificate may be licensed as an apprentice jockey.
(b) A person desiring an apprentice jockey certificate and the privilege of riding races at tracks in this Commonwealth shall provide proof of the following:
(1) Employment on the backside of a race track, including exercising horses on the track.
(2) Attending and reviewing video tapes of races in jockeys' quarters, as scheduled by the Stewards.
(3) Observing jockeys and horses break from the gate, at the start of races under the supervision of a Starter, for at least three racing days and at least five races per racing day.
(4) Observing horses changing leads at the 1/4, 3/8 and 7/8 poles and observing horses and jockeys approaching the finish line and finishing the race.
(5) Participating in as many schooling races as possible through the cooperation of the racing secretary and informing two or more members of the board of approval of application for apprentice license as soon as the applicant has been notified of acceptance to ride in the schooling race.
(6) Breezing horses from the gate satisfactorily with a whip at least twice in the presence of two or more members of the board of approval.
(7) Riding with competence in two pari-mutuel races without a whip under a temporary apprentice jockey certificate. The applicant will be observed by the board of approval during the races.
§ 305.276. Apprentice jockey weight allowances in overnight races.
A certified apprentice jockey may claim the weight allowances set forth in Chapter 303 (relating to licensing, duties and responsibilities of Thoroughbred occupational licensees—temporary regulations) in all overnight races except stakes and handicaps.
§ 305.277. Applications for extensions.
If an apprentice jockey is unable to ride for a period of 5 consecutive days or more after the date of the apprentice jockey's fifth winning mount because of restriction of racing, service in National armed forces, physical disablement or illness, or enrollment and attendance in an institution of secondary or higher education, the Commission may, upon the submission of appropriate documentation, extend the time during which the apprentice weight allowance may be claimed.
§ 305.278. Jockey agents.
(a) A jockey may have only one agent. A jockey agent may only handle up to two jockeys and may not make or assist in making of an engagement for a jockey other than those jockeys represented by the agent.
(b) A jockey agent is prohibited from:
(1) Being within the saddling enclosure during racing hours;
(2) Being on the racetrack proper at the conclusion of a race;
(3) Being in or having access to the jockey quarters during racing hours.
(c) No revocation of a jockey agent's authority is effective until the jockey notifies the Stewards in writing of this revocation.
§ 305.279. Valet-attendants.
A jockey may not have a valet-attendant other than one provided by the licensed racing entity.
§ 305.280. Jockey mount fees.
(a) In the absence of a contract or other agreement between jockey representatives, the Commission shall use the following as a guideline for establishing jockey mount fees.
Purse Winning mount Second mount Third mount Fourth mount Other mounts 0 to $2,499 10% of Win Purse $55 $50 $45 $40 $2,500 to $4,999 10% of Win Purse $60—$75 $55—$70 $50—$65 $45—$60 $5,000 to $9,999 10% of Win Purse $65—$85 $60—$80 $55—$75 $50—$65 $10,000 to $24,999 10% of Win Purse 5% of Place Purse $90—$100 $70—$90 $65—$80 $25,000 to $49,999 10% of Win Purse 5% of Place Purse 5% of Show Purse $80—$100 $75—$95 $50,000 to $99,999 10% of Win Purse 5% of Place Purse 5% of Show Purse 5% of Fourth Place Purse $80—$100 $100,000 and up 10% of Win Purse 5% of Place Purse 5% of Show Purse 5% of Fourth Place Purse $105—$115
(b) A jockey's fee shall be considered earned when the jockey is weighed out by the clerk of scales. In the event an owner or trainer elects to remove a jockey from the mount after naming a rider at the time of the draw, the Stewards may require a double jockey fee to be paid.
(c) The fee shall not be considered earned when a jockey(s), of their own free will, take themselves off their mounts, where injury to the horse or rider is not involved. Any conditions or considerations not covered by the above rule shall be at the discretion of the Stewards. All jockey protests must be filed prior to the race.
§ 305.281. Jockey suspensions and designated races.
(a) For purposes of this subchapter, ''designated race'' shall mean any stakes race or associated trial in any state as designated by the Stewards.
(b) A jockey suspended for 10 days or less for a riding violation unless otherwise specified in the ruling may continue to exercise horses during training hours and may fulfill riding engagements in designated races, as designated by the Stewards at the beginning of the race meeting.
(c) The official rulings where designated races are permitted shall be stated in the initial ruling.
(d) A jockey who is serving a suspension of 10 race days or less may ride in designated races during the suspension under the following conditions:
(1) The race has been specified as a designated race by the Stewards officiating at the meeting; and
(2) The jockey is named no later than the time set for the close of entries for the designated race.
(e) When a jockey rides in a designated races the Board of Stewards, which originally imposed the suspension will designate the day to serve the additional suspension.
§ 305.282. Jockey requirements.
(a) Jockeys shall report to the jockeys' quarters at the time designated by the licensed racing entity. Jockeys shall report their engagements and any overweight to the clerk of scales. Jockeys shall not leave the jockeys' quarters, except to ride in scheduled races, until all of their riding engagements of the day have been fulfilled, except as approved by the Stewards.
(b) A jockey who has not fulfilled all riding engagements, who desires to leave the jockeys' quarters, must first receive the permission of the Stewards and must be accompanied by a licensed racing entity security guard.
(c) While in the jockeys' quarters, jockeys shall have no contact or communication with any person outside the jockeys' quarters other than Commission personnel and officials, or an owner or trainer for whom the jockey is riding, except with the permission of the Stewards. Any communication permitted by the Stewards may be conducted only in the presence of the clerk of scales or other person designated by the Stewards.
(d) Jockeys shall be weighed out for their respective mounts by the clerk of scales not more than 30 minutes before post time for each race. Only valets employed by the licensed racing entity shall assist jockeys in weighing out.
(e) A jockey must wear a safety vest when riding in any official race. The safety vest shall meet the applicable standards for safety vests as set forth in Chapter 303 (relating to licensing, duties and responsibilities of Thoroughbred occupational licensees—temporary regulations).
§ 305.283. Weighing out.
(a) A jockey's weight shall include his/her clothing, boots, saddle and its attachments and any other equipment except the bridle, bit, blinkers, goggles, number cloth and safety equipment including helmet, vest, over-girth, reins and breast collar.
(b) Upon Stewards' approval, jockeys may be allowed up to 3 pounds more than published weights to account for inclement weather clothing and equipment.
(c) Seven pounds is the limit of overweight any horse is permitted to carry.
(d) Once jockeys have fulfilled their riding engagements for the day and have left the jockeys' quarters, they shall not be re-admitted to the jockeys' quarters until after the entire racing program for that day has been completed, except with permission of the Stewards.
§ 305.284. Paddock to post.
(a) Each horse shall carry the full weight assigned for that race from the paddock to the starting post, and shall parade past the Stewards' stand, unless excused by the Stewards. The post parade shall not exceed 12 minutes, unless otherwise ordered by the Stewards. It shall be the duty of the Stewards to ensure that the horses arrive at the starting gate as near to post time as possible.
(b) After the horses enter the track, a jockey may not dismount or entrust the horse to the care of an attendant without the prior consent of the starter, unless, it is necessary to do so because of an accident to the jockey, the horse or the equipment. During any delay during which a jockey is permitted to dismount, all other jockeys may also dismount and their horses may be attended by others. After the horses enter the track, only the jockey, an assistant starter, the Commission Veterinarian, the racing veterinarian or an outrider or pony rider may touch the horse before the start of the race.
(c) If a jockey is injured on the way to the post, the horse shall be returned to the paddock or any other area designated by the Stewards, re-saddled with the appropriate weight and remounted with a replacement jockey.
(d) After passing the Stewards' stand in parade, the horses may break formation and proceed to the post in any manner unless otherwise directed by the Stewards. Once at the post, the horses shall be started without unnecessary delay.
(e) Horses shall arrive at the starting post in post-position order.
(f) If a horse throws its jockey on the way from the paddock to the post, the horse must be returned to the point where the jockey was thrown, where it shall be remounted and then proceed over the route of the parade to the post. The horse must carry its assigned weight from paddock to post and from post to finish.
(g) If a horse leaves the course while moving from paddock to post, the horse shall be returned to the course at the nearest practical point to that at which it left the course and shall complete its parade to the post from the point at which it left the course unless ordered scratched by the Stewards.
(h) No person shall willfully delay the arrival of a horse at the post.
(i) The starter shall load horses into the starting gate in any order deemed necessary to ensure a safe and fair start as set forth in this chapter. Only the jockey, the racing veterinarian, the starter or an assistant starter shall handle a horse at the post.
§ 305.285. Post to finish.
(a) In addition to the duties and responsibilities of the starter as set forth in this chapter, the starter is responsible for ensuring that each participant in every race receives a fair and appropriate start. If the Stewards suspect a false start has occurred, they shall post the inquiry sign and may disqualify the horse(s), declare it a non-starter, or take no action.
(b) If, when the starter dispatches the field, any door at the front of the starting gate stalls should not open properly due to a mechanical failure or malfunction or should any action by any starting personnel directly cause a horse to receive an unfair start, the Stewards may declare this horse a non-starter.
(c) If a horse is not in the starting gate stall at the time the field is dispatched by the starter thereby causing it to be left out, the horse shall be declared a non-starter by the Stewards.
(d) Should an accident or malfunction of the starting gate, or other unforeseeable event compromise the fairness of the race or the safety of race participants, the Stewards may declare individual horses to be non-starters, exclude individual horses from all pari-mutuel pools or declare the race a ''no contest.''
§ 305.286. Interference, jostling or striking.
(a) A jockey shall not carelessly or intentionally permit the horse the jockey is riding to interfere with, impede or intimidate any other horse in the race.
(b) No jockey shall carelessly or intentionally jostle, strike or touch another jockey or another jockey's horse or equipment at any time in the race.
(c) No jockey shall unnecessarily or unreasonably cause the horse the jockey is riding to shorten its stride or pull up, so as to give the appearance of having suffered a foul.
§ 305.287. Maintaining a straight course.
(a) During the running of the race, when the way is clear, a horse may be ridden or taken to any part of the course, but a horse may not cross, weave, or swerve in front of another horse, or otherwise be ridden to either side, so as to interfere with, impede or intimidate any other horse. This conduct shall be considered a foul. The offending horse may be disqualified, if in the opinion of the Stewards, the foul altered the finish of the race, regardless of whether the foul was accidental, willful or the result of careless riding.
(b) If the Stewards determine the foul was intentional, or due to careless riding, the jockey may be held responsible.
(c) In a straightaway race, every horse must maintain position as nearly as possible in the lane in which it starts. If a horse is ridden, drifts or swerves out of its lane in this manner that it interferes with, impedes or intimidates another horse, it is a foul and may result in the disqualification of the offending horse.
§ 305.288. Disqualification.
(a) If the Stewards determine that a horse shall be disqualified for interference, the Stewards may place the offending horse behind these horses as in their judgment it interfered with, or they may place the offending horse last.
(b) If a horse is disqualified for a foul, any horse or horses in the same race owned or trained by the same interests, whether coupled or uncoupled may also be disqualified.
(c) No appeal may be taken from a decision of the Stewards not to disqualify a horse.
(d) When a horse is disqualified for interference in a time trial race, for the purposes of qualifying only, it shall receive the time of the horse it is placed behind plus one-hundredth of a second penalty or more exact measurement if photo finish equipment permits and shall be eligible to qualify for the finals or consolations of the race on the basis of the assigned time.
(e) Possession of any electrical or mechanical stimulating or shocking device by a jockey, horse owner, trainer or other person authorized to handle or attend to a horse shall be prima facie evidence of a violation of these rules and is sufficient grounds for the Stewards to scratch or disqualify the horse.
(f) The Stewards may determine that a horse shall be unplaced for the purpose of purse distribution and time trial qualification.
§ 305.289. Multiple disqualifications.
Should the Stewards determine that there is more than one incident of interference in a race where disqualification is warranted, the Stewards shall deal with the incidents in the order in which the incident occurs during the race from start to finish; except in the case where the same horses are involved in multiple incidents. Once a horse has been disqualified, it should remain placed behind the horse with which it interfered. The Stewards shall make a conscious effort to place and maintain as placed, every and all horses placed behind others for interference.
§ 305.290. Horses shall be ridden out.
(a) All horses shall be ridden out in every race. A jockey shall not ease up or coast to the finish, without reasonable cause, even if the horse has no apparent chance to win prize money. A jockey shall at all times give a best effort during a race and each horse shall be ridden to win.
(b) A jockey may not intentionally ride wide on the turns, cause the horse to lose ground when there is no reasonable cause for the loss or ride in a manner inconsistent with using the best efforts of the horse.
§ 305.291. Use of a riding crop.
(a) Although the use of a riding crop is not required, any jockey who uses a riding crop during a race shall do so only in a manner consistent with exerting his/her best efforts to win. In all races where a jockey will ride without a riding crop, an announcement of this fact shall be made over the public-address system.
(b) Other than the riding crop approved by the Stewards, no electrical, mechanical or other device designed to increase or retard the speed of a horse, shall be possessed by a jockey, nor shall any electrical, mechanical device by applied by anyone to a horse at any time on the grounds of the licensed racing entity during the meeting.
(c) Riding crops shall not be used on 2-year-old horses before April 1 of each year.
(d) The riding crop shall be used during a race for safety, correction and encouragement of the horse in an appropriate, proportionate, and professional manner, taking into account the rules of racing herein. The stimulus provided by the use of the riding crop shall be monitored by the Stewards at all times so as not to compromise the health, safety and welfare of the horse.
(e) Except for extreme safety reasons all riders should comply with the following when using a riding crop:
(1) Initially showing the horse the riding crop or tapping the horse with the riding crop down, giving it time to respond before using it;
(2) Having used the riding crop, giving the horse a chance to respond before using it again;
(i) ''Chance to respond'' is defined as one of the following actions by a jockey:
(a) Pausing the use of the riding crop on their horse before resuming again;
(b) Pushing on their horse with a rein in each hand, keeping the riding crop in the up or down position;
(c) Showing the horse the riding crop without making contact; or
(d) Moving the riding crop from one hand to the other.
(3) Using the riding crop in rhythm with the horse's stride.
(f) When deciding whether to review the jockey's use of the riding crop, Stewards may consider how the jockey has used the riding crop during the course of the entire race, with particular attention to its use in the closing stages, and other relevant factors such as:
(1) The manner in which the riding crop was used;
(2) The purpose for which the riding crop was used;
(3) The distance over which the riding crop was used and whether the number of times it was used was reasonable and necessary; and
(4) Whether the horse was continuing to respond.
§ 305.292. Review by Stewards.
In the event there is a review by the Stewards, use of the riding crop may be deemed appropriate in the following circumstances:
(1) To keep a horse in contention or to maintain a challenging position prior to what would be considered the closing stages of a race,
(2) To maintain a horse's focus and concentration,
(3) To correct a horse that is noticeably hanging,
(4) To assure the horse maintains a straight course, or
(5) Where there is only light contact with the horse.
§ 305.293. Prohibition.
(a) Prohibited use of the riding crop includes but is not limited to striking a horse:
(1) On the head, flanks or on any other part of its body other than the shoulders or hind quarters except when necessary to control a horse;
(2) During the post parade or after the finish of the race except when necessary to control the horse;
(3) Excessively or brutally causing welts or breaks in the skin;
(4) When the horse is clearly out of the race or has obtained its maximum placing;
(5) Persistently even though the horse is showing no response under the riding crop; or
(6) Striking another rider or horse.
(b) After the race, horses will be subject to inspection by a racing or official Veterinarian looking for cuts, welts or bruises in the skin. Any adverse findings shall be reported to the Stewards.
(c) The giving of instructions by any licensee that if obeyed would lead to a violation of this rule may result in disciplinary action also being taken against the licensee who gave these instructions.
§ 305.294. Horse leaving the racecourse.
If a horse leaves the racecourse during a race, it must turn back and resume the race from the point at which it originally left the course.
§ 305.295. Order of finish.
(a) The official order of finish shall be decided by the Stewards. The video replay shall be available to assist in the Stewards' decision.
(b) The nose of the horse shall determine the placement of the horse in relationship to other horses in the race.
§ 305.296. Returning after the finish.
(a) After a race has been run, the jockey shall ride promptly to the place designated by the Stewards, dismount and report to the clerk of scales to be weighed in. Jockeys shall weigh in with all pieces of equipment with which they weighed out.
(b) If a jockey is prevented from riding to the designated unsaddling area because of an accident or illness to the jockey or the horse, the jockey may walk or be transported to the scales or may be excused from weighing in by the Stewards.
§ 305.297. Unsaddling.
(a) Only persons authorized by the Stewards may assist the jockey with unsaddling the horse after the race.
(b) No one shall place a covering over a horse before it is unsaddled.
§ 305.298. Weighing in.
(a) A jockey shall ''weigh in'' at no less than the same weight at which the jockey weighed out, and if under that weight, and after consideration of mitigating circumstances by the Board of Stewards, the jockey's mount may be disqualified from any portion of the purse money.
(b) In the event of this disqualification, all moneys wagered on the horse shall be refunded unless the race has been declared official.
(c) A jockey's weight shall include clothing, boots, saddle and its attachments and any other equipment, except a safety vest and helmet, the bridle, bit, blinkers, number cloth and over-girth, reins and breast collar.
