WSR 05-07-064

PERMANENT RULES

HORSE RACING COMMISSION


[ Filed March 11, 2005, 4:07 p.m. , effective April 11, 2005 ]


Purpose: To amend chapter 260-84 WAC by changing the name of the chapter from "Fines and Suspensions" to "Penalties," to move the penalty matrix from WAC 260-24-510 to this chapter and to move penalties in chapter 260-70 WAC to this chapter.

Citation of Existing Rules Affected by this Order: Repealing WAC 260-84-010, 260-84-020 and 260-84-030; and amending WAC 260-84-050, 260-84-060, and 260-84-070.

Statutory Authority for Adoption: RCW 67.16.020 and 67.16.040.

Adopted under notice filed as WSR 05-04-083 on February 2, 2005.

Changes Other than Editing from Proposed to Adopted Version: WAC 260-84-060, the time periods were removed from the penalty matrix, penalties added for issuing a bad check to the commission, for failing to follow the instructions of an outrider and for failing to complete a provisional owners license; WAC 260-84-100, penalties for furosemide changed and within a 365 day period added; WAC 260-84-110, penalties changed, within a 365 day period and requirement that stewards consider mitigating circumstances added; and WAC 260-84-120, penalties changed and within a 365 day period added.

Number of Sections Adopted in Order to Comply with Federal Statute: New 0, Amended 0, Repealed 0; Federal Rules or Standards: New 0, Amended 0, Repealed 0; or Recently Enacted State Statutes: New 0, Amended 0, Repealed 0.

Number of Sections Adopted at Request of a Nongovernmental Entity: New 0, Amended 0, Repealed 0.

Number of Sections Adopted on the Agency's Own Initiative: New 5, Amended 3, Repealed 3.

Number of Sections Adopted in Order to Clarify, Streamline, or Reform Agency Procedures: New 5, Amended 3, Repealed 3.

Number of Sections Adopted Using Negotiated Rule Making: New 5, Amended 3, Repealed 3; Pilot Rule Making: New 0, Amended 0, Repealed 0; or Other Alternative Rule Making: New 0, Amended 0, Repealed 0.

Date Adopted: March 10, 2005.

R. M. Leichner

Executive Secretary

OTS-7671.6

Chapter 260-84 WAC

((FINES AND SUSPENSIONS)) PENALTIES


AMENDATORY SECTION(Amending Rules of racing, filed 4/21/61)

WAC 260-84-050   Suspensions -- Computation of time.   All suspensions for a specified period of time ((to be considered)) shall be in calendar days. Rulings ((to)) shall show the first and last day of suspension.

[Rules of racing, 137, filed 4/21/61.]


AMENDATORY SECTION(Amending Rules of racing, filed 4/21/61)

WAC 260-84-060   ((General)) Penalty matrixes.   ((Violators of any rule shall be subject to ejection from the grounds and/or to fine, suspension or to be ruled off.)) (1) The imposition of reprimands, fines and suspensions shall be based on the following penalty matrixes:


