††††† 811 KAR 1:095. Disciplinary measures and penalties.

 

††††† RELATES TO: KRS 230.215, 230.260, 230.265, 230.290, 230.300, 230.320

††††† STATUTORY AUTHORITY: KRS 230.215, 230.240, 230.260, 230.320

††††† NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) and 230.260(8) authorize the commission to promulgate administrative regulations prescribing the conditions under which horse racing shall be conducted in Kentucky. KRS 230.240(2) requires the commission to promulgate administrative regulations restricting or prohibiting the use and administration of drugs or stimulants or other improper acts to horses prior to the horse participating in a race. This administrative regulation establishes the disciplinary powers and duties of the judges and the commission.

 

††††† Section 1. Definitions. (1) "Associated person" means the spouse of an inactive person, or a companion, family member, employer, employee, agent, partnership, partner, corporation or other entity whose relationship, whether financial or otherwise, with an inactive person would give the appearance that the other person or entity would care for or train a horse, or perform veterinarian services on a horse for the benefit, credit, reputation, or satisfaction of the inactive person.

††††† (2) "Class A drug" means a drug, medication, or substance classified as a Class A drug, medication, or substance in the schedule.

††††† (3) "Class B drug" means a drug, medication, or substance classified as a Class B drug, medication, or substance in the schedule.

††††† (4) "Class C drug" means a drug, medication, or substance classified as a Class C drug, medication, or substance in the schedule.

††††† (5) "Class D drug" means a drug, medication, or substance classified as a Class D drug, medication, or substance in the schedule.

††††† (6) "Companion" means a person who cohabits with or shares living accommodations with an inactive person.

††††† (7) "Inactive person" means a trainer or veterinarian who has his or her license denied or suspended or revoked for thirty (30) or more days pursuant to 811 KAR Chapter 1 or KRS Chapter 230.

††††† (8) "NSAID" means a non-steroidal anti-inflammatory drug.

††††† (9) "Primary threshold" means the thresholds for phenylbutazone, flunixin, and ketoprofen provided in 811 KAR 1:090, Section 8(2)(c), (3)(c), and (4)(c), respectively.

††††† (10) "Schedule" means the Kentucky Horse Racing Commission Uniform Drug, Medication, and Substance Classification Schedule as provided in 811 KAR 1:093.

††††† (11) "Secondary threshold" means the thresholds for phenylbutazone and flunixin provided in 811 KAR 1:090, Section 8(6)(b) and (c).

††††† (12) "Withdrawal guidelines" means the Kentucky Horse Racing Commission Withdrawal Guidelines Standardbreds as provided in 811 KAR 1:093.

 

††††† Section 2. General Provisions. (1) An alleged violation of 811 KAR 1:090 shall be adjudicated in accordance with this administrative regulation, and with 811 KAR 1:100, 811 KAR 1:105, and KRS Chapter 13B.

††††† (2) If a drug, medication, or substance is found to be present in a pre-race or post-race sample or possessed or used by a licensee at a location under the jurisdiction of the commission that is not classified in the schedule, the commission may establish a classification after consultation with either or both of the Association of Racing Commissioners International and the Racing and Medication Consortium or their respective successors.

††††† (3) The judges and the commission shall consider any mitigating or aggravating circumstances properly presented when assessing penalties pursuant to this administrative regulation. Evidence of full compliance with the withdrawal guidelines shall be considered by the judges and the commission as a mitigating factor to be used in determining violations and penalties.

††††† (4) Pursuant to KRS 230.320, the commission may suspend or revoke the commission-issued license of an owner, trainer, veterinarian, or other licensee.

††††† (5) A licensee whose license has been suspended or revoked in any racing jurisdiction or a horse that has been deemed ineligible to race in any racing jurisdiction shall be denied access to locations under the jurisdiction of the commission during the term of the suspension or revocation.

††††† (6) A suspension or revocation shall be calculated in calendar days, unless otherwise specified by the judges or the commission in a ruling or order.