(d) Upon approval of the Stewards, the jockeys may be allowed up to 3 pounds more than published weights to account for specialized inclement weather clothing and equipment.
(e) The post-race weight of jockeys includes any sweat, dirt and mud that have accumulated on the jockey, jockey's clothing, jockey's safety equipment and over-girth. This accounts for additional weight, depending on specific equipment, as well as weather, track and racing conditions.
§ 305.299. Dead heats.
(a) When two horses run a dead heat for first place, all purses or prizes to which first and second horses would have been entitled shall be divided equally between them; and this applies in dividing all purses or prizes whatever the number of horses running a dead heat and whatever places for which the dead heat is run.
(b) In a dead heat for first place, each horse involved shall be deemed a winner and liable to penalty for the amount it shall receive.
(c) When a dead heat is run for second place and an objection is made to the winner of the race, and sustained, the horses which ran a dead heat shall be deemed to have run a dead heat for first place.
(d) If the dividing owners cannot agree as to which of them is to have a cup or other prize which cannot be divided, the question shall be determined by lot by the Stewards.
OBJECTIONS AND PROTESTS § 305.301. Stewards' inquiries.
(a) During the running of a race, the Stewards shall take cognizance of foul riding and upon their own motion or other racing official empowered by this chapter to object or complain of an occurrence during the race, shall immediately post an official inquiry and shall make every diligent effort to investigate the objection or complaint.
(b) In determining the extent of disqualification, the Stewards in their discretion may:
(1) Declare null and void a track record set or equaled by a disqualified horse, or any horses coupled with it as an entry;
(2) Affirm the placing Judges' order of finish and hold the jockey responsible if, in the Stewards' opinion, the foul riding did not affect the order of finish; or
(3) Disqualify the offending horse and hold the jockey blameless, if in the Stewards' opinion, the interference to another horse in a race was not the result of an intentional foul or careless riding on the part of a jockey.
(c) No appeal may be taken from the decision of the Stewards not to disqualify a horse as a result of the running of a race.
§ 305.302. Race objections.
(a) An objection to an incident alleged to have occurred during the running of a race shall be received only when lodged with the clerk of scales, the Stewards or their designees, by the owner, the authorized agent of the owner, the trainer or the jockey of a horse engaged in the same race.
(b) An objection following the running of any race must be filed before the race is declared official by the Stewards, whether all or some riders are required to weigh in, or the use of a ''fast official'' procedure is permitted. No objection shall be received once the race has been declared official.
(c) The Stewards shall take into account all information provided by race participants and matters occurring during the running of a race; shall determine all objections and inquiries and shall determine the extent of disqualification, if any, of horses in the race. This determination by the Stewards shall be final and binding.
§ 305.303. Prior objections and protest.
(a) Objections or protests to the participation of a horse entered in any race shall be made to the Stewards in writing, signed by the objector, and filed not later than 60 minutes prior to post time for the first race on the day which the questioned horse is entered. A protest not timely received shall be denied on those grounds. A protest shall set forth the specific reasons for the protest in detail to establish probable cause for the protest and the information provided by the protestor shall be verified and signed in affidavit form. The Stewards may upon their own motion consider an objection until the time as the horse becomes a starter.
(b) An objection or protest to a horse which is entered in a race may be made on, but not limited to, the following grounds or reasons:
(1) A misstatement, error or omission in the entry under which a horse is to run;
(2) The horse which is entered to run is not the horse it is represented to be at the time of entry, or the age was erroneously given;
(3) The horse is not qualified to enter under the conditions specified for the race, or the allowances are improperly claimed or not entitled to the horse, or the weight to be carried is incorrect under the conditions of the race;
(4) The horse is owned in whole or in part, or leased or trained by a person ineligible to participate in racing or otherwise ineligible to own a race horse as provided in these rules or the horse was entered without regard to a lien filed previously with the racing secretary;
(5) The weight carried by a horse was improper, by reason of fraud or willful misconduct.
(c) The Stewards may scratch from the race any horse which is the subject of an objection if they have reasonable cause to believe that the objection is valid.
(d) Notwithstanding any other provision in this section, the time limitation on the filing of protests shall not apply in any case in which fraud or willful misconduct is alleged provided that the Stewards are satisfied that the allegations are bona fide and have been duly verified by affidavit.
(e) The Stewards may order any purse, award or prize for any race withheld from distribution pending the determination of any protest. In the event any purse, award or prize has been distributed to an owner or for a horse which by reason of a protest or other reason is disqualified or determined to be not entitled to this purse, award or prize, the Stewards or the Commission may order this purse, award or prize returned and redistributed to the rightful owner or horse. Any person who fails to comply with an order to return any purse, award or prize erroneously distributed shall be subject to fines and suspension.
CLAIMING RACES § 305.401. General provisions.
(a) A person entering a horse in a claiming race warrants that the title to said horse is free and clear of any existing claim or lien, either as security interest mortgage, bill of sale, or lien of any kind; unless before entering the horse, the written consent of the holder of the claim or lien has been filed with the Stewards and the racing secretary and its entry approved by the Stewards. A transfer of ownership arising from a recognized claiming race will terminate any existing prior lease for that horse.
(b) Title to a claimed horse shall be vested in the successful claimant at the time the horse becomes a starter. However, the successful claimant may request on the claim blank or envelope at the time of the claim that the horse be tested for any test as approved by the Commission Veterinarian. Should this test prove positive, it shall be cause for voiding the claim. The expense of the test shall be the responsibility of the successful claimant.
(c) An in-foal filly or mare shall be eligible to be entered into a claiming race upon notice to the racing secretary, the Stewards and the Commission Veterinarian.
(d) The Stewards may set aside and order a claim rescinded for any horse from a claiming race run in this Commonwealth upon a showing that any party to the claim committed a prohibited action, as set forth in § 305.405 (relating to transfer of possession of a claimed horse) of this chapter, or that the owner of the horse at the time of entry in the claiming race failed to comply with any requirement of these rules. Should the Stewards set aside the claim, they may make a further order for the costs of maintenance and care of the horse as they may deem appropriate for the health and safety of the horse.
§ 305.402. Claiming of horses.
(a) Any horse starting in a claiming race is subject to be claimed for its entered price by any:
(1) Licensed owner;
(2) Licensed authorized agent acting on behalf of an eligible claimant.
(b) Every horse claimed shall race for the account of the original owner, but title to the horse shall be transferred to the claimant at the time the horse becomes a starter as determined by the Stewards. The successful claimant shall become the owner of the horse under the provisions of this chapter.
§ 305.403. Procedure for claiming.
(a) To make a valid claim for a horse, an eligible person shall:
(1) Have on deposit with the horsemen's bookkeeper an amount equal to the amount of the claim. Money may not accompany the claim;
(2) Complete a written claim on a form furnished by the licensed racing entity and approved by the Commission;
(3) Identify the horse to be claimed by the spelling of its name on the certificate of registration or as spelled on the official program;
(4) Place the completed claim form inside an envelope furnished by the licensed racing entity and approved by the Commission;
(5) Both forms and envelopes must be filled out completely and must be substantially accurate or the claim may be voided. The Stewards shall, in their sole discretion, determine what is substantially accurate;
(6) Have the envelope deposited in the claim box no later than 10 minutes prior to post time of the race for which the claim is entered.
(b) After a claim has been completely deposited in the claim box, it is irrevocable by the claimant and shall not be withdrawn from the claim box until the time designated by the Stewards.
(c) Officials and employees of the licensed racing entity shall not provide any information as to the filing of claims until after the race has been run, except as is necessary for processing of the claim.
(d) If more than one claim is filed on a horse, the successful claim shall be determined by lot conducted by the Stewards or their representatives.
(e) Notwithstanding any designation of sex or age appearing in the racing program or in any racing publication, the claimant of a horse shall be solely responsible for the determination of the sex or age of any horse claimed.
§ 305.404. Prohibitions.
(a) A person shall not claim a horse, directly or indirectly, in which the person has a financial or beneficial interest as an owner or trainer.
(b) A person shall not cause another person to claim a horse for purposes of obtaining or retaining an undisclosed financial or beneficial interest in the horse.
(c) A person may not offer or enter into an agreement for purposes of preventing another person from obtaining a horse in a claiming race.
(d) A person shall not claim a horse or enter into any agreement to have a horse claimed, on behalf of an ineligible or undisclosed person.
(e) A person shall not claim more than one horse in a race. No authorized agent shall submit more than one claim for the same horse in a race, even if the authorized agent represents several owners.
(f) A person may not claim from his spouse a horse owned wholly or in part by that spouse.
§ 305.405. Transfer of possession of a claimed horse.
(a) Upon successful claim, the Stewards or their representative shall issue an authorization of transfer of possession of the horse from the original owner to the successful claimant. Copies of the transfer authorization shall be forwarded to and maintained by the Stewards and the racing secretary. Upon notification by the Stewards, the horsemen's bookkeeper shall immediately debit the claimant's account for the claiming price.
(b) A person shall not refuse to deliver a properly claimed horse to the successful claimant as determined by the provisions of this chapter.
(c) Delivery of a claimed horse shall take place in accordance with § 305.407 (relating to subsequent start of a claimed horse).
(d) When a horse is claimed out of a claiming race, the horse's engagements are transferred, with the horse, to the claimant.
(e) A claimed horse shall not remain in the same stable or under the control or management of its former owner.
(f) If the claimed horse has been approved by the Stewards to run without the registration certificate on file in the racing office, then the registration certificate must be provided to the Stewards for transfer to the new owner before claiming funds will be approved for transfer by the Stewards.
§ 305.406. Delivery of claimed horse.
(a) In the event a horse dies during a claiming race or is euthanized on the racetrack during a claiming race, any claim made on that horse will be declared void.
(b) In the event that a horse is vanned off the racetrack after a claiming race, that horse will be taken to the detention barn for no longer than 1 hour from post-time of the race. The successful claimant for the horse may declare the claim void at the claimant's election within 1 hour of post-time of the race, except that the claim may not be declared void if the horse was vanned off the track due solely to heat stroke or bleeding from the nostrils, as determined by the Commission Veterinarian. In the event the successful claimant exercises the claimant's discretion to declare the claim void, the horse will be returned to the custody of the original owner who entered the horse in the claiming race.
(c) If a horse is placed on the Veterinarian's List within 1 hour of post-time of the race after having been taken to the test barn under its own power or otherwise without assistance for evaluation by the Commission Veterinarian, the successful claimant may declare the claim null and void at his or her election. Except that, the claim may not be declared null and void if the horse is placed on the Veterinarian's List due solely to heat stroke or bleeding from the nostrils, as determined by the Commission Veterinarian. In the event the successful claimant exercises his/her discretion to declare the claim void, the horse will be returned to the custody of the original owner who entered the horse in the claiming race.
§ 305.407. Subsequent start of a claimed horse.
For a period of 20 days after the claim, a claimed horse may not start in a race in which the determining eligibility price is less than 25% more than the price at which it was claimed. The day claimed does not count, but the following calendar day shall be the first day and the horse shall be entitled to enter whenever necessary so that the horse may start on the 21st calendar day following the claim for any claiming price. This section does not apply to starter allowance or starter handicaps.
§ 305.408. Subsequent sale and transfer of claimed horse.
When a horse is claimed, it may not be sold or transferred to anyone wholly or in part, except in a claiming race, for a period of 30 days from date of claim, nor may it, unless reclaimed, remain in the same stable or under the control or management of its former owner or trainer for a like period, nor may it race elsewhere until the end of the race season in progress or for a period of 60 days, whichever occurs first. The Commission may waive this section upon application and demonstration by the requestor that the waiver is in the best interest of the requestor, the licensed racing entity, and horse racing in general in this Commonwealth.
§ 305.409. Posting of claiming price.
The claiming price of each horse in a claiming race shall be printed on the program and claims for the horse shall be the amount so designated.
§ 305.410. Starting in claiming races.
In claiming races not more than two horses in the same interest or under control of the same trainer can start.
§ 305.411. Foal certificate.
The foal certificate of a claimed horse shall remain in the custody of the racing secretary or his representative until the new owner removes the horse from the track.
§ 305.412. Cancellation of claiming race results.
If the Stewards, within 24 hours after the running of a race, believe that the lease, sale or entry of a horse was not made in good faith but was made for the purpose of obtaining the privilege of entering a claim, they may disallow the claim and order the return of a horse that may have been delivered and refer the case to the Commission for further action.
CHAPTER 307. PENNSYLVANIA BREEDERS' FUND PROGRAM—TEMPORARY REGULATIONS Sec.
307.1. Definitions. 307.2. Eligibility for Pennsylvania-bred races. 307.3. Records of registration. 307.4. Appeals. 307.5. Purses and awards. 307.6. Pennsylvania Horse Breeders Association. § 307.1. Definitions.
The following words and terms, when used in this part, have the following meanings, unless the context clearly indicates otherwise:
Breeder—The owner of the dam at the time of foaling, and indicated this on the certificate of registration issued by the Jockey Club.
Fund—The Pennsylvania Breeding Fund as created by section 9336 of the act (relating to Pennsylvania Breeding Fund).
The Jockey Club—The breed registry organization for all thoroughbred horses in North America, having responsibility for maintaining the American Stud Book, which includes all thoroughbreds foaled in the United States, Canada and Puerto Rico, as well as thoroughbreds imported into those countries from other countries that maintain similar thoroughbred registries.
Pennsylvania-bred horse—A thoroughbred horse with respect to which all of the following apply:
(i) The horse was foaled in this Commonwealth.
(ii) The horse is the subject of a current certificate of registration issued by the Jockey Club.
(iii) The horse meets the registration eligibility qualifications for participation in the Fund program as determined by the Pennsylvania Horse Breeders Association.
(iv) The horse is registered with the Pennsylvania Horse Breeders Association in accordance with § 307.3 (relating to records of registration).
Pennsylvania sire—A thoroughbred stallion with respect to which all of the following apply:
(i) The horse regularly stands in this Commonwealth.
(ii) The horse meets the registration eligibility qualifications for participation in the Fund program as determined by the Pennsylvania Horse Breeders Association.
(iii) The horse is registered with the Pennsylvania Horse Breeders Association in accordance with § 307.3 and is so registered each year the stallion stands in Pennsylvania.
§ 307.2. Eligibility for Pennsylvania-bred races.
To be eligible for preferences in races in which registered Pennsylvania-breds are preferred and to be eligible for entry in races which are restricted by condition to registered Pennsylvania-breds, a horse shall be registered as a Pennsylvania-bred with the Pennsylvania Horse Breeders Association at the time of entry.
§ 307.3. Records of registration.
Foals and sires eligible for registration shall be registered on official registration forms approved by the Commission and maintained by the Pennsylvania Horse Breeders Association. The registrar shall certify thereon the name and address of the owner, breeder, farm where mare was covered, farm of which this horse was foaled, owner of stallion at time the mare was covered, stallion by which the mare was covered following the birth of the thoroughbred to be registered, breeder Social Security or tax identification number, Jockey Club registration number, name of foal, color and sex of foal, date of foaling, sire, dam, sire of the dam, signature of the owner, or breeder or authorized representative and the date of application.
(1) The registration record shall be maintained at the headquarters of the Pennsylvania Horse Breeders Association and be open to public inspection during normal business days and hours.
(2) Immediately upon completion and filing of the form, the Pennsylvania Horse Breeders Association shall cause a correct copy of it to be filed with the offices of the Commission in Harrisburg.
§ 307.4. Appeals.
(a) A person having an interest in the matter shall have the right to file objections or exceptions to a registration and to the facts set forth therein within 30 days of the filing of the copy with the Commission. The objections or exceptions shall be delivered in writing to the Pennsylvania Horse Breeders Association (PHBA) and a duplicate copy delivered to the Commission within the 30-day time period. The PHBA shall rule upon the objections or exceptions within the 10 days of the delivery and receipt. An interested party aggrieved by an action taken by the PHBA may appeal to the Commission in the manner and within the time period prescribed for appeals in Chapter 179 (relating to Rules of Administrative Practice and Procedure—temporary regulations) of the Commission. The Commission may hear and determine an appeal de novo in accordance with its regular hearing procedures or the parties may seek an expedited documentary hearing in accordance with Chapter 179 Subchapter C (relating to Commission hearings) of the Commission regulations. The parties may appeal the Commission's final determination to the Commonwealth Court within 30 days of receipt of the written adjudication. In the absence of a timely appeal to the Commonwealth Court, a registration shall be deemed final and binding and an official record of the Commission for all purposes under the act. Except that, the Commission may, in its discretion, correct an error or inaccuracy that it may find within the records.
(b) The Commission is not an aggrieved party as contemplated by 2 Pa.C.S. § 702 (relating to Administrative Agency Law) and shall be deemed a disinterested party in the registration matter subsequently appealed, by either party, to the Commonwealth Court. In accordance with Pa.R.A.P. 1513(a), as a disinterested party, the Commission shall not be named on the caption or listed as the Respondent on Appellant's Petition for Review.
§ 307.5. Purses and awards.
