09.10.03.02

.02 Sanctions.

In addition to a specific sanction applicable to a particular violation, an individual found by the:

A. Stewards or judges to have violated a provision of this chapter may be subject to:

(1) A fine of up to $2,500;

(2) The suspension of any license issued by the Commission for a period of up to 360 days; and

(3) Referral to the Commission for additional sanctions if the stewards or judges determine that a greater sanction is warranted than they are empowered to impose; and

B. Commission to have violated a provision of this chapter may be subject to:

(1) A fine of up to $5,000;

(2) The suspension or revocation of any license issued by the Commission; and

(3) Certain conditions of licensure as imposed by the Commission.

C. Multiple Medication Violations.

(1) A trainer who receives a penalty for a medication violation based upon a horse testing positive for a Class 1—5 medication with Penalty Class A—C, as provided in the most recent version of the Association of Racing Commissioners International Uniform Classification Guidelines for Foreign Substances, shall be assigned points as follows:

Penalty Class Points for
Controlled Medication
Points for
Noncontrolled Medication
Class A N/A 6
Class B 2 4
Class C 1/2, with incremental increases of 1/2 point for each additional violation within 365 days 1, with incremental increases of 1/2 point for each additional violation within 365 days
Class D 0 0

(2) The points assigned to a medication violation by the stewards or judges shall not be applied until a final adjudication of the enforcement of any such violation.

(3) A trainer’s cumulative points for violations in all racing jurisdictions shall be maintained by the Association of Racing Commissioners International. Once all appeals are waived or exhausted, the points shall immediately become part of the trainer’s official record and shall be considered by the Commission in its determination to subject the trainer to the mandatory enhanced penalties by the stewards or judges as provided in this regulation.

(4) If the Stewards, Judges, or Commission determine that the violation is due to environmental contamination, they may assign fewer or no points against the trainer based upon the specific facts of the case.

(5) Multiple positive tests for the same medication incurred by a trainer prior to delivery of the official notice by the laboratory 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 stewards or judges may treat each substance found as an individual violation for which points will be assigned.

(6) The stewards or judges 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.

(7) In addition to the penalty for the underlying offense, the following penalty shall be imposed upon a licensed trainer based upon the cumulative points contained in their official 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

(8) Multiple medication points are not a substitute for the current penalty system and are intended to be an additional uniform penalty when the licensee:

(a) Has more than one violation for the relevant time period; and

(b) Exceeds the permissible number of points.

(9) The suspension periods, as provided in §C(6) of this regulation, shall run consecutive to any suspension imposed for the underlying offense.

(10) The stewards’ or judges’ ruling shall distinguish between the penalty for the underlying offense and any penalty based upon a steward’s or judge’s review of a the trainer’s cumulative points and regulatory record, which may be considered an aggravating factor in a case.

(11) Points assigned to a trainer for a medication violation shall expire on the anniversary date of the date the suspension is completed as follows:

Penalty Classification Time to Expungement
A 3 years
B 2 years
C 1 year