††††† (7) Written or printed notice of the assessment of a penalty, including a written warning, shall be made to the person penalized. The notice shall be posted immediately at the office of the association and sent to the commission, the United States Trotting Association, and the Association of Racing Commissioners International, or their successors, to be posted on their respective official Web sites. If an appeal is pending, that fact shall be so noted.

††††† (8) A horse administered a substance in violation of 811 KAR 1:090 may be required to pass a commission-approved examination pursuant to 811 KAR 1:020, Section 5, or be placed on the veterinarianís list pursuant to 811 KAR 1:090, Section 18.

††††† (9) A person who claims a horse may void the claim if the post-race test indicates a Class A, B, or C drug violation, or a TCO2 level exceeding 37.0 millimoles per liter and receive reimbursement for reasonable costs associated with the claim as provided in 811 KAR 1:035, Section 3(14)(a)(3).

††††† (10) To protect the racing public and ensure the integrity of racing in Kentucky, a trainer whose penalty for a prior Class A violation or for a prior Class B third offense violation under this administrative regulation has not been finally adjudicated may, if stall space is available, be required to house a horse that the trainer has entered in a race in a designated stall for the twenty-four (24) hour period prior to post time of the race in which the horse is entered. If the judges require the trainerís horse to be kept in a designated stall, there shall be twenty-four (24) hour surveillance of the horse by the association and the cost shall be borne by the trainer.

††††† (11) A veterinarian who has engaged in prohibited practices in violation of 811 KAR 1:090 shall be reported to the Kentucky Board of Veterinary Examiners and the state licensing board of veterinary medicine by the judges.

††††† (12) An administrative action or the imposition of penalties pursuant to this administrative regulation shall not constitute a bar or be considered jeopardy to prosecution of an act that violates the criminal statutes of Kentucky.

††††† (13) If a person is charged with committing multiple or successive overages involving a Class C or Class D drug, medication, or substance, the judges or the commission may charge the person with only one (1) offense if the person demonstrates that he or she was not aware that overages were being administered because the positive test results showing the overages were unavailable to the person charged. In this case, the person alleging that he or she was not aware of the overages shall bear the burden of proving that fact to the judges or the commission.

††††† (14) Any person who has been fined under this administrative regulation shall be suspended until the fine has been paid in full.

††††† (15) A fine shall not be paid directly or indirectly by a person other than the person upon whom it is imposed and any payment made shall not serve to abate or satisfy any penalty imposed.

††††† (16) Written or printed notice of the assessment of a penalty shall be made to the person penalized, notice shall be posted immediately at the office of the association, and notice shall be forwarded immediately to the office of the commission, the United States Trotting Association, and the Association of Racing Commissioners International by the presiding judge or clerk of the course.

††††† (17) If the penalty is for a driving violation and does not exceed in time a period of five (5) days, the driver may complete the engagement of all horses declared in before the penalty becomes effective. The driver may drive in stake, futurity, early closing and feature races, during a suspension of five (5) days or less, but the suspension shall be extended one (1) day for each date the driver drives in a race.

††††† (18) A horse shall not have the right to compete while owned or controlled wholly or in part by a person whose license has been suspended or revoked. An entry made by or for a licensee whose license has been suspended or revoked or for a horse which has been suspended shall be held liable for the entrance fee without the right to compete unless the penalty is removed.

††††† (19) An association shall not willfully allow a person whose license has been suspended or revoked to drive in a race, or a suspended or disqualified horse to start in a race or a performance against time.

††††† (20) An association shall not willfully allow the use of its track or grounds by a licensee whose license has been suspended or revoked, or a horse that has been suspended.

††††† (21) If a person is excluded from a pari-mutuel association by the association, the commission shall be notified.

††††† (22) A person subject to current suspension, revocation, or expulsion shall not act as an officer of an association. An association shall not, after receiving notice of the penalty, employ or retain in its employ an expelled, suspended, disqualified, or excluded person at or on the track during the progress of a race meeting.

††††† (23) A licensee that has been suspended shall serve any suspension imposed:

††††† (a) During the current race meet, if there are enough remaining days to serve out the suspension;

††††† (b) During the next regularly scheduled race meet at the operating race track where the infraction took place if there are not enough remaining days to serve out the suspension; or

††††† (c) During a race meet at another operating track in this state where the licensee seeks to engage in the activity for which he or she is licensed if the track where the infraction took place closes before another race meet is held at that track.