(a) A prize awarded under this section shall be in accordance with the standards for purses at each racing meet as approved by order of the Commission. Each prize shall be advanced to the Horsemen's Bookkeeper Account as won or earned at each meet by the racing association conducting the meet. The racing association shall maintain a separate ledger of them and shall transmit a certified copy of allowances, prizes and purses made no later than every 10th day of each month of the meets to the Commission. After the Commission has reviewed and approved them, it shall reimburse the racing association for the advances made which the Commission finds proper.
(b) The Pennsylvania Horse Breeders Association shall compile awards earned by breeders, owners of Pennsylvania sires and owners of Pennsylvania-bred horses and maintain a separate ledger of them. Monthly, a certified report of awards earned shall be forwarded to the Commission. After the Commission has reviewed and approved them it will be forwarded to the Department of Treasury for payment to the awardees. In accordance with section 9336(b.1) of the act (relating to Pennsylvania Breeding Fund), awards shall be distributed as follows:
(1) An award of 40% of the purse earned by every registered Pennsylvania-bred thoroughbred race horse sired by a registered Pennsylvania sire at the time of conception of the registered Pennsylvania-bred thoroughbred race horse which finishes first, second or third in any race conducted by a licensed racing entity under this chapter shall be paid to the breeder of the registered Pennsylvania-bred thoroughbred race horse.
(2) An award of 20% of the purse earned by every registered Pennsylvania-bred thoroughbred race horse sired by a nonregistered sire, which finishes first, second or third in any race conducted by a licensed racing entity under this chapter shall be paid to the breeder of the registered Pennsylvania-bred thoroughbred race horse.
(3) A single award under paragraphs (1) and (2) may not exceed 1% of the total annual fund money.
(4) An award of 10% of the purse earned by any registered Pennsylvania-bred thoroughbred race horse which finishes first, second or third in any race conducted by a licensed racing entity under this chapter shall be paid to the owner of the registered Pennsylvania sire which regularly stood in Pennsylvania at the time of conception of the Pennsylvania-bred thoroughbred race horse. A single award under this paragraph may not exceed 0.5% of the total annual fund money.
(c) A person interested in the awards, allowances, prizes and purses and objecting to calculations or determinations thereof as shown on the records of the racing association, the Pennsylvania Horse Breeders Association and the horsemen's bookkeeper, shall be responsible for taking written appeals to the Commission in the manner provided for appeals from decisions of the association pertaining to registrations.
(d) The Commission will have the right to review and approve fees and charges imposed by the Pennsylvania Horse Breeders Association for a program. The charge or fee may not be imposed without prior approval by the Commission.
(e) Records, funds and accounts of funds, prizes, purses, allowances and awards under this program shall be maintained separate from other records, funds and accounts and may not become mingled with other matters. The records, funds and accounts shall be kept continuously open for inspection by the Commission.
§ 307.6. Pennsylvania Horse Breeders Association.
(a) The Commission shall contract with the Pennsylvania Horse Breeders Association as the organization responsible for the registration and records of Pennsyl- vania-bred Thoroughbred race horses. The Pennsylvania Horse Breeders Association shall advise the Commission when called upon and shall determine the qualifications for Pennsylvania-bred Thoroughbred race horses and Pennsylvania sires.
(b) At the close of each calendar year, the Pennsylvania Horse Breeders Association shall submit to the Commission for its approval an itemized budget of projected expenses for the ensuing year relating to the administration and development of the Pennsylvania Breeding Fund Program. The Commission, on no more than a quarterly basis, shall reimburse from the fund the Pennsylvania Horse Breeders Association for those expenses actually incurred in the administration and development of the Pennsylvania Breeding Fund Program.
Subpart F. FOREIGN SUBSTANCES, MEDICATIONS, DRUGS AND EQUINE VETERINARY PRACTICES Chap.
401. PROHIBITED AND UNLAWFUL PRACTICES—TEMPORARY REGULATIONS 403. EQUINE VETERINARY PRACTICES—TEMPORARY REGULATIONS 405. OUT-OF-COMPETITION TESTING PROGRAM—TEMPORARY REGULATIONS 407. PHYSICAL INSPECTION OF HORSES—TEMPORARY REGULATIONS
CHAPTER 401. PROHIBITED AND UNLAWFUL PRACTICES—TEMPORARY REGULATIONS Sec.
401.1. Definitions. 401.2. General provisions. 401.3. Restrictions; prima facie evidence. 401.4. Substances of therapeutic value. 401.5. Tubing, dosing or jugging prohibited. 401.6. Possession of illegal, prohibited substances and devices.
PRE-RACE TESTING
401.11. Pre-race blood gas testing—Standardbred. 401.12. Initial testing procedures. 401.13. Retesting procedures. 401.14. Base excess prohibited levels. 401.15. Alternate TCO2 protocol and levels. 401.16. Base excess penalties. 401.17. Total carbon dioxide testing for stakes races—Thoroughbred.
POST-RACE TESTING
401.21. Refusal to submit to test. 401.22. Test barn. 401.23. Reporting to the test barn. 401.24. Primary sample collection. 401.25. Storage of split samples. 401.26. Packaging and shipping of split samples. 401.27. Frozen samples. 401.28. Commission Testing Laboratory minimum standards. 401.29. Split sample testing laboratory minimum standards.
UNIFORM MEDICATION CLASSIFICATION AND PENALTIES
401.41. Determination of positive test results. 401.42. Uniform classification guidelines for foreign substances. 401.43. Positive test penalty categories. 401.44. Criminal or administrative licensing referrals. 401.45. Responsibility of a trainer. 401.46. Control of horse, presumption of knowledge. 401.47. Persons found guilty of administration of drugs.
MULTIPLE MEDICATION VIOLATION POINT SYSTEM
401.51. Multiple medication violation points. 401.52. Enhancement points. 401.53. Expiration of points.
OTHER PROHIBITED CONDUCT
401.61. Possession of hypodermic needles, syringes and injectable substances. 401.62. Mistreatment of horses. § 401.1. Definitions.
The following words and terms, when used in this part, have the following meanings, unless the context clearly indicates otherwise:
Administer or Administration—The introduction of a substance into the body of a horse.
Bleeder—A horse which hemorrhages from the respiratory tract during a race or within 1 hour post-race, or during exercise or within 1 hour of the exercise or as specifically set forth in the Commission's regulations.
Bleeder List—A tabulation of bleeders to be maintained by the Commission.
Commission Testing Laboratory—The officially accredited laboratory of the Commission designated as the primary laboratory for the detection, confirmation and reporting of primary sample findings.
Controlled substance—A substance included in the five classification schedules of the Controlled Substance Act of 1970 (21 U.S.C.A. §§ 801—971).
Controlled therapeutic medication—A medication approved by the Commission or the Association of Racing Commissioners International (ARCI) for which the regulatory analyte concentration in the samples may not exceed specified regulatory limits approved and published by the Commission.
Foreign substances—All prohibited substances except those which exist naturally in the untreated horse at normal physiological concentration.
Furosemide—4-chloro-N-(2-furylmethyl)-5-sulfamoylanthranilic acid. Also known as Lasix.
Horse—Either Thoroughbred or Standardbred horses registered for racing under the jurisdiction of the Commission and for the purposes of this chapter shall mean stallion, colt, gelding, ridgling, filly or mare.
Hypodermic injection—An injection into or under the skin or mucosa, including intradermal injection, sub- cutaneous injection, submucosal injection, intramuscular injection, intravenous injection, intra-arterial injection, intra-articular injection, intra-bursal injection, intraocular (intra-conjunctival) injection.
Overage—A finding certified by the Commission Testing Laboratory that a regulatory analyte from a controlled therapeutic medication is present in the sample in an amount that exceeds the regulatory limit or threshold level.
Positive test—A determination by the Standardbred or Thoroughbred Bureau Directors based upon a finding by the Commission Testing Laboratory that a regulatory analyte from a prohibited substance is present in the sample in an amount that exceeds the regulatory limit.
Practicing veterinarian—A private veterinary practitioner licensed by the Commission and authorized to practice at a licensed racetrack facility within this Commonwealth.
Prohibited substance—Any substance, other than controlled therapeutic medication, or vaccine, equine antihelminthic, antibiotic, equine feed supplement, vitamins and minerals (collectively, ''horse health and husbandry products''), for which the regulatory analyte concentration in samples may not exceed specified regulatory limits published herein.
Race day—The 24-hour period prior to the scheduled post time for the first race.
Regulatory analyte—An analyte or substance identified and, where appropriate, quantified in a specified matrix for regulatory purposes.
Regulatory limit or Threshold level—The concentration of a specified regulatory analyte that has been defined and published by the Racing Medication and Testing Consortium (RMTC) or ARCI and adopted by the Commission provided that exceeding the specified concentration is deemed either an overage or a positive test.
Security area—The area surrounding the security stall delineated by the Commission and controlled by it.
Security stall—The stall assigned by the Commission to a horse on the bleeder list, for occupancy as a prerequisite for receiving bleeder medication, sometimes called the detention stall.
Split sample laboratory—A duly accredited facility approved by the Commission to test split samples.
Test sample—A portion of a biological or bodily substance or fluid, including, but not limited to, tissue, hair, blood or urine obtained from a horse at the direction of the Commission for the purposes of determining the presence or concentration, or both, of regulatory analytes.§ 401.2. General provisions.
(a) The purpose of this chapter is to protect the integrity of horse racing, to ensure the health and welfare of the horse and to protect the interests of the betting public and racing participants through the prohibition, strict control and detection of drugs, medications, foreign substances to the untreated horse and the regulation of devices for the administration of those substances. In this context:
(1) A horse participating in a race may not carry in its body a prohibited drug, medication, chemical, substance or any other substance foreign to the untreated horse, except as otherwise provided.
(2) A person acting alone or in concert may not provide, administer, cause to be administered or allow to be administered to a horse, by any means or methods, a foreign substance, a prohibited drug, medication, chemical or other substance, including any restricted medication under this chapter during the 24-hour period prior to the scheduled post time for the race in which the horse is entered, except as otherwise provided.
(3) In addition to the Commission approved Prohibited Substances List and the provisions of Chapter 403 (relating to equine veterinary practices—temporary regulations), the term prohibited substance shall include:
(i) Drugs or medications for which no acceptable threshold concentration has been established;
(ii) Controlled therapeutic medications in excess of established threshold concentrations or administration within the restricted time period, if approved by the Commission, and set forth by the ARCI Controlled Therapeutic Medication Schedule and the Uniform Classification Guidelines of Foreign Substance;
(iii) Substances present in the horse in excess of concentrations at which the substances could occur naturally; and
(iv) Substances foreign to a horse at concentrations that may cause interference with testing procedures.
(b) No person may possess or use a drug, substance, chemical or medication on the premises of a licensed racetrack or other facility under the jurisdiction of the Commission that:
(1) A recognized analytical method has not been developed to detect and confirm the administration of the substance;
(2) Its use may endanger the health and welfare of the horse or endanger the safety of the rider or driver;
(3) Its use may adversely affect the integrity of racing;
(4) No generally-accepted use in equine care exists; or
(5) Has not been approved by the United States Food and Drug Administration (FDA) for use in the United States.
(c) Notwithstanding subsection (b), a person may have in his possession within a race track enclosure a medication or drug for that person's own use if the person produces a proper and valid prescription. If the medication, drug or chemical substance is prohibited from being dispensed by Federal or State law without a prescription, that person shall possess documentary evidence that a valid prescription for the chemical substance has been issued to him. However, regardless of a valid prescription, a jockey, driver or trainer may not use or be under the influence of a medication, drug or other chemical substance while actively engaged in their respective activities. The possession of a medical marijuana card by a licensee shall not be a defense to the charge of violating the rules of racing for possession of a controlled substance for jockeys, drivers and trainers engaged in their respective occupational duties.
§ 401.3. Restrictions; prima facie evidence.
(a) General Rule. A horse participating in a race may not carry in its body a prohibited drug, medication, chemical, substance or any other substance foreign to the natural horse, except as provided in § 401.4 (relating to substances of therapeutic value).
(b) The detection and confirmation by the Commission's Testing Laboratory of a prohibited drug, medication, chemical, substance or any other foreign substance in a test sample of a horse shall be prima facie evidence that the prohibited drug, medication, chemical, substance or other foreign substance was administered to the horse and carried in the body of the horse while participating in a race. This finding shall also be taken as prima facie evidence that the trainer and the trainer's agents responsible for the care, custody or control of the horse has been negligent in the handling or care of the horse.
(c) The determination by the Standardbred or Thoroughbred Bureau Directors, based upon a finding by the Commission Testing Laboratory of a foreign substance or an approved therapeutic substance above the established level in violation of this chapter, may be declared an overage or positive test and may result in the horse being disqualified from purse money or other awards, except for purposes of pari-mutuel wagering, which shall be in no way affected.
§ 401.4. Substances of therapeutic value.
(a) A foreign substance of accepted therapeutic value may be administered as prescribed by a veterinarian when test levels and guidelines for its use have been established, adopted and published by the Commission, the RMTC Schedule of Therapeutic Medications, the ARCI, the USTA, or a similar Nationally recognized organization.
(1) The administration of furosemide shall be permitted for the prophylactic treatment of a confirmed bleeder under the specific provisions set forth in §§ 403.14 and 403.15 (relating to furosemide (Lasix—Thoroughbred); and furosemide (Lasix—Standardbred)).
§ 401.5. Tubing, dosing or jugging prohibited.
The tubing, dosing or jugging of any horse for any reason within 24 hours prior to its scheduled race is prohibited unless administered for medical emergency purposes by a licensed veterinarian treating the horse. The licensed veterinarian shall comply with the reporting and treatment requirements set forth in these regulations. The horse shall immediately be scratched by the Judges or Stewards. The practice of administration of any substance by means of a naso-gastric tube or dose syringe into a horse's stomach within 24 hours prior to its scheduled race is considered a violation of these rules and subject to disciplinary action, which may include fine, suspension and revocation of license.
§ 401.6. Possession of illegal, prohibited substances and devices.
(a) The Commission, its investigative personnel, the Judges and Stewards or other Commission designee personnel shall have the right to enter buildings, stables, rooms or other places within the grounds of a licensed racetrack facility and to examine and inspect those locations and the personal property and effects of a person within these locations.
(b) A person granted a license by the Commission, by accepting his license, consents to the search and seizures of all contraband, including hypodermic syringes, hypodermic needles or other devices and drugs, stimulants or narcotics which could be, used in connection therewith, or appliances (electrical, mechanical or otherwise) other than ordinary racing equipment, of the nature that could affect the speed, performance or racing condition of a horse.
PRE-RACE TESTING § 401.11. Pre-race blood gas testing—Standardbred.
(a) General Rule—The administration or use of alkalinizing agents or similar substances that elevate a horse's Base Excess (BE) or TCO2 levels above those existing naturally in the untreated horse at normal physiological concentrations is prohibited. To assist in the detection of the prohibited substances in a horse entered to race, the Commission may conduct prerace blood sampling and pre-race testing with the use of an accepted, reliable testing instrument, including but not limited to a blood gas analyzer for measuring BE levels in blood samples.
(b) Unless otherwise permitted by these rules, no foreign substance shall be carried in the body of a horse when the horse is on the grounds of the licensed racetrack. It shall be a violation of this rule for a horse to test above the established BE levels on race day.
(c) The Board of Judges shall determine which horses will be selected for blood gas testing by random lots or by pre-determined selection based on previous elevated levels found in horses from a particular trainer or owner, probable cause or a trainer or owner's conditional license status.
(1) All horses selected to be tested shall be brought to the designated area for the prerace testing before the horse's first warm up. The order and number of horses which shall have blood drawn for prerace testing shall be randomly selected by lots by the Presiding Judge or the Judges' designee.
(2) In accordance with the Commission's regulations, it is presumed that a horse, when entered to race by an owner or trainer, shall be presented on race day in a sound and healthy condition. It is the sole responsibility of the owner, trainer or groom accompanying the horse to identify any health issues pertaining to the horse and immediately notify the Commission Veterinarian or other Commission personnel prior to the initiation of pre-race testing.
(3) Failure or refusal by a licensee to present a selected horse under his care, custody or control for blood gas analyzer testing, or who refuses in any other way, shall result in an automatic scratch of the horse from the racing program, and any other appropriate disciplinary action in the discretion of the Judges. The Commission Veterinarian shall document the name of the trainer or person who refuses to have blood drawn from the horse and shall file a report with the Commission.
(4) An owner, trainer or groom shall be permitted to observe the testing procedure but may not question, object or otherwise disrupt the testing by the blood gas technician or the Commission Veterinarian.
(d) The Commission shall adopt standard operating procedures documenting the calibration procedures for the blood gas analyzer, sampling procedures, initial testing and retesting procedures, methods used by personnel and positive test notification processes. The documentation related to these procedures shall be made a part of the Commission's chain of custody documentation and shall be admitted into evidence any subsequent hearings without need for authentication or the presence of individuals preparing those documents.
(e) The Commission Veterinarian shall provide documentation reflecting the tattoo or name of the horse from which the blood was drawn, the date and time the blood was drawn, and any other identifying information the Commission deems necessary and appropriate. The Commission Veterinarian shall be responsible to verify that the blood samples for the specific horse in question were tested in accordance with the Commission's procedures.
§ 401.12. Initial testing procedures.