Class A B Licensed Facilities
1st Offense 2nd Offense 3rd Offense or subsequent offense
Smoking in restricted areas WAC 260-20-030 $25 $50 $100
Disturbing the peace WAC 260-80-140 Warning to $200 and/or suspension Warning to $500 and/or suspension Suspension
Person performing duties for which they are not licensed WAC 260-36-010 $50 $100 $150
Unlicensed or improperly licensed personnel (trainer's responsibility) WAC 260-28-230 $500
Licensing - failure to divulge a felony WAC 260-36-120 $100 or possible denial of license
Licensing - failure to divulge a gross misdemeanor or misdemeanor WAC 260-36-120 Warning to $50
Licensing - providing false information on application WAC 260-36-120 $50 to $250 or possible denial of license
Licensing - nonparticipation WAC 260-36-080 License canceled
Violation of any claiming rule in chapter 260-60 WAC $200 to $500 plus possible suspension
Use of improper, profane or indecent language to a racing official WAC 260-80-130 $50 $100 $250
Unsafe vehicle operation WAC 260-20-020 Warning to $50 $100 and recommend racing association revoke vehicle pass
Financial responsibility WAC 260-28-030 Resolve 30 days or before the end of the meet (whichever is sooner) to resolve or suspension
Failure to appear - hearing WAC 260-24-510 Suspension pending appearance
Failure to honor riding engagements (call) - agents WAC 260-32-400 $75 $100 $200
Reporting incorrect weight - jockeys WAC 260-32-150 $50 $100 $200
Failure to appear for films - jockeys WAC 260-24-510 $50 $100 $200
Failure to fulfill riding engagement WAC 260-32-080 $100 $150 $200
Easing mount without cause WAC 260-52-040 $250 $250 and/or suspension $500 and/or suspension
Jockey failing to maintain straight course or careless riding WAC 260-52-040 Warning to $750 and/or suspension (riding days)
Jockey's misuse of whip WAC 260-52-040 Warning to $2500
Use of stimulating device (may include batteries) WAC 260-52-040 1 year suspension plus mandatory referral to commission for revocation
Possession of stimulating device (may include batteries) WAC 260-52-040 and 260-80-100 1 year suspension plus mandatory referral to commission for revocation
Offering or accepting a bribe in an attempt to influence the outcome of a race WAC 260-80-010 and 260-80-020 1 year suspension plus mandatory referral to commission for revocation
Entering ineligible horse WAC 260-80-030 $50 $100 $100
Arriving late to the paddock WAC 260-28-200 Warning to $50 Warning to $50 $50 to $100
Failure to have registration papers on file - resulting in a scratch WAC 260-40-090 $50 to $100 $100 $100
Failure to handle business properly - late equipment change, etc. WAC 260-44-010 Warning to $50 $100 $100
Failure to report the correct name of a horse working WAC 260-40-100 Warning to $50 $100 $150
Insufficient workouts - resulting in scratch WAC 260-40-100 $50 to $100 $100 $100

Class C Licensed Facilities
1st Offense 2nd Offense 3rd Offense or subsequent offense
Smoking in restricted areas WAC 260-20-030 $25 $50 $100
Disturbing the peace WAC 260-80-140 Warning to $100 and/or suspension $250 and/or suspension Suspension
Person performing duties for which they are not licensed WAC 260-36-010 $50 $100 $150
Unlicensed or improperly licensed personnel (trainer's responsibility) WAC 260-28-230 $100
Licensing - failure to divulge a felony WAC 260-36-120 $100 or possible denial of license
Licensing failure to divulge a misdemeanor or gross misdemeanor WAC 260-36-120 Warning to $25
Licensing - providing false information on application WAC 260-36-120 $50 to $250 or possible denial of license
Licensing - nonparticipation WAC 260-36-080 License canceled
Violation of any claiming rule in chapter 260-60 WAC $100 to $250 plus possible suspension
Use of improper, profane or indecent language to a racing official WAC 260-80-130 $50 $100 $250
Unsafe vehicle operation WAC 260-20-020 Warning to $50
Financial responsibility WAC 260-28-030 Resolve 30 days or before the end of the fall meet (whichever is sooner) to resolve or suspension
Failure to appear - hearing WAC 260-24-510 Suspension pending appearance
Failure to honor riding engagements (call) - agents WAC 260-32-400 $25 $50 $100
Reporting incorrect weight - jockeys WAC 260-32-150 $25 $50 $100
Failure to appear for films - jockeys WAC 260-24-510 $25 $50 $100
Failure to fulfill riding engagement WAC 260-32-080 $50 $100 $200
Easing mount without cause WAC 260-52-040 $100 $200 and/or suspension $400 and/or suspension
Jockey failing to maintain straight course or careless riding WAC 260-52-040 Warning to $750 and/or suspension (riding days)
Jockey's misuse of whip WAC 260-52-040 Warning to $2500
Use of stimulating device (may include batteries) WAC 260-52-040 1 year suspension plus mandatory referral to commission for revocation
Possession of stimulating device (may include batteries) WAC 260-52-040 and 260-80-100 1 year suspension plus mandatory referral to commission for revocation
Offering or accepting a bribe in an attempt to influence the outcome of a race WAC 260-80-010 and 260-80-020 1 year suspension plus mandatory referral to commission for revocation
Entering ineligible horse WAC 260-80-030 $25 $50 $50
Arriving late to the paddock WAC 260-28-200 Warning to $25 $50 $50
Failure to have registration papers on file - resulting in a scratch WAC 260-40-090 $50 $100 $100
Failure to handle business properly - late equipment change, etc. WAC 260-44-010 Warning to $50 $50 $50