††††† (24) A penalty imposed by the United States Trotting Association or the racing commission, or other governing body, of any racing jurisdiction shall be recognized and enforced by the commission unless application is made for a hearing before the commission, during which the applicant shall show cause as to why the penalty should not be enforced against him in Kentucky.

 

††††† Section 3. Prior Offenses. A prior offense occurring in Kentucky or any other racing jurisdiction shall be considered by the judges and by the commission in assessing penalties. The judges shall attach to a penalty judgment a copy of the offenderís prior record listing violations that were committed both inside and outside of Kentucky.

 

††††† Section 4. Penalties for Violations Not Related To Drugs or Medications. (1) A licensee who commits a violation classified as a Category 1 violation shall be subject to the following penalties as deemed appropriate by the commission in keeping with the seriousness of the violation and the facts of the case:

††††† (a) A suspension or revocation of licensing privileges from zero days to thirty (30) days; and

††††† (b) Payment of a fine not to exceed $5,000.

††††† (2) A licensee who commits a violation classified as a Category 2 violation shall be subject to the following penalties as deemed appropriate by the commission in keeping with the seriousness of the violation and the facts of the case:

††††† (a) A suspension or revocation of licensing privileges from thirty (30) days to sixty (60) days; and

††††† (b) Payment of a fine not to exceed $10,000.

††††† (3) A licensee who commits a violation classified as a Category 3 violation shall be subject to the following penalties as deemed appropriate by the commission in keeping with the seriousness of the violation and the facts of the case:

††††† (a) A suspension or revocation of licensing privileges from sixty (60) days to permanent suspension or revocation; and

††††† (b) Payment of a fine up to $50,000.

††††† (4) A violation of 811 KAR Chapter 1 not otherwise specifically addressed shall be a Category 1 violation and shall be subject to the penalties set forth in subsection (1) of this section.

 

††††† Section 5. Penalties for Violations Relating to Class A, B, C, or D Drugs. (1) Class A drug. A horse that tests positive for a Class A drug shall be disqualified and listed as unplaced and all purse money shall be forfeited. In addition, a licensee who administers, or is a party to or responsible for administering a Class A drug to a horse, shall be subject to the following penalties as deemed appropriate by the commission in keeping with the seriousness of the violation and the facts of the case:

††††† (a) For a first offense:

††††† 1. A minimum one (1) year suspension, absent mitigating circumstances. The presence of aggravating factors may be used to impose a maximum of a three (3) year suspension or revocation. Section 9 of this administrative regulation shall apply to any person whose licensing privileges have been suspended or revoked; and

††††† 2. Payment of a fine of $5,000 to $10,000.

††††† (b) For a second offense:

††††† 1. A minimum three (3) year suspension or revocation, absent mitigating circumstances. The presence of aggravating factors may be used to impose a maximum of a five (5) year suspension or revocation. Section 9 of this administrative regulation shall apply to any person whose licensing privileges have been suspended or revoked; and

††††† 2. Payment of a fine of $10,000 to $20,000.

††††† (c) For a third lifetime offense in any racing jurisdiction:

††††† 1. A minimum five (5) year suspension or revocation, absent mitigating circumstances. The presence of aggravating factors may be used to impose a maximum of a lifetime revocation. Section 9 of this administrative regulation shall apply to any person whose licensing privileges have been suspended or revoked; and

††††† 2. Payment of a fine of $20,000 to $50,000.

††††† (d) Horse ineligible. A horse that tests positive for a Class A drug shall be ineligible to race in Kentucky as follows:

††††† 1. For a first offense, the horse shall be ineligible from zero days to sixty (60) days;

††††† 2. For a second offense in a horse owned by the same owner, the horse shall be ineligible from sixty (60) days to 180 days; and

††††† 3. For a third offense in a horse owned by the same owner, the horse shall be ineligible from 180 days to 240 days.