In accordance with the Commission's procedures, the Commission Veterinarian shall draw a blood sample from the selected horse which shall be tested by the blood gas technician using a blood gas analyzer or similar machine. Should the initial testing indicate an elevated level of BE in the horse, a Commission representative will immediately notify the owner, trainer or groom present of the horse's elevated levels. The horse's initial high levels will be duly documented in the control sheet.
§ 401.13. Retesting procedures.
(a) The Commission Veterinarian or designee shall take the rectal temperature of the horse who had elevated Base Excess (BE) levels. The horse's temperature will be recorded on the Commission Veterinarian's control sheet. The Commission Veterinarian shall extract a second blood sample from the horse.
(b) The horse's second blood sample shall be tested three times utilizing the same procedures and blood gas analyzer machine as the horse's initial blood sample. If the horse's three retests still indicate a high BE level, it shall be considered a positive test and the following will occur:
(1) The Commission Veterinarian shall inform the owner, trainer or groom present of the positive test;
(2) The Commission's investigator shall advise the Board of Judges of the BE positive test; and
(3) The Board of Judges will scratch the horse from the race.
(c) Should any of the three retests fall below the Commission's established threshold, it shall be considered negative and the horse shall be permitted to race.
§ 401.14. Base excess prohibited levels.
The prohibited Base Excess (BE) concentrations are as follows: BE level of 10.0 mmol/l (mEq/l) or higher for nonfurosemide (Lasix) treated horses and BE level of 12.0 mmol/l (mEq/l) or higher for furosemide (Lasix) treated horses. The level of uncertainty will be included before it is considered a violation of these rules. The level of uncertainty is 0.4 mmol/l (mEq/l) and a positive test report must include this level of uncertainty. A horse must show a BE level of 10.4 mmol/l (mEq/l) or higher for a nonfurosemide (Lasix) treated horse and a BE level of 12.4 mmol/l (mEq/l) or higher for a furosemide (Lasix) treated horse in order for a violation to be reported under this rule.
§ 401.15. Alternate TCO2 protocol and levels.
(a) The Commission may establish an alternate protocol to determine the levels of total carbon dioxide (TCO2) in a horse using the same methods and procedures as the Base Excess testing, except that the horse's second blood sample may be obtained, sealed and secured and stored in the same manner as post-racing samples. The second blood sample taken from a horse with a positive Base Excess may be forwarded to the Commission Testing Laboratory and subjected to post-race testing in accordance with the Commission's regulations.
(b) Standardbred TCO2 levels: A blood serum or plasma TCO2 level shall not exceed 37.0 millimoles per liter in a nonfurosemide (non-Lasix) horse and not to exceed 39 mmol/L for a furosemide (Lasix) horse.
§ 401.16. Base excess penalties.
The Commission may establish and publish a list of penalties against an owner or trainer for positives tests of the Base Excess or TCO2 levels, if applicable, as previously set forth.
§ 401.17. Total carbon dioxide testing for stakes races—Thoroughbred.
(a) For thoroughbred stakes races or other races as directed by the Commission, the Commission may establish procedures and protocols for the testing, detection and confirmation of an alkalizing substance which could alter the blood serum, plasma pH or concentration of bicarbonates or carbon dioxide in a horse. The use of any foreign substance within 24 hours prior to post time of the race in which the horse is entered is strictly prohibited.
(b) The Commission may utilize either pre-race sampling or post-race sampling and post-race testing procedures of blood samples from a horse to determine the total carbon dioxide concentration in the blood serum or plasma of the horse.
(c) Thoroughbred TCO2 levels: A blood serum or plasma TCO2 level shall not exceed 37.0 millimoles per liter in a nonfurosemide (non-Lasix) horse and not to exceed 39 mmol/L for a Furosemide (Lasix) horse.
POST-RACE TESTING § 401.21. Refusal to submit to test.
No owner, trainer or any other person having the care, custody or control of a horse, whether entered in a race or not, whether the horse participated in the race or not, may refuse to produce a horse for testing, if requested by the Judges or Stewards during the race meeting. This refusal by the horse's owner, trainer or other person having care, custody or control, shall be deemed a violation of these rules and subject the licensee to a penalty. The horse entered in the race shall be scratched by the Judges or Stewards.
§ 401.22. Test barn.
(a) A licensed racing entity shall provide and at all times maintain in good condition a designated test barn on the racetrack grounds which shall be considered a secured location.
(b) The test barn shall be of an appropriate size and sufficient to accommodate the safe stabling of horses temporarily detained for the taking of biologic samples and shall be structurally designed and constructed to prevent entry by unauthorized persons.
(c) The test barn shall be deemed a restricted area and under the internal supervision and control of the Commission Veterinarian. No access to individuals other than Commission personnel shall be permitted without permission of the Commission Veterinarian.
(d) Notwithstanding subsection (c), the owner, trainer or the trainer's representative, whose horse is in the test barn for sampling, may be present to witness the Commission's sampling process. Those individuals shall properly display their current Commission identification/license badge, and clearly identify the horse they are accompanying. The Commission Veterinarian or the racetrack security may properly exclude any person or licensee that does not have a legitimate reason for being in the test barn area.
(e) The absence of the owner, trainer or trainer representative shall not invalidate the procedures followed in taking the sample, nor shall the absence be the grounds for objection to Commission action based on a laboratory report resulting from the test of a sample taken in the absence of the owner, trainer or their representative.
(f) Stable equipment other than that necessary for washing or cooling out a horse shall not be permitted in the test barn. Buckets and water shall be furnished by the Commission.
§ 401.23. Reporting to the test barn.
(a) The official winning horse and any other horse which participated in the race, as determined by Judges, Stewards or the Commission shall be selected to have blood, urine or other biological samples taken in accordance with the guidelines and procedures established by the Commission.
(b) Random or for cause testing may be required by the Judges or Stewards or the Commission at any time based upon reasonable suspicion of unlawful or violative conduct.
(c) Unless otherwise directed by the Judges or Stewards or the Commission Veterinarian, a horse that is selected for testing must be taken directly to the test barn and shall remain there until released by the Commission Veterinarian.
§ 401.24. Primary sample collection.
(a) The collection of blood, urine or other biological samples shall be done in accordance with the Commission's established procedures or other National guidelines or procedures approved by the Commission. In every event, ''primary'' and ''split'' portions of a sample shall always be taken at the same time and shall be of the same substance.
(b) Any combination or sufficient quantity of blood, urine or other biological samples, as determined by the Commission Veterinarian or the Commission, may be used by the Commission testing laboratory for purposes of testing for prohibited substances under this chapter. The election by the Commission testing laboratory to use one form of biological sample shall not be a basis to challenge the detection and confirmation of a prohibited substance in the tested horse.
(c) The Commission shall approve and provide the urine containers, blood sample receptacles and all other materials, plastic bags, evidentiary security/evidence tape and equipment necessary to properly identify, seal, secure and store the samples from the selected horses.
(d) The samples taken from a horse by the Commission Veterinarian or the Commission's test barn staff shall be collected in the appropriate number of containers and shall be designated as the primary and split samples. At least two blood samples for each horse shall be collected in sample receptacles approved by the Commission. These samples shall be sealed with tamper-proof tape and bear the specific identification tracking number associated with that horse and its samples.
(e) The Commission Veterinarian and testing barn staff shall create and properly maintain records of the sampling, evidentiary sealing and storing of the primary and split samples which shall be made a part of the Commission's chain of custody documentation for administrative hearing purposes.
(f) Once collected, sealed and documented, all primary samples shall be placed into locked refrigerators designated for storage of biological samples under the supervision of the Commission Veterinarian or the Commission's designee, to be safeguarded until the primary samples are packaged and shipped to the Commission testing laboratory for chemical analysis.
(g) At all times during the sampling, testing and administrative process, the Commission shall be considered the owner of the primary sample.
§ 401.25. Storage of split samples.
(a) In accordance with § 401.24 (relating to primary sample collection) the blood, urine or other biological samples previously taken and designated as split samples shall be stored and maintained in a locked freezer in the test barn until an owner or trainer requests that the split samples be tested in accordance with the Commission's procedures.
(b) The freezer for storage of split samples shall be opened only for depositing or removing split samples, review of inventory or for checking the condition of the split samples. A log shall be maintained by the Commission Veterinarian or the Commission investigators and an entry shall be made each time the split sample freezer is opened to indicate the following:
(1) Persons in attendance;
(2) The purpose for opening the freezer;
(3) Identification of split samples deposited or removed;
(4) The date and time the freezer was opened or when was closed;
(5) Verification that the lock was secured prior to and after opening of the freezer; and
(6) Evidence of a malfunction, if any, of the split sample freezer.
(c) At all times, the Commission shall be considered the owner of the split sample.
(d) If the results of the split sample testing do not substantially confirm the findings by the Commission testing laboratory of the primary sample, the Commission will not consider the sample to constitute a prima facie violation of this chapter and no penalty will be imposed.
(e) If the Standardbred or Thoroughbred Bureau Directors declare a positive test based upon the reported findings of the Commission testing laboratory, it shall be considered to be a prima facie violation of the applicable provisions of this chapter and written and dated notification of the positive test shall be made to the trainer of record for the tested horse. The trainer shall be solely responsible to notify the owner of the horse of the positive test.
(f) Within 48 hours after receiving written notification of the positive test, the owner or trainer of the horse in question may request that the split sample be tested. The Commission may provide a form for a request which must be signed and dated by the owner or trainer. Failure by either the owner or trainer to make a timely request within 48 hours of notice of the positive shall constitute a waiver of the right to have the split sample tested. The findings of the primary sample by the Commission testing laboratory shall be deemed conclusive at any subsequent hearing.
(g) Upon application by the trainer or owner of the horse in question, the split portion of the sample taken shall be tested by a duly accredited laboratory designated and approved by the Commission under the minimum standards set forth in § 401.29 (relating to split sample testing laboratory minimum standards).
(h) If the Commission is unable to secure the services of a specific laboratory with the proper accreditation or testing methods to test the split portion of a sample, the Commission will have the option of having the split sample retested at the laboratory which tested the original sample. The owner and trainer affected will be notified by the Commission.
(i) If an act of God, power failure, accident, strike or other action prevents a retest from being made which is beyond the control of the Commission, the results of the primary official test shall be accepted as prima facie evidence.
§ 401.26. Packaging and shipping of split samples.
(a) The Commission or its investigative staff shall be responsible for the packaging and shipping of the split sample and shall coordinate the time and location for the packaging of the split sample at the test barn with the owner, trainer or representative. The owner or trainer requesting testing of a split sample shall be responsible for the cost of the testing, including the cost of shipping.
(b) Failure of the owner, trainer or a designee to appear at the time and place designated by the Commission representative in connection with packaging and shipping the split sample shall constitute a waiver of any right to challenge Commission's procedures.
(c) Prior to opening the split sample freezer or refrigerator, the Commission's representative shall provide the split sample verification form or split sample packaging form or any other similar form approved by the Commission. The forms shall be completed fully during the retrieval, packaging and shipment of the split sample and shall contain the following information:
(1) The date and time the sample is removed from the split sample freezer;
(2) The sample number;
(3) The address where the split sample is to be sent; and,
(4) A check from the owner or trainer made payable to the split sample laboratory with the appropriate testing fee.
(d) The Commission representative shall remove the split sample from the freezer and shall package it in accordance with the packaging procedures directed by the Commission. All necessary Commission chain of custody forms shall be signed by the owner, trainer or other representative, if present, and the Commission representative to confirm the proper packaging of the split sample for shipment. The exterior of the package shall be secured and sealed to prevent tampering with the package.
(e) The owner, trainer or representative, if present, may inspect the package containing the split sample immediately prior to transfer to the delivery carrier to verify that the package is intact and has not been tampered with.
(f) Prior to shipment of the split sample, the Commission's representative shall confirm:
(1) That the split sample laboratory has agreed to provide the testing requested;
(2) That the split sample laboratory has agreed to send results to the Commission; and
(3) That arrangements for payment satisfactory to the split sample laboratory have been made.
§ 401.27. Frozen samples.
(a) The Commission from time to time may direct the Commission Testing Laboratory to retain and preserve by freezing samples for future analysis or research purposes.
(b) After 1 year from the date of sampling, the Commission may grant permission, at the request of the Commission Testing Laboratory, to properly dispose of primary samples which were determined to contain no prohibited substances or in the case of samples which were determined as positive, after all administrative appeals have been exhausted.
(c) The distribution of purse money prior to the issuance of a final laboratory report shall not be considered a finding that no prohibited drug, medication, substance or metabolic derivative has been administered to a horse.
§ 401.28. Commission Testing Laboratory minimum standards.
(a) The purpose of the Commission Testing Laboratory is to analyze biologic samples for the presence in race horses of any drugs, medications, foreign substances or other substances including permitted medications in excess of the maximum allowable levels and to reports those findings to the Standardbred and Thoroughbred Horse Racing Bureau Directors.
(b) The Commission Testing Laboratory shall at all times continue to meet and maintain the minimum competency standards as set forth by National and International accrediting bodies such as the American Association of Laboratory Accreditation (A2LA) and the RMTC or other similar accrediting bodies under the globally recognized ISO/IEC 17025 General Requirements for the Competence of Testing and Calibration Laboratories.
§ 401.29. Split sample testing laboratory minimum standards.
(a) The designated split sample testing laboratory (Split Lab) conducting split post-race sample analysis must, at a minimum, demonstrate technical competence in the field of chemical testing and laboratory quality management be meeting similar accreditation standards and testing standards as the Commission Testing Laboratory.
(b) The Commission shall provide a list of approved split sample laboratories for use.
UNIFORM MEDICATION CLASSIFICATION AND PENALTIES § 401.41. Determination of positive test results.
(a) If the Standardbred or Thoroughbred Bureau Directors declare a positive test based upon the reported findings of the Commission testing laboratory, and if applicable, the confirmation by the split sample laboratory, it shall be considered a possible violation of the provisions of this chapter. The Bureau Directors shall authorize and direct Commission investigators to immediately conduct an investigation of the matters relating to the positive finding. Medication and drug violations shall be investigated and reviewed on a case by case basis.
(b) The results of biological sample testing and analysis prepared by the Commission Testing Laboratory shall be deemed prima facie correct and all steps undertaken in the collection, preservation, handling and testing thereof shall be presumed correct in the absence of affirmative proof to the contrary.
(c) The Board of Judges or Board of Stewards shall thereafter schedule and conduct a hearing consistent with the provisions set forth in Chapter 179 (relating to Rules of Administrative Practice and Procedure—temporary regulations) of the Commission's regulations to determine whether a violation of the Commission's regulations has occurred. In addition to the penalty provisions contained in the act and the Commission's regulations, the Judges and Stewards may consider the specific drug classification level of the violation and the appropriate penalty categories as set forth in the Uniform Classification Guidelines of Foreign Substances established by the ARCI and set forth in §§ 401.42 and 401.43 (relating to uniform classification guidelines for foreign substances; and positive test penalty categories).
(d) Prior to issuing the medication violation ruling, the Judges and Stewards, may also consult with the Commission Veterinarian to determine if the violation was a result of the administration of a therapeutic medication as documented in a veterinarian's Medication Report Form (treatment sheets) received under § 403.4 (relating to treatments sheets or veterinarian medication report forms) and may also consult with the Commission's Testing Laboratory director to determine the seriousness of the laboratory finding or the medication violation penalties.
(e) For purposes of determining mitigating or aggravating circumstances, the Judges and Stewards may consider the following factors:
(1) The past record of the trainer, veterinarian and owner in drug cases;
(2) The potential of the drugs to influence a horse's racing performance;
(3) The legal availability of the drug;
(4) Whether there is reason to believe the responsible party knew of the administration of the drug or intentionally administered the drug;
(5) The steps taken by the trainer to safeguard the horse;
(6) The probability of environmental contamination or inadvertent exposure due to human drug use;
(7) The purse of the race;
(8) Whether the drug found was one for which the horse was receiving a treatment as determined by the Medication Report Form;
(9) Whether there was any suspicious betting pattern in the race; and
(10) Whether the licensed trainer was acting on the advice of a licensed veterinarian.
(f) As a result of the investigation, the Judges or Stewards may determine that mitigating circumstances exist for which a lesser or no penalty is appropriate for the licensee or that aggravating factors exist, which may increase the penalty beyond the minimum.
(g) Whenever there is a positive result of a post-race test the purse may be redistributed.
§ 401.42. Uniform classification guidelines for foreign substances.
The Commission adopts the following outline which describes the types of medications, drugs and substances placed in each classification. This list shall be publicly posted on the Commission's web site, in the offices of the Commission Veterinarian and in the office of the racing secretary.
(1) Class 1:
Opiates, opium derivatives, synthetic opioids, psychoactive drugs, amphetamines, all United States Drug Enforcement Agency Schedule I drugs and many Schedule II drugs. Also found in this class are drugs that are potent stimulants of the central nervous system. Drugs in this class have no generally accepted medical use in the racing horse and their pharmacologic potential for altering the performance of a racing horse is very high.
