Guidance of the Horseracing Integrity and Safety Authority: Multiple Controlled Medication Rule Violations Prior to Notice

Pursuant to 15 U.S.C. § 3054(g), the Horseracing Integrity and Safety Authority (“HISA”) issues the following guidance concerning the Rule 3000 Series, “Equine Anti-Doping and Controlled Medication Protocol”.

Background: The Horse Racing Integrity and Safety Act (the “Act”) provides that the Authority shall “establish uniform rules, in accordance with section 3053 [of the Act], imposing civil sanctions against covered persons or covered horses for safety, performance, and anti-doping and medication control rule violations”, 15 U.S.C. §3057(d). Rule 3323(d)(1), copied below, stipulates certain rules that apply in circumstances where multiple Controlled Medication Rule Violations are committed in quick succession, prior to the Covered Person receiving notice from HIWU of the same.

“Rule 3323. Ineligibility and Financial Penalties for Covered Persons
[…]

(d) Additional rules for certain multiple violations.

(1) Multiple violations for the same Controlled Medication Substance/Method incurred by a Covered Person in relation to the same Covered Horse prior to delivery of an ECM Notice may (at the Agency's discretion) be treated together as a single Controlled Medication Rule Violation, unless the facts demonstrate that there was more than one administration. Multiple violations for the same Controlled Medication Substance/Method incurred by a Covered Person in relation to different Covered Horses prior to delivery of an ECM Notice may each be treated as a first Controlled Medication Rule Violation within the relevant category/class. Where multiple Controlled Medication Substances are detected in a single Post-Race Sample or Post-Work Sample, each Controlled Medication Substance may be treated as a separate violation and assigned separate penalty points”.

As set out above, where there are multiple violations for the same Controlled Medication Substance or Controlled Medication Method in relation to the same Covered Horse prior to the delivery of a notice regarding any such violation, all of those violations may (at the Agency’s discretion) be treated together as a single Controlled Medication Rule Violation. However, if the same occurs in relation to different Covered Horses, each violation may be treated separately as a first Controlled Medication Rule Violation. In such circumstances, the sanction for each violation would be added together and served consecutively. The penalty points for each such violation would also be added together and may, depending on the circumstances, lead to additional sanctions pursuant to Rule 3328.

GUIDANCE – September 8, 2023

The Authority considers that the same conduct (e.g., the same mistake resulting in a medication overage) repeated by a Covered Person in relation to different horses should not be punished more severely than where the same conduct is repeated in relation to one horse, because that would have the effect of punishing Covered Persons with a greater number of horses under their care more severely than those who have only one (or fewer) horses under their care.

As a consequence, where there are multiple violations concerning the same Controlled Medication Substance or Controlled Medication Method prior to delivery of notification of any such violation, the Authority considers it fair and appropriate for the Agency to have discretion to treat those violations together as a single Controlled Medication Rule Violation.

The Authority does not consider that any change should be made to the equivalent provision applicable to Anti-Doping Rule Violations (Rule 3228(c)(1)) because Banned Substances and Banned Methods are prohibited at all times and therefore the administration of the same Banned Substances or same Banned Method to different horses prior to notice cannot be considered a mistake that warrants lesser penalties.

Guidance: Considering the background set out above, Rule 3323(d)(1) shall be enforced by HIWU in the following manner: Multiple violations for the same Controlled Medication Substance/Method committed by a Covered Person in relation to the same or different Covered Horse(s) prior to delivery of an ECM Notice shall be treated together as a single Controlled Medication Rule Violation. However, the enforcement of multiple Controlled Medication Substances being detected in a single Sample shall be unchanged as set forth in the last sentence of Rule 3323(d)(1).