††††† (2) Class B drug. A horse that tests positive for a Class B drug shall be disqualified and listed as unplaced and all purse money shall be forfeited. In addition a licensee who administers, or is a party to or is responsible for administering a Class B drug to a horse shall be subject to the following penalties as deemed appropriate by the commission in keeping with the seriousness of the violation and the facts of the case:

††††† (a) For a first offense:

††††† 1. A minimum fifteen (15) day suspension, absent mitigating circumstances. The presence of aggravating factors may be used to impose a maximum of a sixty (60) day suspension. Section 9 of this administrative regulation shall apply to any person whose licensing privileges have been suspended or revoked; and

††††† 2. Payment of a fine of $500 to $1,000.

††††† (b) For a second offense within a 365-day period in any racing jurisdiction:

††††† 1. A minimum sixty (60) day suspension, absent mitigating circumstances. The presence of aggravating factors may be used to impose a maximum of a 180 day suspension. Section 9 of this administrative regulation shall apply to any person whose licensing privileges have been suspended or revoked; and

††††† 2. Payment of a fine of $1,000 to $2,500.

††††† (c) For a third offense within a 365-day period in any racing jurisdiction:

††††† 1. A minimum 180 day suspension, absent mitigating circumstances. The presence of aggravating factors may be used to impose a maximum of a one (1) year suspension. Section 9 of this administrative regulation shall apply to the person whose licensing privileges have been suspended or revoked; and

††††† 2. Payment of a fine of $2,500 to $5,000.

††††† (d) Horse ineligible. A horse that tests positive for a Class B drug shall be ineligible to race in Kentucky as follows:

††††† 1. For a first offense, the horse shall be ineligible from zero days to sixty (60) days;

††††† 2. For a second offense in a horse owned by the same owner, the horse shall be ineligible from sixty (60) days to 180 days; and

††††† 3. For a third offense in a horse owned by the same owner, the horse shall be ineligible from 180 days to 240 days.

††††† (3) Class C drug. A licensee who administers, or is a party to or is responsible for administering a Class C drug to a horse or an overage of a permitted NSAID shall be subject to the following penalties as deemed appropriate by the commission in keeping with the seriousness of the violation and the facts of the case:

††††† (a) For a first offense:

††††† 1. A suspension or revocation of licensing privileges from zero days to ten (10) days. Section 9 of this administrative regulation shall apply to any person whose licensing privileges have been suspended or revoked; and

††††† 2. Payment of a fine of $250 to $500.

††††† (b) For a second offense within a 365-day period:

††††† 1. A suspension or revocation of licensing privileges from ten (10) days to thirty (30) days. Section 9 of this administrative regulation shall apply to any person whose licensing privileges have been suspended or revoked; and

††††† 2. Payment of a fine of $500 to $1,000.

††††† (c) For a third offense within a 365-day period:

††††† 1. A suspension or revocation of licensing privileges from thirty (30) days to sixty (60) days. Section 9 of this administrative regulation shall apply to any person whose licensing privileges have been suspended or revoked; and

††††† 2. Payment of a fine of $1,000 to $2,500.

††††† (4) Multiple NSAIDs. A licensee who is responsible for an overage of two (2) of the permitted NSAIDs flunixin, ketoprofen, or phenylbutazone shall be subject to the following penalties as deemed appropriate by the commission in keeping with the seriousness of the violation and the facts of the case:

††††† (a) For violations where the concentrations of both of the two (2) permitted NSAIDs is above the primary thresholds:

††††† 1. For a first offense:

††††† a. A suspension or revocation of licensing privileges from zero days to sixty (60) days. Section 9 of this administrative regulation shall apply to a person whose licensing privileges have been suspended or revoked;

††††† b. Payment of a fine of $500 to $1,000; and

††††† c. Forfeiture of purse money won.

††††† 2. For a second offense within a 365-day period:

††††† a. A suspension or revocation of licensing privileges from sixty (60) days to 180 days. Section 9 of this administrative regulation shall apply to a person whose licensing privileges have been suspended or revoked;

††††† b. Payment of a fine of $1,000 to $2,500; and

††††† c. Forfeiture of purse money won.