(2) Class 2:
Drugs placed in this classification have a high potential for affecting the outcome of a race. Most are not generally accepted as therapeutic agents in the racing horse. Many are products intended to alter consciousness or the psychic state of humans and have no approved or indicated use in the horse. Some, such as injectable local anesthetics, have legitimate use in equine medicine, but should not be found in a racing horse. The following groups of drugs placed are in this class:
(i) Opiate partial agonists or agonist-antagonists;
(ii) Non-opiate psychotropic drugs. These drugs may have stimulant, depressant, analgesic or neuroleptic effects;
(iii) Miscellaneous drugs which might have a stimulant effect on the central nervous system (CNS);
(iv) Drugs with prominent CNS depressant action;
(v) Antidepressant and antipsychotic drugs, with or without prominent CNS stimulatory or depressant effects;
(vi) Muscle blocking drugs that have a direct neuromuscular blocking action;
(vii) Local anesthetics that have a reasonable potential for use as nerve blocking agents (except procaine); and
(viii) Snake venoms and other biologic substances, which may be used as nerve blocking agents.
(3) Class 3:
Drugs placed in this classification may or may not have an accepted therapeutic use in the horse. Many are drugs that affect the cardiovascular, pulmonary and autonomic nervous systems. They all have the potential of affecting the performance of a racing horse. The following groups of drugs are placed in this class:
(i) Drugs affecting the autonomic nervous system that do not have prominent CNS effects, but which do have prominent cardiovascular or respiratory system effects. Bronchodilators are included in this class;
(ii) A local anesthetic that has nerve blocking potential but also has a high potential for producing urine residue levels from a method of use not related to the anesthetic effect of the drug (procaine);
(iii) Miscellaneous drugs with mild sedative action, such as the sleep-inducing antihistamines;
(iv) Primary vasodilating/hypotensive agents;
(v) Potent diuretics affecting renal function and body fluid composition; and
(vi) Anabolic and/or androgenic steroids and other drugs.
(4) Class 4:
Drugs in this classification comprise primarily therapeutic medications routinely used in racing horses. These may influence performance, but generally have a more limited ability to do so. Groups of drugs assigned to this category include the following:
(i) Non-opiate drugs that have a mild central analgesic effect;
(ii) Drugs affecting the autonomic nervous system that do not have prominent CNS, cardiovascular or respiratory effects:
(A) Drugs used solely as topical vasoconstrictors or decongestants;
(B) Drugs used as gastrointestinal antispasmodics;
(C) Drugs used to void the urinary bladder;
(D) Drugs with a major effect on CNS vasculature or smooth muscle of visceral organs;
(E) Antihistamines which do not have a significant CNS depressant effect (This does not include H1 blocking agents, which are listed in Class 5);
(iii) Antihistamines that do not have a significant CNS depressant effect. (This does not include H2 blocking agents, which are in Class 5).
(iv) Mineralocorticoid drugs;
(v) Skeletal muscle relaxants;
(vi) Anti-inflammatory drugs. These drugs may reduce pain as a consequence of their anti-inflammatory action.
(A) Non-Steroidal Anti-Inflammatory Drugs (NSAIDs);
(B) Corticosteroids (glucocorticoids); and
(C) Miscellaneous anti-inflammatory agents.
(vii) Less potent diuretics;
(viii) Cardiac glycosides and antiarrhythmic agents.
(A) Cardiac glycosides;
(B) Antiarrhythmic agents (exclusive of lidocaine, bretylium and propranolol); and
(C) Miscellaneous cardiotonic drugs.
(ix) Topical Anesthetics—agents not available in injectable formulations;
(x) Antidiarrheal drugs;
(xi) Miscellaneous drugs.
(A) Expectorants with little or no other pharmacologic action;
(B) Stomachics; and
(C) Mucolytic agents.
(5) Class 5:
Drugs in this classification are therapeutic medications for which concentration limits have been established by the racing jurisdictions as well as certain miscellaneous agents. Included specifically are agents that have very localized actions only, such as anti-ulcer drugs and certain antiallergenic drugs. The anticoagulant drugs are also included.
§ 401.43. Positive test penalty categories.
(a) To maintain consistency of drug medication penalties with surrounding racing jurisdictions, in accordance with section 9312(6) of the act (relating to additional powers of commission), the Commission shall adopt and publish in the Pennsylvania Bulletin the most recent version of the ''Penalty Categories'' set forth in the Uniform Classification Guidelines of Foreign Substances as established by ARCI. The penalty categories ''A'', ''B'', ''C'' and ''D'' and their related schedules for trainers and owners shall also contain provisions for the number of offenses committed which shall determine the level of penalty assessed.
(b) The Commission, Bureau Directors, Judges or the Stewards may use the penalty ''categories'' and medication guidelines schedule as a starting place in the penalty stage of the deliberations for a violation of the Commission's medication and foreign substance rules.
(c) In issuing penalties against individuals found guilty of medication and drug violations, a regulatory distinction may be made between the detection of therapeutic medications used routinely to treat racehorses and those drugs that have no reason to be found at any concentration in the test sample on race day.
(d) If a licensed veterinarian is administering or prescribing a drug not listed in the ARCI Uniform Classification Guidelines for Foreign Substances, the identity of the drug shall be forwarded to the Commission Testing Laboratory for classification.
(e) A drug or metabolite thereof found to be present in a pre-race or post-race sample which is not classified in the most current ARCI Uniform Classification Guidelines for Foreign Substances shall be deemed Class 1 drug and the trainer and/or owner shall be subject to those penalties as set forth in schedule ''A.''
(f) The recommended penalty for a violation involving a drug that carries a Category ''D'' penalty is a written warning to the trainer and owner. Multiple violations may result in fines or suspensions, or both.
(g) A licensee of the Commission, including practicing veterinarians, found to be responsible for the improper or intentional administration of any drug resulting in a positive test may, after proper notice and hearing, be subject to the same penalties set forth for the licensed trainer.
§ 401.44. Criminal or administrative licensing referrals.
(a) In addition to any penalties issued by the Judges, Stewards or the Commission, a veterinarian found to be involved in the administration of any drug carrying the penalty category of ''A'' shall be referred to the State Board of Veterinary Medicine for consideration of further disciplinary action or license revocation.
(b) In accordance with the provisions of the act, a person believed to have committed acts in violation of Pennsylvania criminal statutes may be referred to the appropriate law enforcement agency. Administrative action taken by the Judges, Stewards or the Commission shall not prohibit a prosecution for criminal acts committed, nor shall a criminal prosecution preclude the administrative action by the Judges, Stewards or the Commission.
(c) Procedures shall be established to ensure that a licensed trainer is not able to benefit financially during the period for which the individual has been suspended. This shall include ensuring that horses are not transferred to licensed family members or employees of the suspended person.
§ 401.45. Responsibility of a trainer.
As fully set forth in Chapters 205 and 305 (relating to rules of Standardbred racing—temporary regulations; and rules of Thoroughbred racing—temporary regulations), a trainer shall be responsible for the condition of the horses in the care, custody or control of the trainer regardless of the trainer's physical location.
§ 401.46. Control of horse, presumption of knowledge.
Whenever the chemical analysis test described in this chapter discloses the presence of a drug, stimulant, depressant or foreign substance or therapeutic medications above the established levels, it shall be presumed that the same was administered by the person having the care, custody or control of the horse and that the administering was done with the intent to affect the speed or condition of the horse and the result of the race in which it participated.
§ 401.47. Persons found guilty of administration of drugs.
A person found guilty by the Commission of participation in or knowledge of that a narcotic, stimulant or similar illegal drug has been administered to a horse shall be summarily ruled off from all tracks in this Commonwealth and upon notice and hearing, the occupational license may be revoked.
MULTIPLE MEDICATION VIOLATION
POINT SYSTEM§ 401.51. Multiple medication violation points.
(a) A trainer, who receives a penalty for a medication violation based upon a horse testing positive for a Class 1—5 medication with a Category A—C penalty, as provided in the most recent version of the ARCI Uniform Classification Guidelines for Foreign Substances, or similar state regulatory guidelines, shall be assigned additional multiple medication violation (MMV) enhanced points as follows:
Penalty Class Points If Controlled
Therapeutic SubstancePoints If Non-Controlled
SubstanceClass A N/A 6 Class B 2 4 Class C 1/2 for first violation with an additional 1/2 point for each additional violation within 365 days1 1 for first violation with an additional 1/2 point for each additional violation within 365 days Class D 0 0 1 Points for NSAID violations only apply when the primary threshold of the NSAID is exceeded. Points are not to be separately assigned for a stacking violation.
(1) If the Standardbred or Thoroughbred Horse Racing Bureau Directors, or Judges and Stewards determine that the violation is due to environmental contamination, they may assign lesser or no points against the trainer based upon the specific facts of the case.
(b) The points assigned to a medication violation ruling by the Judges or Stewards shall be included in the trainer's Commission licensing records and forwarded to the ARCI official database or any other similar recordkeeping entity. MMV points shall be recorded consistent with subsection (a) including when appropriate, a designation that points have been suspended for the medication violation. Points assigned by the Judges' or Stewards' rulings shall reflect, in the case of multiple positive tests as described in subsection (d), whether they constitute a single violation. The Judges' or Stewards' rulings shall be posted on the Commission's official web site and the official database of the ARCI or other record keeping entity.
(1) If an appeal is pending, that fact shall be noted in the ruling.
(2) No enhancement points shall be applied until a final adjudication of the enforcement of any violation.
(c) A trainer's cumulative points for violations in all racing jurisdictions shall be maintained by the Commission, ARCI or other recordkeeping entities. Once all appeals are waived or exhausted, the points shall immediately become part of the trainer's official Commission records, ARCI or other recordkeeping entity's records and shall be considered by the Commission in its determination to subject the trainer to the mandatory enhanced penalties by the Judges or Stewards as provided in this regulation.
(d) Multiple positive tests for the same medication incurred by a trainer prior to delivery of official notice by the Commission may be treated as a single violation. In the case of a positive test indicating multiple substances found in a single post-race sample, the Judges or Stewards may treat each substance found as an individual violation for which points will be assigned, depending upon the facts and circumstances of the case.
(e) The official database shall be used to advise the Judges, Stewards or Commission of the trainer's record of past violations and the cumulative MMV points. Nothing in this administrative regulation shall be construed to confer upon a licensed trainer the right to appeal a violation for which all remedies have been exhausted or for which the appeal time has expired as provided by applicable law.
(f) The Judges or Stewards shall consider all points for violations in all racing jurisdictions as contained in the trainer's official record when determining whether the mandatory enhancements provided in this regulation shall be imposed.
§ 401.52. Enhancement points.
(a) In addition to the penalty for the underlying offense, the following enhancements shall be imposed upon a licensed trainer based upon the cumulative points contained in his/her official ARCI record:
Points Suspension in days 5—5.5 15 to 30 6—8.5 30 to 60 9—10.5 90 to 180 11 or more 180 to 360 (b) MMV penalties are not a substitute for the current penalty system and are intended to be an additional uniform penalty when the licensee:
(i) Has had more than one medication violation for the relevant time period; and
(ii) Exceeds the permissible number of points.
(c) The Stewards and Commission shall consider aggravating and mitigating circumstances, including the trainer's prior record for medication violations, when determining the appropriate penalty for the underlying offense. The MMV point system is intended to be a separate and additional penalty for a pattern of violations.
(d) The suspension periods as provided in subsection (a) shall run consecutively to any suspension imposed by the Judges or Stewards for the underlying offense.
(e) The Judges' or Stewards' ruling shall distinguish between the penalty for the underlying offense and any enhancement penalty based upon the Judges' or Stewards' review of the trainer's cumulative points and regulatory record, which may be considered an aggravating factor in a case.
§ 401.53. Expiration of points.
(a) Points shall expire as follows:
Penalty Classification Time to Expire A 3 years B 2 years C 1 year (b) In the case of a medication violation that results in a suspension, any points assessed expire on the anniversary date of the date the suspension is completed.
OTHER PROHIBITED CONDUCT § 401.61. Possession of hypodermic needles, syringes and injectable substances.
No person, except a Commission Veterinarian, racetrack veterinarian or veterinarian licensed by the Commission, may possess or use a hypodermic needle, hypodermic syringe capable of accepting a needle and injectable substances of any kind, type or description on the licensed racetrack grounds, in that person's custody, control or possession. If a person has a medical condition which makes it necessary to have a syringe while on the grounds of a racetrack, that person must request permission of the Judges or Stewards in writing, furnish a letter form a licensed physician explaining the necessity of the syringe and must comply with any conditions or restrictions set by the Judges or Stewards. Violations of this rule will subject the violator to a fine, suspension or both.
§ 401.62. Mistreatment of horses.
A licensee or other person under the jurisdiction of the Commission may not alone or in concert with another person permit an animal under his control to be subjected to a form of cruelty, mistreatment, neglect or abuse or abandon, or to injure, maim or kill or administer a noxious or harmful substance to or deprive an animal of necessary care, sustenance, shelter or veterinary care.
CHAPTER 403. EQUINE VETERINARY PRACTICES—TEMPORARY REGULATIONS Sec.
403.1. General purpose. 403.2. Role of practicing veterinarians. 403.3. Treatment restrictions. 403.4. Treatment sheets or veterinarian medication report forms. 403.5. Prohibited substances and methods. 403.6. Blood doping substances or agents prohibited. 403.7. Extracorporeal shock wave therapy or radial pulse wave therapy. 403.8. Nasogastric tube. 403.9. Prohibited substances list. 403.10. Prohibited manipulation of blood and blood components. 403.11. Restricted therapeutic use requirements chart. 403.12. Medical labeling. 403.13. Non-steroidal anti-inflammatory drugs. 403.14. Furosemide (Lasix—Thoroughbred). 403.15. Furosemide (Lasix—Standardbred). 403.16. Environmental contaminants and substances of human use. 403.17. Androgenic-anabolic steroid (AAS). 403.18. Compounded medications on racetrack grounds. § 403.1. General purpose.
To expressly set forth the professional duties, ethical obligations and procedures to be used by licensed equine veterinarians to ensure the health, safety and welfare of racehorses and to properly safeguard the integrity of racing, the interests of the general public and the participants in racing. In addition to the licensing requirements under Chapter 185 (relating to occupational licenses—temporary regulations) and §§ 303.71—303.73 (relating to practicing veterinarians) of the Commission's regulations, practicing veterinarians shall comply with the following provisions and requirements of this chapter and with their professional duties and ethical obligations under their veterinary license.
§ 403.2. Role of practicing veterinarians.
(a) Veterinarians licensed by the Commission and practicing at any licensed racing facility under the jurisdiction of the Commission are under the authority of the Commission Veterinarian and the Board of Judges or Board of Stewards at that facility or other location.
(b) The following limitations apply to drug treatments of horses that are engaged in racing activities, including training, related to competing in pari-mutuel racing in this Commonwealth:
(1) No drug or other substance may be administered except in the context of a valid veterinarian-client-patient relationship between the attending veterinarian, the horse owner (who may be represented by the trainer or other agent) and the horse.
(2) The owner is not required by this subdivision to follow the veterinarian's instructions, but no drug may be administered without a veterinarian having examined the horse and provided the treatment recommendation. This relationship requires the following:
(i) The veterinarian, with the consent of the owner, has accepted responsibility for making medical judgments about the health of the horse;
(ii) The veterinarian has sufficient knowledge of the horse to make a preliminary diagnosis of the medical condition of the horse;
(iii) The veterinarian has performed an examination of the horse and is acquainted with the keeping and care of the horse;
(iv) The veterinarian is available to evaluate and oversee treatment outcomes, or has made appropriate arrangements for continuing care and treatment;
(v) The relationship is maintained by veterinary visits as needed;
(vi) The veterinarian's judgment is independent and not dictated by the trainer or owner of the horse; and,
(vii) The veterinarian maintains appropriate, substantial and pertinent records reflecting the treatment of the horses as previously set forth.
(c) No prescription drug or medication may be administered except as prescribed by an attending veterinarian and who shall provide copies of the prescriptions or orders to the Commission at all reasonable times.
(d) The trainer and veterinarian are both equally responsible to ensure compliance with these limitations on drug treatments of horses, except the medical judgment to recommend a drug treatment or to prescribe a drug is the responsibility of the veterinarian and the decision to proceed with a drug treatment that has been so recommended is the responsibility of the horse owner (who may be represented by the trainer or other agent).
§ 403.3. Treatment restrictions.
(a) Only licensed owners or trainers shall be permitted to authorize veterinary medical treatment of horses under the veterinarian's care, custody and control at a racetrack, licensed facility or other location under the jurisdiction of the commission.
(b) Except as otherwise provided by this subsection, no person other than a veterinarian licensed to practice veterinary medicine in this jurisdiction and licensed by the Commission may administer a prescription or controlled medication, drug, chemical or other substance (including any medication, drug, chemical or other substance by injection) to a horse at any racetrack, facility or other location under the jurisdiction of the Commission.
(c) This subsection does not apply to the administration of the following substances except in approved quantitative levels, if any, present in post-race samples or as they may interfere with post-race testing:
(1) A recognized non-injectable nutritional supplement or other substance approved by the official veterinarian;
(2) A non-injectable substance on the direction or by prescription of a licensed veterinarian; or
(3) A non-injectable non-prescription medication or substance.
(d) No person, other than a veterinarian licensed by the Commission, shall use, transport or be in the care, control, custody or constructive possession of a hypodermic needle, syringe capable of accepting a needle or injectable substances of any kind on the licensed racetrack or grounds. The discovery of a hypodermic needle, syringe or injectable substance in shared locations such as tack rooms, lockers, stalls or stables shall be sufficient grounds for imposition of penalty on all licensees who use or control the previously listed locations. At all licensed racetracks or other locations under the jurisdiction of the Commission, veterinarians may use only a one-time (one-use) disposable syringe and needle and shall properly dispose of both into an appropriate container provided by the licensed racing entity or in a manner approved by the Commission.