Class A, B C Licensed Facilities
1st Offense 2nd Offense 3rd Offense or subsequent offense
Engaging in the illegal sale or distribution of alcohol WAC 260-34-045 30 day suspension 1 year suspension plus mandatory referral to commission for revocation
Using an illegal controlled substance other than marijuana WAC 260-34-045 30 day suspension 1 year suspension plus mandatory referral to commission for revocation
Being under the influence of alcohol and/or drugs WAC 260-34-045 Warning to 1 day suspension 3 day suspension 30 day suspension (1 year suspension plus mandatory referral to the commission for revocation for 4th offense)
Possession or use of marijuana WAC 260-34-045 3 day suspension 30 day suspension 1 year suspension plus mandatory referral to commission for revocation
Illegal possession of any felony drug or controlled substance WAC 260-34-045 1 year suspension plus mandatory referral to commission for revocation
Refusal to submit to a drug or alcohol test WAC 260-34-045 and 260-34-060 1 year suspension plus mandatory referral to commission for revocation
Possession of any equipment or material used for the manufacture or distribution of any drug or controlled substance, or engaging in the sale, manufacture or distribution of any drug or controlled substance on the grounds WAC 260-08-150 Immediate ejection from the grounds and mandatory referral to the commission for revocation
Tampering with a fire protection, prevention or suppression system or device WAC 260-20-030 $50 $100 $250 plus possible suspension
Failure to post problem gambling signs WAC 260-12-250 $50 $100 $200
Issuing a check to the commission with not sufficient funds WAC 260-28-030 $25 $50 $100
Failure to follow instructions of the outrider WAC 260-12-690 $50 $100 $200
Failure to complete provisional license application within fourteen days WAC 260-36-200 Warning to $100 and denial of license $250 and denial of license $500 and denial of license
Failure to pay or default on L&I payment WAC 260-28-220 Suspension until paid plus $25 for each quarter payment is late
Failure to maintain employee L&I records for grooms and assistant trainers (trainer's responsibility) WAC 260-28-230 Warning to $50
Unlicensed person on the backside WAC 260-20-040 Report violation to the racing association

(2) In determining whether an offense is a first, second, third or subsequent offense, the commission, or designee shall include violations, which occurred in Washington as well as any other recognized racing jurisdiction.

(3) For any other violation not specifically listed above, the stewards shall have discretion to impose the penalties as provided in WAC 260-24-510 (3)(b). For violations considered minor, the fine can be up to $500 and/or suspension for up to sixty days. Fines for violations considered major can be up to $2,500 and/or suspension up to one year.

(4) Circumstances which may be considered for the purpose of mitigation or aggravation of any penalty shall include, but are not limited to, the following:

(a) The past record of the licensee or applicant;

(b) The impact of the offense on the integrity of the parimutuel industry;

(c) The danger to human and/or equine safety;

(d) The number of prior violations of the rules of racing or violations of racing rules in other jurisdictions; and/or

(e) The deterrent effect of the penalty imposed.

(5) For violations covered by chapter 260-70 WAC, Medication, the stewards shall follow the penalty guidelines as set forth in WAC 260-84-090.

(6) 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. A stewards' ruling shall not prevent the commission from imposing a more severe penalty.

[Rules of racing, 381, filed 4/21/61.]


AMENDATORY SECTION(Amending Rules of racing, filed 4/21/61)

WAC 260-84-070   Ejectment from grounds -- Permission to reenter.   Any person ejected from the grounds of an association shall be denied admission to said grounds until permission ((for this reentering)) to reenter has been obtained ((and approved by)) from the commission, or its designee.

[Rules of racing, 382, filed 4/21/61.]


NEW SECTION
WAC 260-84-090   Medication and prohibited substances -- Penalties -- Guidelines.   Upon a finding of a violation of the medication and prohibited substances rules in chapter 260-70 WAC, the stewards shall consider the classification level of the medication, drug or substance as established in WAC 260-70-680 prior to imposing a penalty. The stewards shall also consult with an official veterinarian to determine the nature and seriousness of the laboratory finding or the medication violation and whether the violation was a result of the administration of a therapeutic medication as documented in a veterinarian's report received per WAC 260-70-540. A lesser penalty than that established in WAC 260-84-110 may be imposed if a majority of the stewards determine that mitigating circumstances warrant a lesser penalty. If a majority of the stewards determine a greater penalty is appropriate or that a penalty in excess of the authority granted them is appropriate, they may impose the maximum penalty authorized and refer the matter to the commission with specific recommendations for further action. In determining if there are mitigating circumstances surrounding a medication violation for substances referred to in chapter 260-70 WAC, at least the following shall be considered:

(1) The past record of the trainer and/or veterinarian in medication/drug cases;

(2) The potential of the medication/drug to influence a horse's racing performance;

(3) The availability of the medication/drug;

(4) Whether there is reason to believe the responsible party knew of the administration of the medication/drug used;

(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 medication found was one for which the horse was receiving a treatment as determined by the veterinarian report(s);

(9) Whether there was any suspicious betting pattern in the race; and

(10) Whether the presence of the medication/drug in urine was confirmed in serum or plasma.