††††† 3. For a third offense within a 365-day period:

††††† a. A suspension or revocation of licensing privileges from 180 days to one (1) year. Section 9 of this administrative regulation shall apply to a person whose licensing privileges have been suspended or revoked;

††††† b. Payment of a fine of $2,500 to $5,000; and

††††† c. Forfeiture of purse money won.

††††† (b) For violations where the concentration of one (1) of the two (2) permitted NSAIDs is above the primary threshold and one (1) of the two (2) permitted NSAIDs is above the secondary threshold:

††††† 1. For a first offense:

††††† a. A suspension or revocation of licensing privileges from zero days to fifteen (15) days. Section 9 of this administrative regulation shall apply to a person whose licensing privileges have been suspended or revoked;

††††† b. Payment of a fine of $250 to $750; and

††††† c. Forfeiture of purse money won.

††††† 2. For a second offense within a 365-day period:

††††† a. A suspension or revocation of licensing privileges from fifteen (15) days to thirty (30) days. Section 9 of this administrative regulation shall apply to a person whose licensing privileges have been suspended or revoked;

††††† b. Payment of a fine of $750 to $1,500; and

††††† c. Forfeiture of purse money won.

††††† 3. For a third offense within a 365-day period:

††††† a. A suspension or revocation of licensing privileges from thirty (30) days to sixty (60) days. Section 9 of this administrative regulation shall apply to a person whose licensing privileges have been suspended or revoked;

††††† b. Payment of a fine of $1,500 to $3,000; and

††††† c. Forfeiture of purse money won.

††††† (c) For violations where the concentrations of both of the two (2) permitted NSAIDs are below the primary threshold and both of the two (2) permitted NSAIDs are above the secondary threshold:

††††† 1. For a first offense within a 365-day period:

††††† a. A suspension or revocation of licensing privileges from zero to five (5) days. Section 9 of this administrative regulation shall apply to a person whose licensing privileges have been suspended or revoked; and

††††† b. Payment of a fine of $250 to $500.

††††† 2. For a second offense within a 365-day period:

††††† a. A suspension or revocation of licensing privileges from five (5) days to ten (10) days. Section 9 of this administrative regulation shall apply to a person whose licensing privileges have been suspended or revoked; and

††††† b. Payment of a fine of $500 to $1,000.

††††† 3. For a third offense within a 365-day period:

††††† a. A suspension or revocation of licensing privileges from ten (10) days to fifteen (15) days. Section 9 of this administrative regulation shall apply to a person whose licensing privileges have been suspended or revoked; and

††††† b. Payment of a fine of $1,000 to $2,500.

††††† (5) Class D drug.

††††† (a) The penalty for a violation involving a Class D drug shall be a written warning to the trainer and owner.

††††† (b) Multiple violations involving a Class D drug may result in the following penalties as deemed appropriate by the commission in keeping with the seriousness of the violation and the facts of the case:

††††† 1. A suspension of licensing privileges from zero days to five (5) days; and

††††† 2. Payment of a fine of not more than $250.

 

††††† Section 6. Out-of-Competition Testing. The penalties established in 811 KAR 1:240, Section 8, shall apply to violations involving the prohibited substances and practices described in Section 2 of that administrative regulation.

 

††††† Section 7. TCO2 penalties. A person who violates or causes the violation of 811 KAR 1:090, Section 20(6), (7), or (8), shall be subject to the following penalties as deemed appropriate by the commission in keeping with the seriousness of the violation and the facts of the case:

††††† (1) For a first offense involving a positive pre-race test result, the licensee shall be issued a warning.

††††† (2) For a first offense involving a positive post-race test result:

††††† (a) A suspension or revocation of licensing privileges from zero days to ninety (90) days. Section 9 of this administrative regulation shall apply to any person whose licensing privileges have been suspended or revoked; and

††††† (b) Payment of a fine of $1,000 to $1,500.

††††† (3) For a second offense involving a positive pre-race or post-race test result:

††††† (a) A suspension or revocation of licensing privileges from three (3) months to six (6) months. Section 9 of this administrative regulation shall apply to any person whose licensing privileges have been suspended or revoked;

††††† (b) Payment of a fine of $1,500 to $3,000; and

††††† (c) Forfeiture of purse money won.