(1) Except that, if a person has a medical condition which makes it necessary to have a syringe at any location under the jurisdiction of the Commission, that person must furnish a letter from a licensed physician explaining the need for the person to possess a syringe and must comply with any conditions and restrictions set by the Judges or Stewards or the Commission.
(e) Practicing veterinarians shall not have contact with an entered horse within 24 hours before the scheduled post time of the race in which the horse is scheduled to compete except for the administration of furosemide under the guidelines set forth in § 403.14 (relating to Furosemide (Lasix—Thoroughbred)) unless approved by the Commission Veterinarian. Any unauthorized contact may result in the horse being scratched from the race in which it was scheduled to compete and may result in further disciplinary action by the Stewards.
§ 403.4. Treatment sheets or veterinarian medication report forms.
(a) Every veterinarian who treats a racehorse at any racetrack or other location under the jurisdiction of the Commission shall maintain an accurate and complete written log of treatment activities on a Medication Report Form or Treatment Sheet and report the treatment to the Commission office, the Stewards or Judges at the racetrack where the horse is entered to run or as otherwise specified by the Commission. The Treatment Sheet shall contain the following:
(1) The name of the horse treated;
(2) List of all medications, drugs, substances, or procedures administered or prescribed to the horse;
(3) The name of the trainer of the horse;
(4) The date and time of treatment;
(5) Indicate the route of administration on all meds and specific amounts administered; must list all oral medications left with trainers and indicate the horse's need for these oral medications;
(6) For all intra-articular injections, identify the exact location, body part, limb or joint on the horse of the injection and specific dosage amounts;
(7) Indicate whether the horse is entered to run; and
(8) Any other information that may be requested by the Commission veterinarian.
(b) The Medication Report Form or Treatment Sheet shall be signed and attested to by the practicing veterinarian under the penalties of 18 Pa.C.S. § 4904 (relating to unsworn falsification to authorities), and may subject the practicing veterinarian to other administrative penalties as set forth in subsections (c)—(e).
(c) The Medication Report Form or Treatment Sheet must be filed by the treating veterinarian with the Commission office within 24 hours after treatment. The report/treatment sheet shall be deemed confidential and its contents shall not be disclosed to others, except:
(1) To the horse's owner or trainer of record at the time of treatment;
(2) To the Commission, or its designees in the course and scope of an investigation or in an administrative proceeding before the Stewards/Judges or the Commission; or
(3) To law enforcement officials conducting a criminal investigation relating to the treatment of horses.
(d) Failure of any practicing veterinarian to adhere to the previously listed provisions or to properly and timely provide the Medication Reports or Treatment Sheets to the Commission or its designee shall subject the practicing veterinarian to all applicable penalties, including fines or suspensions, as set forth in the act and the Commission's regulations.
(e) In addition to the above administrative penalties, the Commission, in its sole discretion, may refer any violation of subsections (a)—(d) by a licensed practicing veterinarian to the State Board of Veterinary Medicine or to criminal law enforcement entities for any action they may deem necessary and appropriate.
§ 403.5. Prohibited substances and methods.
(a) The substances and methods listed in the Commission's Prohibited Substances List in § 403.9 (relating to prohibited substances list) may not be used at any place or time and may not be possessed on the premises of a licensed racetrack, licensed facility or other location under the jurisdiction of the Commission, except as a restricted therapeutic use. As the Prohibited Substances List is amended, the Commission shall publish the most recent version of the list in the Pennsylvania Bulletin and on its web site.
(b) Restricted Therapeutic Use. A limited number of medications on the Prohibited Substance List shall be exempted when the administration occurs in compliance with the Required Conditions for Restricted Therapeutic Use chart set forth in § 403.11 (relating to restricted therapeutic use requirements chart):
(1) Report When Sampled means the administration of the substance must be reported to the Commission when the horse is next sampled, if the horse is sampled within 24 hours after the administration;
(2) Pre-File Treatment Plan means a treatment plan for the substance which must be filed by the time of administration in a manner approved by the Commission;
(3) Written Approval from Commission means the Commission has granted written approval of a written treatment plan before the administration of the substance;
(4) Emergency Use (report) means the substance had to be administered due to an acute emergency involving the life or health of the horse, provided the emergency use is reported to the Commission as soon as practicable after the treatment occurs;
(5) Prescribed by Veterinarian means the substance has been prescribed by an attending veterinarian, in compliance with this chapter and recorded in the veterinary records in the manner required by the Commission;
(6) Report Treatment means the treatment must be reported to the Commission by the trainer at the time of administration to provide the Commission with information for the Veterinarian's List. The trainer may delegate this responsibility to the treating veterinarian, who shall make the report to the Commission when so designated; and
(7) Other Limitations means additional requirements that apply, such as a substance may be used in only fillies or mares or a horse that is administered a substance shall be reported immediately to the Commission and placed on the Veterinarian's List for a specific minimum period of time.
§ 403.6. Blood doping substances or agents prohibited.
(a) The possession or use, or both, of the following substances or of blood doping agents, including but not limited to those listed as follows, on the racetrack premises or other facility under the jurisdiction of the Commission is expressly forbidden:
(1) Aminoimidazole carboxamide ribonucleotide (AICAR);
(2) Darbepoetin;
(3) Equine Growth Hormone;
(4) Erythropoietin;
(5) Hemopure®;
(6) Myo-Inositol Trispyprophosphate (ITPP);
(7) Oxyglobin®;
(8) Thymosin beta;
(9) Venoms or derivatives thereof; and
(10) Thymosin beta.
(b) No person shall at any time administer any other doping agent to a horse, except under a valid therapeutic, evidence-based treatment plan.
(c) Other doping agent means a substance that is not listed in the Commission's Prohibited Substances List, has a pharmacologic potential to materially alter the performance of a horse, has no generally accepted medical use in the horse when treated, and is:
(1) Capable at any time of causing an action or effect, or both, within one or more of the blood, cardiovascular, digestive, endocrine, immune, musculoskeletal, nervous, reproductive, respiratory or urinary mammalian body systems; including but not limited to endocrine secretions and their synthetic counterparts, masking agents, oxygen carriers and agents that directly or indirectly affect or manipulate gene expression; but
(2) Not a substance that is considered to have no effect on the physiology of a horse except to improve nutrition or treat or prevent infections or parasite infestations.
(d) The Commission may from time to time publish advisory warnings in the Pennsylvania Bulletin that certain substances or administrations may constitute a violation of this rule.
(e) Therapeutic, evidence-based treatment plan means a planned course of treatment written and prescribed by an attending veterinarian before the horse is treated that:
(1) Describes the medical need of the horse for the treatment, the evidence-based scientific or clinical justification for using the doping agent, and a determination that recognized therapeutic alternates do not exist; and
(2) Complies with this chapter, meets the standards of veterinary practice within this Commonwealth and is developed in good faith to treat a medical need of the horse.
(f) These plans shall not authorize the possession of a doping agent or substance on the premises of a licensed racetrack or other racing facility under the jurisdiction of the Commission.
§ 403.7. Extracorporeal shock wave therapy or radial pulse wave therapy.
(a) The use of Extracorporeal Shock Wave Therapy or Radial Pulse Wave Therapy (''shock wave therapy'') or other acoustic wave high energy, high amplitude devices, therapies, treatments or similar mechanisms, devices or treatments shall not be permitted unless the following conditions are satisfied:
(1) Only licensed veterinarians are permitted to use the prereferenced types of Extracorporeal shock wave devices or perform therapies and treatments on a horse as previously defined;
(2) Only licensed veterinarians are permitted to possess or use any instrument used to administer or deliver shock wave therapy on the licensed racetrack grounds or other facility under the jurisdiction of the Commission;
(3) All shock wave therapy machines or devises, whether in operating condition or not, must be registered with and approved by the Commission or its designee before the machine is brought to or possessed on any racetrack or other facility under the jurisdiction of the Commission;
(4) All shock wave therapy machines must be reported and registered within 24 hours prior to treatment on the prescribed form to the Commission veterinarian.
(5) All shock wave therapy machines must be used at a previously-disclosed location that is approved by the Commission. Commission investigative staff shall be granted access to any location housing a registered shock wave therapy machine of any type.
(b) Shock wave therapy cannot be administered to any horse entered in a race. If a horse is entered, shock wave therapy cannot be administered until that horse has been scratched from the race. If shock wave therapy is administered to a horse entered in a race, but which has not been scratched, both the trainer and veterinarian shall be in violation of this section.
(c) Any horse treated with shock wave therapy shall, within 24 hours of the treatment, be placed on the Veterinarian's List and added to a list of ineligible horses. This list shall be kept in the race secretary's office and accessible to the jockeys, drivers, trainers or their agents during normal business hours and be made available to other regulatory jurisdictions.
(d) No horse treated with shock wave therapy shall be permitted to qualify, breeze or race for a minimum of 10 days following treatment with the day one beginning on the day the therapy was administered.
(e) Within 24 hours of administering shock wave therapy, the treating veterinarian shall submit a written report/treatment sheet detailing the treatment information and horse and trainer's name to the Commission Veterinarian.
(f) Any owner, trainer, veterinarian or other person who performs, participates in the use, treatment or administration of shock wave therapy or who is in the possession or control of an unregistered shock wave therapy machine in violation of this section shall be considered to have committed a violation of the rules of racing and is subject to the penalties and fines set forth in section 9325 (relating to power of commission to impose fines) of the act, the applicable penalty matrix as adopted and published by the Commission or under the ARCI Class A Penalty provisions.
(1) Penalties assessed against an owner, trainer, veterinarian or other person for violation of this section shall be individually assessed against each violator.
(2) A person directing another to violate this section shall be subject to the same penalties as the offender.
§ 403.8. Nasogastric tube.
The use of a nasogastric tube (a tube longer than 6 inches) for the administration of any substance within 24 hours prior to the post time of the race in which the horse is entered is prohibited, unless performed by a licensed practicing veterinarian and properly logged in a medical report/treatment sheet in accordance with this chapter.
§ 403.9. Prohibited substances list.
(a) All substances in the following categories of drugs shall be strictly prohibited, unless otherwise exempted by the Commission in accordance with the provisions of this chapter: non-approved substances; anabolic agents/steroids; growth hormones; hormone and metabolic modulators; diuretics and other masking agents. The Prohibited Substance List is a comprehensive list of those prohibited substances. Since the Prohibited Substance List, as established by the ARCI is subject to frequent review, amendment or modification, the Commission shall annually notify the regulated community and publish the Prohibited Substance List in the Pennsylvania Bulletin and on its web site.
(b) In accordance with section 9312(6) (relating to additional powers of commission) of the act, the Commission is authorized to adopt National standards relating to prohibited substances, uniform drug thresholds or penalties, which includes the Prohibited Substance List, as established or amended by other racing jurisdictions or commission-recognized National regulatory racing organizations, such as ARCI or the USTA.
§ 403.10. Prohibited manipulation of blood and blood components.
(a) The following conduct or manipulation is expressly prohibited:
(1) The administration or reintroduction of any quantity of autologous, allogenic (homologous) or heterologous blood or red blood cell products of any origin into the circulatory system.
(2) Artificially enhancing the uptake, transport or delivery of oxygen, including, but not limited to, perfluorochemicals, efaproxiral (RSR13) and modified hemoglobin products (for example hemoglobin-based blood substitutes, microencapsulated hemoglobin products), excluding supplemental oxygen.
(3) Any form of intravascular manipulation of the blood or blood components by physical or chemical means.
(b) The chemical and physical manipulation, tampering or attempt to tamper, to alter the integrity and validity of samples collected by the Commission, is prohibited. These methods include but are not limited to urine substitution or adulteration (for example, proteases).
(c) Gene doping or any similar conduct with the potential to enhance the horse's performance, is prohibited, including the transfer of polymers of nucleic acids or nucleic acid analogues or the use of normal or genetically modified hematopoietic cells.
§ 403.11. Restricted therapeutic use requirements chart.
(a) The Commission hereby adopts the ARCI Restricted Therapeutic Use Requirements Chart (Chart) which is intended to provide the treating veterinarian with specific conditions and approvals for the therapeutic use of what are normally restricted or prohibited substances. The Chart identifies the particular prohibited substance and whether the veterinarian must prefile the treatment plan with the Commission and which substances require written approval from the Commission. The Chart provides for instances of emergency use of prohibited substances as prescribed by the treating veterinarian.
(b) In accordance with section 9312(6) (relating to additional powers of commission) of the act, the Commission is authorized to adopt National standards relating to prohibited substances, uniform drug thresholds or penalties, which includes the Chart, as established or amended by other racing jurisdictions or Commission-recognized National regulatory racing organizations, such as ARCI or the USTA. The Commission shall provide notice to the regulated community and publish the Chart in the Pennsylvania Bulletin and on the Commission's web site.
§ 403.12. Medical labeling.
(a) While on racetrack grounds and facilities, no person shall have or be in possession of a drug, medication, chemical, foreign substance or other substance that is prohibited in a horse on a race day, unless the product is labeled in accordance with this subsection. Possession shall be deemed to include any location in and upon the racetrack grounds which that person occupies or has the right to occupy or is in that person's personal property or effects or in any vehicle in that person's care, custody or control.
(b) All allowable medications must have a prescription label which is securely attached to the medication container and clearly ascribed to show the following:
(1) Name, address and telephone number of the pharmacy or veterinarian dispensing the medication;
(2) Prescription number when dispensed by a pharmacy if required by law;
(3) Date prescription filled;
(4) Name of the prescribing veterinarian;
(5) Name of the horse for whom the medication is prescribed or dispensed;
(6) Name of the trainer or owner of the horse for whom the product was dispensed;
(7) Dose, dosage, route of administration, and duration of treatment of the prescribed product (instructions for use);
(8) Name, active ingredient, quantity prescribed, expiration date (if applicable), beyond use date (if applicable), and lot number (if applicable); and
(9) Cautionary statements (if any), and if applicable, withdrawal time.
(c) The use and possession of an expired medication is considered a violation of this rule.
(d) Any medication that has a label that is missing, illegible, tampered with or altered, or in any other way does not comply with this section shall be considered a violation of these rules.
(e) A licensee who voluntarily surrenders any non-compliant medication shall not be considered to be in violation of the medication rules described in this section. A surrender shall not be deemed voluntary after a licensee has been advised or it is apparent that an investigatory search has begun.
(f) Licensed practicing veterinarians shall be exempt from this section.
§ 403.13. Non-steroidal anti-inflammatory drugs.
The use of Non-Steroidal Anti-Inflammatory drugs (NSAID) shall be governed by the following conditions:
(a) NSAIDs included in the Commission's annually approved Controlled Therapeutic Medication List are not to be used in a manner inconsistent with the restrictions contained therein. NSAIDs not included on the Commission's Controlled Therapeutic Medication List are not to be present in a racing horse biological test sample at the laboratory concentration of detection.
(b) The presence of more than one NSAID may constitute a NSAID stacking violation consistent with the following restrictions:
(1) A Class 1 NSAID Stacking Violation (Penalty Class B) occurs when:
(i) Two Non-Steroidal Anti-Inflammatory drugs are found at individual levels determined to exceed the following restrictions:
(a) Diclofenac—5 nanograms per milliliter of plasma or serum;
(b) Firocoxib—20 nanograms per milliliter of plasma or serum;
(c) Flunixin—20 nanograms per milliliter of plasma or serum;
(d) Ketoprofen—2 nanograms per milliliter of plasma or serum;
(e) Phenylbutazone—2 micrograms per milliliter of plasma or serum; or
(f) All other Non-Steroidal Anti-Inflammatory drugs—laboratory concentration of detection.
(ii) Three or more Non-Steroidal Anti-Inflammatory drugs are found at individual levels determined to exceed the following restrictions:
(a) Diclofenac—5 nanograms per milliliter of plasma or serum;
(b) Firocoxib—20 nanograms per milliliter of plasma or serum;
(c) Flunixin—3 nanograms per milliliter of plasma or serum;
(d) Ketoprofen—1 nanograms per milliliter of plasma or serum;
(e) Phenylbutazone—0.3 micrograms per milliliter of plasma or serum; or
(f) All other Non-Steroidal Anti-Inflammatory drugs—laboratory concentration of detection.
(2) A Class 2 NSAID Stacking Violation (Penalty Class C) occurs when:
(i) Any one substance noted in subsection (b)(1) is found in excess of the restrictions contained therein in combination with any one of the following substances at levels below the restrictions so noted but in excess of the following levels:
(a) Flunixin—3 nanograms per milliliter of plasma or serum;
(b) Ketoprofen—1 nanogram per milliliter of plasma or serum; or
(c) Phenylbutazone—0.3 micrograms per milliliter of plasma or serum.