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NEW SECTION
WAC 260-84-100   Furosemide penalties.   (1) Penalties shall be assessed against any person found to be responsible or party to the improper administration of furosemide or failure to administer furosemide when required, in chapter 260-70 WAC as follows:

Fine not to exceed three hundred dollars. Multiple violations by an individual within a three hundred sixty-five day period may be referred to the commission for further action, which may include an additional fine or suspension.

(2) Equine medication violations from Washington and all recognized racing jurisdictions, shall be considered when assessing penalties.

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NEW SECTION
WAC 260-84-110   Penalties for uniform classifications.   (1) Penalties shall be assessed against any person found to be responsible or party to the improper administration of a drug or the intentional administration of a drug resulting in a positive test. In assessing penalties under this section, violations in the last three hundred sixty-five days from Washington and all recognized racing jurisdictions shall be considered.

(a) Class 1 - One to five year suspension and at least $5,000 fine and loss of purse.

(b) Class 2 - Six months to one year suspension and $1,500 to $2,500 fine and loss of purse.

(c) Class 3 - Sixty days to six months suspension and up to $1,500 fine and possible loss of purse.

(d) Class 4 - Zero to sixty days suspension and up to $1,000 fine and possible loss of purse.

(e) Class 5 - Warning to fifteen days suspension with a possible loss of purse and/or fine.

(2) A lesser penalty may be imposed if a majority of the stewards determine that mitigating circumstances, as outlined in WAC 260-70-090 exist.

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NEW SECTION
WAC 260-84-120   Penalties relating to permitted medication.   (1) Should the laboratory analysis of serum or plasma taken from a horse show the presence of more than one approved nonsteroidal anti-inflammatory drug (NSAID) in violation of these rules the following penalties shall be assessed:

(a) For a first offense within a three hundred sixty-five day period - Fine not to exceed $300;

(b) For a second offense within a three hundred sixty-five day period - Fine not to exceed $750;

(c) For a third offense within a three hundred sixty-five day period - Fine not to exceed $1,000.

(2) Should the laboratory analysis of serum or plasma taken from a horse show the presence of phenylbutazone in excess of the quantities authorized by this rule, the following penalties shall be assessed:


Concentration 1st offense within 365 days 2nd offense within 365 days 3rd and subsequent offenses within 365 days
> 5.0 but < 6.5 mcg/ml Warning Fine not to exceed $300 Fine not to exceed $500
≥ 6.5 but < 10.0 mcg/ml Fine not to exceed $300 Fine not to exceed $500 Fine not to exceed $1000
≥ 10.0 mcg/ml Fine not to exceed $500 Fine not to exceed $1000 Fine not to exceed $2500 and possible suspension

(3) Detection of any unreported permitted medication, drug, or substance by the primary testing laboratory may be grounds for disciplinary action.

(4) As reported by the primary testing laboratory, failure of any test sample to show the presence of permitted medication, drug or substance when such permitted medication, drug or substance was required to be administered may be grounds for disciplinary action.

(5) In assessing penalties for equine medication, violations from Washington and all recognized racing jurisdictions shall be considered.

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NEW SECTION
WAC 260-84-130   Penalties for prohibited practices.   For a person found to be responsible for or party to violation of WAC 260-70-545, including the treating veterinarian, the following penalties shall be assessed:

(1) For violations of WAC 260-70-545, except WAC 260-70-545 (4)(b);

(a) For first offense - Thirty day suspension and $1,000 fine;

(b) For second offense - Sixty day suspension and $2,000 fine;

(c) For third offense - One year suspension, $2,500 fine and a mandatory referral to the commission.

(2) For violations of WAC 260-70-545 (4)(b), the person found to be responsible for or party to the violation, including the treating veterinarian shall be suspended for one year, shall pay a $2,500 fine and there shall be a mandatory referral to the commission.

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REPEALER

     The following sections of the Washington Administrative Code are repealed:
WAC 260-84-010 Who may impose.
WAC 260-84-020 Report to commission.
WAC 260-84-030 Fines -- When due.

Washington State Code Reviser's Office