††††† (4) For a third offense involving a positive pre-race or post-race test result:

††††† (a) A suspension or revocation of licensing privileges from six (6) months to one (1) year. Section 9 of this administrative regulation shall apply to any person whose licensing privileges have been suspended or revoked;

††††† (b) Payment of a fine of $3,000 to $5,000; and

††††† (c) Forfeiture of purse money won.

††††† (5) Subsequent offenses:

††††† (a) A suspension or revocation of licensing privileges from one (1) year up to a lifetime license revocation; and

††††† (b) Forfeiture of purse money won.

††††† (6) Horse ineligible. A horse that registers a TCO2 level in violation of 811 KAR 1:090 shall be ineligible to race in Kentucky as follows:

††††† (a) For a first offense, no period of ineligibility;

††††† (b) For a second offense, the horse shall be ineligible from fifteen (15) days to sixty (60) days;

††††† (c) For a third offense, the horse shall be ineligible from sixty (60) days to 180 days; and

††††† (d) For a fourth offense, the horse shall be ineligible from 180 days to one (1) year.

††††† (7) In any instance of a positive pre-race TCO2 test result, the horse shall be scratched.

 

††††† Section 8. Shock Wave Machine and Blood Gas Machine Penalties. A person who violates or causes a violation of 811 KAR 1:090, Section 20(5), (9), or (10), regarding a shock wave machine or blood gas machine shall be subject to the following penalties as deemed appropriate by the commission in keeping with the seriousness of the violation and the facts of the case:

††††† (1) For a first offense:

††††† (a) A suspension or revocation of licensing privileges from thirty (30) days to ninety (90) days;

††††† (b) Payment of a fine of $1,000 to $5,000; and

††††† (c) Forfeiture of purse money won.

††††† (2) For a second offense:

††††† (a) A suspension or revocation of licensing privileges from ninety (90) days to 180 days;

††††† (b) Payment of a fine of $5,000 to $10,000; and

††††† (c) Forfeiture of purse money won.

††††† (3) For a third offense:

††††† (a) A suspension or revocation of licensing privileges from 180 days to one (1) year;

††††† (b) Payment of a fine of $10,000 to $20,000; and

††††† (c) Forfeiture of purse money won.

 

††††† Section 9. Persons with a Suspended or Revoked License. (1) A person shall not train a horse or practice veterinary medicine for the benefit, credit, reputation, or satisfaction of an inactive person. The partners in a veterinary practice may provide services to horses if the inactive person does not receive a pecuniary benefit from those services.

††††† (2) An associated person of an inactive person shall not:

††††† (a) Assume the inactive personís responsibilities at a location under the jurisdiction of the commission;

††††† (b) Complete an entry form for a race to be held in Kentucky on behalf of or for the inactive person or an owner or customer for whom the inactive person has worked; or

††††† (c) Pay or advance an entry fee for a race to be held in Kentucky on behalf of or for the inactive person or an owner or customer for whom the inactive person has worked.

††††† (3) An associated person who assumes the responsibility for the care, custody, or control of an unsuspended horse owned (fully or partially), leased, or trained by an inactive person shall not:

††††† (a) Be paid a salary directly or indirectly by or on behalf of the inactive person;

††††† (b) Receive a bonus or any other form of compensation in cash, property, or other remuneration or consideration;

††††† (c) Make a payment or give remuneration or other compensation or consideration to the inactive person or associated person; or

††††† (d) Train or perform veterinary work for the inactive person or an owner or customer of the inactive person at a location under the jurisdiction of the commission.

††††† (4) A person who is responsible for the care, training or veterinary services provided to a horse formerly under the care, training or veterinary services of an inactive person shall:

††††† (a) Bill customers directly on his or her bill form for any services rendered at or in connection with any race meeting in Kentucky;

††††† (b) Maintain a personal checking account totally separate from and independent of that of the inactive person to be used to pay expenses of and deposit income from an owner or client of the inactive person;

††††† (c) Not use the services, directly or indirectly, of current employees of the inactive person; and

††††† (d) Pay bills related to the care, training and racing of the horse from a separate and independent checking account. Copies of the invoices for the expenses shall be retained for not less than six (6) months after the date of the reinstatement of the license of the inactive person or the expiration of the suspension of the inactive personís license.