(3) A Class 3 NSAID Stacking Violation (Penalty Class C, fines only) occurs when:
(i) Any combination of two of the following Non-Steroidal Anti-Inflammatory drugs are found at or below the restrictions in subsection (b)(1)(i), but in excess of the noted restrictions:
(a) Flunixin—3 nanograms per milliliter of plasma or serum;
(b) Ketoprofen—1 nanogram per milliliter of plasma or serum; or
(c) Phenylbutazone—0.3 micrograms per milliliter of plasma or serum;
(c) Any horse to which a NSAID has been administered shall be subject to having a blood or urine samples, or both, taken at the direction of the Commission Veterinarian to determine the quantitative NSAID levels or the presence of other drugs, or both, which may be present in the blood or urine samples.
§ 403.14. Furosemide (Lasix—Thoroughbred).
(a) The Commission recognizes that the diuretic Furosemide (Lasix) is helpful in the management of Exercise Induced Pulmonary Hemorrhage (EIPH). In regulating the race-day use of Furosemide (Lasix), the Commission has placed strict controls on the dose, route and time the medication is administered. All of these measures are designed to provide a thorough regulation of Furosemide (Lasix) and prevent the misuse of the drug.
(b) A horse is eligible to race with Furosemide (Lasix) if at least one of the following occurs:
(1) The horse is on the Commission's Furosemide (Lasix) list and has complied with the provisions of subsection (c);
(2) The horse is on the Commission's Bleeder List and has complied with the provisions of subsection (d);
(3) The trainer provides the Commission Veterinarian or the designee with evidence that the horse in on the Furosemide (Lasix) list or the Bleeder List in another jurisdiction. Acceptable evidence shall be a furosemide or bleeder certificate approved by that jurisdiction's official veterinarian.
(4) The trainer provides the Commission Veterinarian or the designee with evidence that the horse has been running consistently, up to the last start, with Furosemide (Lasix) in other racing jurisdictions as shown on official past performance records from Equibase or Racing Form.
(c) Furosemide (Lasix) list—Furosemide (Lasix) shall be administered to a horse that is entered to race only after the Commission Veterinarian has placed the horse on the Furosemide (Lasix) list. To be placed on the Furosemide (Lasix) list the following process shall be followed:
(1) After the horse's licensed trainer and licensed veterinarian determine that it would be in the horse's best interests to race with Furosemide, the trainer or licensed veterinarian shall notify the Commission Veterinarian or designee using the prescribed form, requesting that the horse be placed on the Furosemide (Lasix) list.
(2) The form must be received by the official veterinarian or his/her designee by the proper time deadlines to ensure public notification.
(3) A horse placed on the official Furosemide (Lasix) list must remain on that list unless the licensed trainer and licensed veterinarian submit a written request to remove the horse from the list. The request must be made to the Commission Veterinarian or designee, on the proper form, no later than the time of entry.
(4) After a horse has been removed from the Furosemide (Lasix) list, the horse may not be placed back on the list for a period of 60 calendar days unless it is determined to be detrimental to the welfare of the horse, in consultation with the official veterinarian. If a horse is removed from the official Furosemide (Lasix) list a second time in a 365-day period, the horse may not be placed back on the list for a period of 90 calendar days.
(d) Bleeder List—To obtain approval for the administration of Furosemide (Lasix), the horse shall be placed on a bleeder list which shall be maintained by the Commission Veterinarian. An up-to-date Bleeder List shall be maintained and posted in the racing secretary's office by the Commission. Only the following horses shall be placed on the Bleeder List:
(1) External evidence of exercised induced pulmonary hemorrhage from one or both nostrils during or after a race or workout, as observed by a Commission's Veterinarian;
(2) Internal evidence of exercised induced pulmonary hemorrhage by means of endoscopy reported by a licensed practicing veterinarian on a Commission approved form.
(3) A confirmed bleeder, regardless of age, shall be placed on the Bleeder List and be ineligible to race for the following time periods:
(i) First incident—14 days;
(ii) Second incident within 365-day period—30 days;
(iii) Third incident within 365-day period—180 days;
(iv) Fourth incident within 365-day period—barred for racing lifetime.
(4) Once a horse is place on the bleeder list, it must continue to race with Furosemide (Lasix) unless the removal from the list is approved by the Commission Veterinarian. The horse may be removed from the bleeder list upon written request of the trainer, if the horse's performance is negatively affected by the use of Furosemide (Lasix) or if the horse has an adverse physiological reaction to Furosemide (Lasix).
(i) Prior to removal, the horse must perform a workout, without bleeding, to the satisfaction of the Commission Veterinarian. The Commission Veterinarian may witness an endoscopic examination of the horse to confirm that the horse has not bled.
(ii) Once removed from the bleeder list, a thoroughbred horse shall be ineligible to participate in a race for a minimum of 30 days. Prior to starting in a race, a horse must participate without Furosemide (Lasix) in official workout without bleeding, to the satisfaction of the Commission Veterinarian.
(e) Furosemide (Lasix) shall be the only authorized bleeder medication and shall only be administered on the licensed racetrack grounds.
(1) The use of Furosemide (Lasix) shall be permitted under the following circumstances on association grounds where a detention barn is utilized:
(i) Furosemide (Lasix) shall be administered by the official veterinarian, the racing veterinarian or a properly appointed designee no less than four hours prior to post time for the race for which the horse is entered;
(ii) Any veterinarian participating in the administration process must be prohibited from working as private veterinarians on the race track or with participating licensees;
(iii) A horse qualified for Furosemide (Lasix) administration must be brought to the detention barn within time to comply with the 4-hour administration requirement.
(iv) The dose administered shall not exceed 500 mg. nor be less than 150 mg.
(v) Furosemide (Lasix) shall be administered by a single, intravenous injection.
(2) After treatment, the horse shall be required by the Commission to remain in the detention barn in the care, custody and control of its trainer or the trainer's designated representative under association or Commission security supervision, or both, until called to the saddling paddock.
(3) The use of Furosemide (Lasix) shall be permitted under the following circumstances on association grounds where a detention barn is not utilized:
(i) Furosemide (Lasix) shall be administered by the official veterinarian, the racing veterinarian or his/her designee no less than 4 hours prior to post time for the race for which the horse is entered.
(ii) Any veterinarian participating in the administration process must be prohibited from working as private veterinarians or technicians on the race track on or with participating licensees;
(iii) The Furosemide (Lasix) dosage administered shall not exceed 500 mg., nor be less than 150 mg.
(iv) Furosemide (Lasix) shall be administered by a single, intravenous injection.
(v) After treatment, the horse shall be required by the Commission to remain in the proximity of its stall in the care, custody and control of its trainer or the trainer's designated representative under general association and/or Commission security surveillance until called to the saddling paddock.
(f) In the event a horse listed on the Furosemide (Lasix) list races without Furosemide (Lasix), the horse shall be disqualified and any purse money earned by the horse redistributed. The Stewards may impose a fine, suspension, or both, upon the trainer or veterinarian.
(g) Test results must show a detectable concentration of the drug in the post-race serum, plasma or urine sample.
(1) The specific gravity of post-race urine samples may be measured to ensure that samples are sufficiently concentrated for proper chemical analysis. The specific gravity shall not be below 1.010. If the specific gravity of the urine is found to be below 1.010 or if a urine sample is unavailable for testing, quantitation of furosemide in serum or plasma shall be performed;
(2) Quantitation of Furosemide (Lasix) in serum or plasma shall be performed when the specific gravity of the corresponding urine sample is not measured or if measured below 1.010. Concentrations may not exceed 100 nanograms of Furosemide (Lasix) per milliliter of serum or plasma.
(h) The practicing veterinarian shall be responsible for administering the proper Furosemide (Lasix) medication and dose at the proper time to the proper horse and providing the Commission or its staff, upon request, with any necessary documentation related to the horses under the veterinarian's care relating to Furosemide (Lasix).
§ 403.15. Furosemide (Lasix—Standardbred).
(a) The Commission recognizes that the diuretic Furosemide (Lasix) is helpful in the management of Exercise Induced Pulmonary Hemorrhage (EIPH) in the standardbred horse. Accordingly, 2-year-old harness horses or older shall be eligible for bleeder medication as set forth below. In regulating the race-day use of Furosemide (Lasix), the Commission has placed strict controls on the dose, route and time the medication is administered. All of these measures are designed to provide a thorough regulation of Furosemide (Lasix) and prevent the misuse of the drug.
(b) A horse is eligible to race with Furosemide (Lasix) if at least one of the following occurs:
(1) The horse is on the Commission's bleeder's list and the Judge's list in accordance with the following provisions;
(2) The trainer provides the Commission Veterinarian or the designee with evidence that the horse in on the Furosemide (Lasix) list or the bleeder list in another jurisdiction. Acceptable evidence shall be a Furosemide (Lasix) or bleeder certificate approved by that jurisdiction's official veterinarian.
(3) The trainer provides the Commission Veterinarian or the designee with evidence that the horse has been running consistently, up to the last start, with Furosemide (Lasix) in other racing jurisdictions as shown on official past performance records from the USTA, Equibase or the Racing Form.
(c) A horse shall be placed on the bleeder's list by either method:
(1) Blood visualized or noted in one of the nostrils (no endoscopic exam required), if:
(i) During a race or qualifier;
(ii) Immediate post-race or post exercise on track;
(iii) Post-race or post exercise in paddock or stable area, or both, within a reasonable time;
(iv) After training at a horse facility and confirmed by a licensed veterinarian within this Commonwealth.
(2) Endoscopic examination may be requested by the owner or trainer who believes his or her horse is a bleeder. The endoscopic examination must be done by a licensed veterinarian within this Commonwealth and at the owner's/trainer's expense. This examination shall take place within a reasonable length of time at:
(i) Post race in paddock.
(ii) Post training exercise in paddock.
(iii) Post training at a horse facility.
(d) Any owner or trainer that intends to race a horse within the Furosemide (Lasix) Program (Program) is required to submit the proper certificate completed by a licensed veterinarian within this Commonwealth no later than the time of entry to the Judges. This information shall be entered into the USTA database.
(e) Once a horse is certified as a ''bleeder'' that horse may not race for a period of 6 days beginning the day after the examination was performed.
(f) Test results must show a detectable concentration of the drug in the post-race serum, plasma or urine sample or it will be considered a positive.
(g) Once on the Program the horse must stay on the Program for a minimum on 45 days within this Commonwealth.
(h) If after the 45 days the owner/trainer want to remove said horse from the Program, a licensed veterinarian, must perform an endoscopic examination after a qualifying race to confirm no evidence of bleeding and a blood sample must be pulled and tested to confirm Furosemide (Lasix) was not administered. The owner/trainer must then submit the proper forms to the Judges prior to entry to remove the said horse from the Program.
(i) If a horse bleeds through regardless of Furosemide (Lasix) administration, then the horse shall be placed on the Judges' List:
(1) First time 30 days;
(2) Second time 60 days;
(3) Third time barred for life.
(j) Out-of-State entries. At the time of entry of a horse, it is the sole responsibility of the horse's owner/trainer to provide the racing secretary, the Judges and Commission Veterinarian with the horse's bleeder medication status on the entry form, including the first time bleeder certificate when coming from out of this Commonwealth.
(k) Furosemide (Lasix) shall be administered by a licensed veterinarian under the supervision of the Commission representative no less than 2cc's (100mg) nor more than 10cc's (500mg). Horses must arrive in the paddock no less than 4 hours prior to their scheduled post time to receive their Furosemide (Lasix) medication. A 30-minute grace period will be granted but the trainer may be subject to a fine. No horse shall receive Furosemide (Lasix) medication after the 30-minute grace period.
(l) All associations shall provide a secure retention facility for the administration of the Program. The trainer, or his/her authorized representative with a valid license, shall remain with the horse from the time of its arrival in the retention facility until the horse is removed after receiving Furosemide (Lasix) or scratched. During the horse's time in the retention facility the trainer or authorized person shall provide assistance when required by the licensed veterinarian who is administering the Furosemide (Lasix) medication.
(m) Late for Furosemide (Lasix): Trainers not presenting horses who are on the Program within the required time frame shall be subject to a fine of $250 and having their horse scratched from the race.
(n) Test results must show a detectable concentration of the drug in the post-race serum, plasma or urine sample.
(1) The specific gravity of post-race urine samples may be measured to ensure that samples are sufficiently concentrated for proper chemical analysis. The specific gravity shall not be below 1.010. If the specific gravity of the urine is found to be below 1.010 or if a urine sample is unavailable for testing, quantitation of Furosemide (Lasix) in serum or plasma shall be performed;
(2) Quantitation of Furosemide (Lasix) in serum or plasma shall be performed when the specific gravity of the corresponding urine sample is not measured or if measured below 1.010. Concentrations may not exceed 100 nanograms of furosemide per milliliter of serum or plasma.
(o) The practicing veterinarian shall be responsible for administering the proper Furosemide (Lasix) medication and dose at the proper time to the proper horse and providing the Commission or its staff, upon request, with any necessary documentation related to the horses under the veterinarian's care relating to Furosemide (Lasix).
§ 403.16. Environmental contaminants and substances of human use.
(a) Environmental contaminants are either endogenous to the horse or can arise from plants traditionally grazed or harvested as equine feed or are present in equine feed because of contamination during the cultivation, processing, treatment, storage or transportation phases.
(b) Substances of human use and addiction may be found in the horse due to its close association with humans.
(c) If probative and substantial evidence is presented to the Bureau Directors prior to a hearing or presented to the Judges or Stewards during a hearing which indicates that a positive test may have been a result of environmental contamination, including inadvertent exposure due to human drug use, or dietary intake, or is endogenous to the horse, those factors may be considered in mitigation of any disciplinary action taken against the affected trainer.
§ 403.17. Androgenic-anabolic steroid (AAS).
(a) As set forth in the Commission's regulations, no Androgenic-anabolic steroid (AAS) shall be permitted in test samples collected from racing horses except for endogenous concentrations of the naturally occurring substances boldenone, nandrolone and testosterone at concentrations less than the approved thresholds.
(b) Concentrations of these AAS shall not exceed the following free (that is, not conjugated) steroid concentrations in plasma or serum:
(1) Boldenone—A confirmatory threshold not greater than 25 picograms/milliliter for all horses, regardless of sex;
(2) Nandrolone—A confirmatory threshold not greater than 25 picograms/milliliter for fillies, mares and geldings; male horses other than geldings shall be tested for Nandrolone in urine;
(3) Testosterone—A confirmatory threshold not greater than 100 picograms/milliliter for fillies, mares and gelding.
(c) Total concentrations of these AAS shall not exceed the following total concentrations in urine after hydrolysis of conjugates:
(1) Boldenone—A confirmatory threshold not greater than 1 nanogram/milliliter for fillies, mares and geldings; a confirmatory threshold not greater than 15 nanograms/milliliter in male horses other than geldings;
(2) Nandrolone—A confirmatory threshold not greater than 1 nanogram/milliliter for fillies, mares and geldings; a confirmatory threshold not greater than 45 nanograms/milliliter (as 5alpha-estrane-3beta,17alpha-diol) of urine in male horses other than geldings;
(3) Testosterone—A confirmatory threshold of not greater than 55 nanograms/milliliter of urine in fillies and mares (unless in foal); a confirmatory threshold of not less than 20 nanograms/milliliter in geldings.
(d) All other AAS are expressly prohibited in racing horses.
(e) The sex of the horse must be identified to the Commission's testing laboratory on all pre-race and post-race samples designated for anabolic steroid testing.
(f) If an anabolic steroid has been administered to a horse to assist in its recovery from illness or injury, that horse shall be placed on the Veterinarian's List to monitor the concentration of the drug or metabolite in urine or blood. After the concentration has fallen below the designated threshold for the administrated AAS, the horse shall be eligible to be removed from the list.
§ 403.18. Compounded medications on racetrack grounds.
(a) The possession or use of any drug, substance, or medication on the licensed racetrack grounds which has not been approved by the appropriate Federal agency (for example, the United States Food and Drug Administration) for use in humans or animals is forbidden without prior approval from the Commission or its designee.
(b) It is a violation of this regulation to possess, use, or distribute a compounded medication on licensed racetrack grounds if there is an FDA approved equivalent of that substance available for purchase. A difference in available formulations or concentrations does not alleviate the need to use FDA approved products.
(c) It is a violation of this regulation to possess, use or distribute a compounded medication on licensed racetrack grounds made from bulk substances, if an FDA approved equivalent is available for purchase.
(d) Combining two or more substances with pharmacologic effect constitutes the development of a new drug and is prohibited. This may only be done in accordance with state and local laws and must contain FDA approved medications, if available.
(e) Compounded veterinary drugs. Veterinary drugs shall be compounded in accordance with all applicable state and Federal laws. Compounded medication shall be dispensed only by prescription issued by a licensed veterinarian to meet the medical needs of a specific horse and for use only in that specific horse.
(f) All compounded medications must be labeled in accordance with § 403.12 (relating to medical labeling).
(g) Possession of an improperly labeled product by any person on the licensed racetrack grounds is considered a violation of this section and may subject the person to a penalty.
CHAPTER 405. OUT-OF-COMPETITION TESTING PROGRAM—TEMPORARY REGULATIONS Sec.
405.1. General purpose. 405.2. Out-of-competition testing authorization. 405.3. Horses eligible to be tested. 405.4. Selection of horses to be tested. 405.5. General procedures for collecting samples. 405.6. Procedures for collecting samples from horses located outside the jurisdiction. 405.7. Analysis and use of collected samples. 405.8. Cooperation with the Commission. 405.9. Penalties for non-cooperation or positive tests. § 405.1. General purpose.
The purpose of this chapter is to ensure the health, safety and welfare of racehorses and to properly safeguard the integrity of racing, the interests of the general public and the participants in racing by testing racehorses for performance enhancing substances that may not otherwise be detected with post-race testing and to deter the illegal use of these substances.
§ 405.2. Out-of-competition testing authorization.
(a) Under the statutory authority set forth in act, the Commission may, at any reasonable time, on any reasonable date draw blood, urine or other biologic samples as authorized by Commission rules from a horse to enhance the ability of the Commission to enforce its medication and anti-doping rules. All these samples shall be the property of the Commission.
(b) This rule authorizes only the collection and testing of samples and does not independently make impermissible the administration to or presence in any horse of any drug or other substance.
(c) A race day prohibition or restriction of a substance by a Commission rule is not applicable to an out-of-competition test unless there is an attempt to race the horse in a manner that violates this rule.
§ 405.3. Horses eligible to be tested.
(a) Any horse that has engaged in racing activities, including training and competing in horse racing in this Commonwealth is eligible to be selected for random testing, as set forth below. This shall include, without limitation, any horse which is located, stabled or trained outside of this Commonwealth in preparation to participate in racing within this Commonwealth.
(b) A horse is presumed eligible for out-of-competition testing if:
(1) It is on the grounds of a racetrack or horse facility within this Commonwealth. If the trainer of record or a designee of the selected horse is not available, the trainer will be given 24 hours to produce the specified horses at the designated racetrack or location for samples to be taken.
(2) It is under the care or control of a trainer licensed by the Commission;
(3) It is owned by an individual owner or ownership group or partnership duly licensed by the Commission;
(4) It is entered or nominated to race at a racetrack or other facility licensed by the Commission;
(5) It has raced within the previous 12 months at a racetrack or other facility licensed by the Commission; or
(6) It is nominated to a program based on racing in this jurisdiction, including a thoroughbred breeder's award race, or standardbred sire stakes race.
(c) The presumption of eligibility to be tested, as previously set forth, is conclusive in the absence of evidence that the horse is not engaged in racing activities relating to competing in horse racing within this Commonwealth.
§ 405.4. Selection of horses to be tested.
Horses shall be selected for random sampling by the breed specific Bureau Director, or a designee of the Bureau Director. Selection of horses to be sampled and tested may be based upon any of the following:
(1) Reasonable suspicion or probable cause based upon gathered intelligence or investigation;
(2) The seizure of illegal medication, drugs or paraphernalia in the custody, control or possession of the horse's owner, trainer or groom;
(3) An enumerated ''condition'' of licensure;
(4) Past medication or drug violations;
(5) Documented changes in the horses performances; or
(6) Horses entered in Stakes Races in Pennsylvania.
§ 405.5. General procedures for collecting samples.
(a) Upon request, the Commission Veterinarian, Commission investigators and any other person designated to take samples for the Commission shall provide proper identification and disclose the purpose of the sampling to the owner, trainer or designated attendant of the horse.
(b) All samples shall be collected by and under the supervision and direction of a Commission Veterinarian or other persons duly employed or designated by the Commission. Samples taken outside of this Commonwealth may be taken by a regulatory veterinarian employed by the racing jurisdiction of the state where the sample is collected, or by a veterinary technician who is acting under appropriate supervision of the regulatory veterinarian.
(c) The Commission need not provide advanced notice before arriving at any racing facility or other location, whether or not licensed by the Commission, to collect samples.
(d) Upon request by a representative of the Commission, the trainer, owner or their specified designee shall immediately provide information regarding the exact location of their horses which are eligible for out-of-competition testing.
(e) If a representative of the Commission has previously sought and received permission from a managing owner of a facility at which a selected horse is located, no trainer or other custodian of a selected horse may refuse or decline the sampling of the selected horse. The Commission may attempt but is not required to contact the managing owner of the facility again to secure the immediate sampling of the selected horse.
(f) The trainer, owner, or their specified designee shall cooperate fully with the Commission's representative collecting the out-of-competition samples for the Commission. Full cooperation by the trainer, owner, or specified designee shall include:
(1) Assisting in the immediate location and identification of the horses;
(2) Making the horse available as soon as practical upon arrival of the person who is responsible for collecting the samples;
(3) Providing a stall or other safe location to collect the samples;
(4) Assisting the person who is collecting samples in properly procuring the samples; and
(5) Witnessing the taking of samples including sealing of sample collection containers.
(g) The management and employees of a licensed racetrack or horse facility at which a horse may be located shall cooperate fully with the Commission representative who is authorized to take samples. The person who collects samples for the Commission may require that the collection be done at a specified location on the premises.
(h) The Commission, in its sole discretion, and upon request, may permit the trainer, owner, or their specified designee to present a selected horse, which is located in this Commonwealth ia, but not at a licensed racetrack or horse facility licensed by the Commission, to be sampled at an alternate time and location designated by the Commission.
§ 405.6. Procedures for collecting samples from horses located outside the jurisdiction.
The Commission may arrange for the sampling of an out-of-state horse by requesting that the selected horse be brought to a designated racetrack or other location in this Commonwealth within 24 hours of the request. Failure to abide by this request will result in a scratch of the selected horse and the horse being placed on the Stewards' or Judges' list for 90 days and may further subject the owner, trainer or other specified designee of record to a penalty under § 405.9(a) (relating to penalties for non-cooperation or positive tests).
§ 405.7. Analysis and use of collected samples.
(a) The Commission may have out-of-competition samples tested to produce information which may enhance or assist the ability of the Commission to enforce its existing racing medication and anti-doping regulations.
(b) Existing post-race split sample rules and procedures shall apply to out-of-competition testing, except that the split sample shall be retained at the licensed racetrack.
(c) The Commission may use any remaining sample for other equine research and investigation.
§ 405.8. Cooperation with the Commission.
(a) Licensees of the Commission are required to cooperate and comply fully with the provisions of this chapter as set forth more specifically in § 405.5(f) (relating to general procedures for collecting samples).
(b) Any duly licensed person, including an owner, trainer or groom shall be deemed to have given specific permission and consent for Commission representatives to collect out-of-competition samples from their horses regardless of the horse's physical location, whether stabled on the grounds or shipped into a licensed racetrack. Licensees shall take any steps necessary to authorize access by Commission representatives into the premises.
(c) No other person shall knowingly and intentionally interfere with or obstruct a sampling of horses.
§ 405.9. Penalties for non-cooperation or positive tests.
(a) Failure or refusal to make a horse available for sampling or other intentionally deceptive acts or interference during the sampling process shall carry a minimum penalty of a 180-day suspension, plus a $5,000 fine and referral to the Commission for other action deemed appropriate. In addition to the foregoing, a horse entered in to race, but not sampled due to the licensee's non-cooperation, may also be scratched.
(b) A selected horse, which is not made available for out-of-competition sampling, shall be placed on the Steward's or Judge's list and shall remain on the list for a minimum of 90 days and must test negative per the out-of-competition testing requirements before it may be removed from the list.
(c) A selected horse, which is presumed eligible for out-of-competition testing, as set forth in § 405.3(c) (relating to horses eligible to be tested), shall be placed on the Steward's or Judge's list and shall be ineligible to race in this Commonwealth for 180 days if the owner, trainer or their designee fails to provide evidence that the horse is not engaged in racing activities related to competing in racing within this Commonwealth. This restriction shall not apply if the trainer, owner or their designee permits the immediate collection of the samples from the horse.
(d) A trainer with a positive test for Anabolic Steroids shall be fined $5,000 and suspended for a period of 180 days. In addition, trainer shall also forfeit any purse money earned.
(e) A trainer with a positive test for blood doping agents shall be $10,000 and suspended for a period of 2 years. In addition, trainer shall also forfeit any purse money earned.
(f) All horses that test positive for Anabolic Steroids or blood doping agents shall be placed on the Steward's or Judges' List for a minimum of 90 days. A horse must provide a negative test sample to be removed from the Steward's or Judge's list.
CHAPTER 407. PHYSICAL INSPECTION OF HORSES—TEMPORARY REGULATIONS Sec.
407.1. Assessment of racing soundness and condition. 407.2. Veterinarian's List. 407.3. Postmortem examination and necropsy.
HORSE MORTALITY REVIEW BOARD
407.4. General purpose. 407.5. Creation of Horse Mortality Review Board. 407.6. Meeting procedures. 407.7. Standardized questions. 407.8. Report and recommendations. § 407.1. Assessment of racing soundness and condition.
(a) Every horse entered to participate in an official race shall be subjected to a veterinary inspection prior to starting in the race for which it is entered. The inspection shall be conducted by the Commission Veterinarian or the Commission Veterinarian's designee at a location determined by the Commission or the Commission Veterinarian.
(b) The trainer of each horse or a representative of the trainer must present the horse for inspection as required by the examining veterinarian. Horses presented for examination must have bandages removed and the legs must be clean. Prior to examination horses shall not be placed in ice nor shall any device or substance be applied to the horse which may impede veterinary clinical assessment.
(c) The assessment of a horse's racing condition shall include:
(1) Proper identification of each horse inspected;
(2) Observation of each horse in motion;
(3) Manual palpation and passive flexion of both forelimbs;
(4) Visual inspection of the entire horse and assessment of overall condition;
(5) Clinical observation in the paddock and saddling area, during the parade to post and at the starting gate, during the running of the race, and following the race until the horse has exited the race track; and
(6) Any other inspection deemed necessary by the Commission veterinarian and the Commission Veterinarian designee.
(d) The Commission Veterinarian and the Commission Veterinarian designee shall maintain a permanent continuing health and racing soundness record of each horse inspected. This record shall be provided to the Commission upon request. If the record contains confidential or personal identification information, that information may be redacted prior to public review.
(e) The Commission or the Commission Veterinarian designee shall be are authorized access to any and all horses housed or present at the licensed racetrack facility and grounds regardless of the horse's entry status.
(f) If, prior to starting, a horse is determined to be unfit for competition, or if the Commission Veterinarian is unable to make a determination of racing soundness, the Commission Veterinarian will recommend to the Stewards the horse be scratched. Horses scratched upon the recommendation of the Commission Veterinarian shall be placed on the Veterinarian's List.
§ 407.2. Veterinarian's List.
(a) As set forth in § 305.203 (relating to Veterinarian's List) of the Commission's regulations, the Commission Veterinarian shall maintain the Veterinarian's List of all horses which are determined to be unfit to compete in a race due to illness, unsoundness, injury, infirmity, heat exhaustion, positive test or overage, administration of a medication invoking a mandatory stand down time, administration of shock wave therapy or any other assessment or determination by the Commission Veterinarian that the horse is unfit to race.
(b) Horses so listed are ineligible to start in a race in any jurisdiction until released by the Commission Veterinarian, except when there is an unforeseen administrative issue in releasing the horse from the Veterinarian's List of another racing jurisdiction.
(c) A horse placed on the Veterinarian's List for being unfit to compete in a race due to illness, physical distress, unsoundness, injury, infirmity, heat exhaustion, or any other assessment of determination by the Commission Veterinarian may be removed from the Veterinarian's List when in the opinion of the Commission Veterinarian, the condition which resulted in the horse's placement on the list is resolved and the horse's status is returned to racing soundness.
(d) Horses participating in a qualifying race or working to be released from the Veterinarian's List are to be subjected to a post-exercise biologic sample collection for laboratory confirmation of compliance at the expense of the current owner.
(e) Horses having generated a positive drug finding on a biological sample collected under the Commission's regulations shall not be released from the Veterinarian's List until it generates a negative test.
§ 407.3. Postmortem examination and necropsy.
(a) A horse that dies or is euthanized, whether in training or in competition, while present on the licensed racetrack facility under the jurisdiction of the Commission, shall undergo a postmortem examination (necropsy) at a laboratory approved by the Commission to determine, where possible, the injury or sickness which resulted in euthanasia or natural death. Within 24 hours of the horse's death or euthanization, the Commission Veterinarian shall notify the Director of the respective bureau in writing.
(b) A horse that dies or is euthanized while present on the licensed racetrack facility, but not during training or competition, may undergo a necropsy at the discretion of the Commission Veterinarian based upon available information at the time.
(c) The Commission Veterinarian, in coordination with the racetrack veterinarian, the racing secretary and the owner or trainer of the horse, shall take physical possession of the horse upon its death for postmortem examination. All shoes and equipment on the horse's legs shall be left on the horse.
(d) The Commission Veterinarian or the racetrack veterinarian shall collect blood, urine, bodily fluids, or other biologic specimens immediately, if possible before euthanization. The Commission may submit the blood, urine, bodily fluids, or other biologic specimens collected from the horse to its testing laboratory for toxicological analysis. The presence of a prohibited substance in a specimen collected from the horse may constitute a violation. The collection of the biologic samples post-euthanization shall not invalidate the findings by the testing laboratory of a prohibited substance.
(e) To maintain control of the evidentiary chain of custody, the necropsy report of the deceased horse or other documentary findings and results shall remain in the Commission's sole control and possession. All licensees shall be required to comply with postmortem examination requirements as a condition of licensure.
(f) The Commission may direct that an investigation be conducted based upon the results of the necropsy or the testing laboratory findings. These investigatory documents and findings are not deemed public records for purposes of the act of February 14, 2008 (P.L. 6, No. 3), known as the Right-to-Know Law (65 P.S. §§ 67.101—67.3104).
HORSE MORTALITY REVIEW BOARD § 407.4. General purpose.
(a) While there are attendant risks associated with live Standardbred and Thoroughbred racing, the Commission fully understands that the fatality of any racing horse represents a tragic loss for the horse owners, trainers and caretakers and can impact the health and safety of jockeys and drivers as well. The Commission's top priority is to protect the welfare of the human and equine athlete and reduce equine fatalities within this Commonwealth by establishing a Horse Mortality Review Board (Mortality Board). The Commission believes that meetings of the Mortality Boards should be educational in nature but should emphasize everyone's collective responsibility to protect the safety and welfare of the participating horse, drivers and jockeys.
(b) To that end, the objective of each Mortality Board shall be to conduct a methodical review of information which is intended to identify practical and relevant intervention procedures, protocols and recommendations designed to potentially reduce the occurrence of racing fatalities.
§ 407.5. Creation of Horse Mortality Review Board.
(a) In addition to the licensing provisions of Chapter 181 (relating to licensed racing entities—temporary regulations), the Commission hereby directs that each Thoroughbred and Standardbred licensed racing entity within this Commonwealth shall create a Horse Mortality Review Board (Mortality Board) to be located at each racetrack facility to be approved by the Commission.
(b) Each Mortality Board shall include, at least, the following individuals:
(1) Racetrack Vice-President, General Manager or similar level management person (Chair);
(2) A Commission Steward or Judge of the applicable racetrack;
(3) A Commission Veterinarian;
(4) A representative of the applicable horsemen's organization;
(5) A jockey or driver representative;
(6) Trainer and assistant trainer (if applicable) of the fatally-injured horse;
(7) Attending veterinarian of the fatally-injured horse;
(8) Racetrack superintendent; and
(9) Any other individual deemed necessary and appropriate by the Mortality Board.
(c) The goal of the Mortality Board shall be to gather information regarding the catastrophic event and to have an open communication between all the previously listed individuals regarding issues which may have led to the incident and to ultimately arrive, if possible, at conclusions and recommendations to the appropriate entity or person, in particular and where possible to the general racing industry.
§ 407.6. Meeting procedures.
(a) The Horse Mortality Review Board (Mortality Board) shall meet to discuss and interview individuals related to each catastrophic horse injury occurring at that racetrack facility. If no catastrophic injury has occurred, then the Mortality Board shall meet at least quarterly throughout the year.
(b) Either shortly prior to or during the Mortality Board meeting, the following documents, information or procedures, or both, shall be reviewed:
(1) The video of race, if applicable;
(2) The attending or treating veterinarian's records for the fatally-injured horse for a 30-day period prior to the horse's catastrophic injury;
(3) The past performance records to determine the horse's exercise history warranted increased pre-race scrutiny;
(4) The Incompass or E-Track, or similar racing database records to determine whether the horse had previously been on a Steward's or Veterinarian's List;
(5) The pre-race examination findings;
(6) Risk factors that may apply to the fatally injured horse;
(7) The Death Certificate and the Commission Investigative Report and Necropsy Report, if available;
(8) Any findings or results of blood or urine tests conducted by the Commission's Testing Laboratory;
(9) The trainer's and veterinarian's treatment log/sheets.
§ 407.7. Standardized questions.
The Commission, in conjunction with the approved and established Horse Mortality Review Board (Mortality Board), shall develop a set of standardized questions to assist in identify factors which might predispose a horse to suffer catastrophic injuries. The standardized questions may be amended from time to time by the Mortality Board with the approval of the Commission.
§ 407.8. Report and recommendations.
At the conclusion of each Horse Mortality Review Board (Mortality Board) meeting regarding a catastrophic horse injury, the Mortality Board shall prepare a report with conclusions and recommendations regarding the incident and shall provide a copy to all individuals on the Mortality Board and the Commission's Bureau Directors.
[Pa.B. Doc. No. 19-1575. Filed for public inspection October 18, 2019, 9:00 a.m.]
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