 

††††† Section 10. Other Disciplinary Measures. (1) A person who violates 811 KAR 1:090, Section 6, regarding furosemide on race day shall be treated the same as a person who has committed a Class C drug violation.

††††† (2) A person who violates 811 KAR 1:090, Section 8(6), for administering a non-steroidal anti-inflammatory drug other than phenylbutazone or flunixin shall be treated the same as a person who has committed a Class C drug violation.

††††† (3) A person who violates 811 KAR 1:090, Section 20(2), shall be treated the same as a person who has committed a drug violation of the same class, as determined by the commission after consultation with the Equine Drug Research Council.

††††† (4) A person who violates 811 KAR 1:090, Section 20(3), shall be treated the same as a person who has committed a Class A drug violation.

††††† (5) An association in violation of Section 2(19), (20), (21), or (22) of this administrative regulation shall, together with its officers, be subject to a suspension or revocation of licensing privileges for up to thirty (30) days and payment of a fine up to $5,000 in keeping with the seriousness of the violation and the facts of the case.

 

††††† Section 11. Disciplinary Measures by Judges. Upon finding a violation or an attempted violation of 811 KAR Chapter 1 or KRS Chapter 230, if not otherwise provided for in this administrative regulation, the judges may impose one (1) or more of the following penalties:

††††† (1) If the violation or attempted violation may affect the health or safety of a horse or race participant, or may affect the outcome of a race, declare a horse or a licensee ineligible to race or disqualify a horse or a licensee in a race;

††††† (2) Suspend or revoke a personís licensing privileges for a period of time of not more than five (5) years in proportion to the seriousness of the violation and the facts of the case;

††††† (3) Cause a person, licensed or unlicensed, found to have interfered with, or contributed toward the interference of the orderly conduct of a race or race meeting, or person whose presence is found by the judges to be inconsistent with maintaining the honesty and integrity of the sport of horse racing, to be excluded or ejected from association grounds or from a portion of association grounds; and

††††† (4) Payment of a fine in an amount not to exceed $50,000 as deemed appropriate by the commission in keeping with the seriousness of the violation and the facts of the case.

 

††††† Section 12. Disciplinary Measures by the Commission. (1) Upon finding a violation or an attempted violation of 811 KAR Chapter 1 or KRS Chapter 230, if not otherwise provided for in this administrative regulation, the commission may impose one (1) or more of the following penalties:

††††† (a) If the violation or attempted violation may affect the health or safety of a horse or race participant, or may affect the outcome of a race, declare a horse or a licensed person ineligible to race or disqualify a horse or a licensed person in a race;

††††† (b) Suspend or revoke a personís licensing privileges for a period of time of not more than five (5) years in proportion to the seriousness of the violation;

††††† (c) Cause a person found to have interfered with or contributed toward the interference of the orderly conduct of a race or race meeting, or person whose presence is found by the commission to be inconsistent with maintaining the honesty and integrity of horse racing, to be excluded or ejected from association grounds or a portion of association grounds; and

††††† (d) Payment of a fine of up to $50,000 as deemed appropriate by the commission in keeping with the seriousness of the violation and the facts of the case.

††††† (2) Upon appeal of a matter determined by the judges the commission may:

††††† (a) Order a hearing de novo of a matter determined by the judges; and

††††† (b) Reverse or revise the judges' ruling in whole or in part, except as to findings of fact by the judges' ruling regarding matters that occurred during or incident to the running of a race and as to the extent of disqualification fixed by the judges for a foul in a race. (KTC 1-8 (Rule 22); 1 Ky.R. 1114; eff. 6-11-1975; 33 Ky.R. 962; 3396; eff. 6-1-2007; 35 Ky.R. 1083, 1798, eff. 2-6-2009; 38 Ky.R. 2077; 39 Ky.R. 237; eff. 8-31-2012.)