in-20250903-IR-071250147FRA: DIGEST ARCI COMPLIANCE UPDATES; BREEDING STANDARDS

Final Rule LSA Document #25-147 DIGEST Sec. 9. The commission executive director shall appoint hire judges, all of whom shall be employees of the commission. To qualify for appointment employment as a judge, the appointee employee shall be accredited as a racing official by the Racing Officials Accreditation Program administered by the Universities of Arizona and Louisville or shall meet the experience, education, and examination requirements necessary to be accredited by an entity designated by the ARCI, or, in the case of harness racing, be licensed as a judge by the United States Trotting Association. Exceptions for emergencies may be permitted. Sec. 10. The commission executive director shall appoint hire stewards, all of whom shall be employees of the commission. To qualify for appointment employment as a steward, the appointee employee shall be accredited as a racing official by the Racing Officials Accreditation Program administered by the Universities of Arizona and Louisville or shall meet the experience, education, and examination requirements necessary to be accredited by an entity designated by the ARCI. Exceptions for emergencies may be permitted. Sec. 9. (a) An association shall provide lighting for the race track racetrack and the patron facilities that is adequate to ensure the safety and security of the patrons, licensees, and horses. Lighting to ensure the proper operation of the videotape and photo finish equipment must be approved by the commission. (b) An association shall provide adequate additional lighting in the stable area as required by the commission. (c) If an association conducts racing at night, the association shall maintain a back-up lighting system that is sufficient to ensure the safety of race participants and patrons. (d) If the track goes dark during the running of a race, the race may be ruled no contest if in the judges' opinion the contest or finish was compromised. (e) An association shall provide a three-light system of green, yellow, and red beacon style warning lights and sirens for use in the event of an accident. Sec. 1. (a) A registration certificate of current ownership, together with the application for transfer thereon duly endorsed by all registered owners, must be filed in the office of the racing secretary for all horses claimed within a reasonable time after the race from which the horse was claimed. (b) The price allowances that govern for claiming races must be approved by the commission. Claiming prices recorded on past performance lines in the daily race program shall not include allowances. (c) The claiming price, including any allowances, of each horse shall be printed on the official program adjacent to the horse's program number and claims shall be for the amount designated, subject to correction if printed in error. (d) In handicap claiming races, in the event of an also eligible horse moving into the race, the also eligible horse shall take the place of the horse that it replaces provided that the handicap is the same. In the event the handicap is different, the also eligible horse shall take the position on the outside of horses with a similar handicap, except when the horse that is scratched is a trailing horse, in which case the also eligible horse shall take the trailing position, regardless of its handicap. In handicap claiming races with one (1) trailer, the trailer shall be determined as the fourth best post position. (e) To be eligible to be claimed, a horse must start in the event in which it has been declared to race. For the purposes of this rule, a horse shall be deemed to have started if it is behind the gate when the field is released at the starting point by the starter. The racing secretary or his or her designee is responsible to process claims within three (3) business days from the date of which the claim occurred. (f) Any: (g) Claiming certificates expire at the end of the race meeting for which they are granted. These certificates may be applied for at the commission's licensing office no later than ninety (90) minutes prior to post time for the first race on any day of racing. To be eligible for a claiming certificate, a person must complete the licensing process as an owner under 71 IAC 5-2 and pay the appropriate fees. The photo identification badge shall be withheld until the person becomes a successful claimant. (h) A person not previously licensed by the commission within the last two (2) years must apply for a claiming certificate via fax, mail, electronically, or in person. (i) A claim shall be voided, and ownership of the horse retained by the owner at the time of entry, if a horse is a starter and the horse: Sec. 5. (a) The conditions for eligibility to a race may not be changed once entries are taken, except that an error may be corrected with the consent of the judges. (b) No change in trainers of a horse, entered and drawn to start, will be permitted. In the event of such change, the horse will be scratched and the parties responsible therefore shall be subject to fine or suspension. A change in ownership may be permitted with the approval of the judges in condition races only. There shall be no change in ownership on a horse entered in a claiming race. No change in ownership of a horse is permitted after the horse has been entered and drawn to start. In the event of such a change, the horse will be scratched and the parties responsible shall be subject to penalties. (c) No owner shall list as the trainer of a horse a person who is not in fact the trainer of such horse, and no trainer shall allow his or her name to be shown on the declaration form nor the official program as trainer of a horse which he or she does not in fact have under his or her care and supervision as trainer of the horse. The judges may require proof that a person listed as the trainer of a horse is in fact the actual trainer of that horse. Sec. 15. (a) An owner or trainer shall not enter or start a horse that: (b) A horse drawn into a race that is on the judge's or vet's list shall be scratched. (c) A horse shall not start at an Indiana pari-mutuel track in a wagering or nonwagering non-wagering event without having not raced in the last forty-five (45) days, a satisfactory charted line in qualifying time in the last forty-five (45) days, race date to race date. Sec. 38. (a) Should an accident or malfunction of the starting gate, or other unforeseeable event compromise the fairness of the race or the safety of the race participants, the judges may declare individual horses to be non-starters, exclude individual horses from all pari-mutuel pools, or declare a no contest and refund all wagers except as otherwise provided in the rules involving multi-race wagers. (b) The following items shall be considered before the judges can declare a heat or a race a no contest: Sec. 5. Furosemide may be administered intravenously to a horse which is entered to compete in a race. Except under the instructions of the official veterinarian or the racing veterinarian for the purpose of removing a horse from the veterinarian's list or to facilitate the collection of a post-race urine sample, furosemide shall be permitted only after the official veterinarian has placed the horse on the furosemide list. In order for a horse to be placed on the furosemide list, the following process must be followed: Sec. 4.2. The official blood (serum or plasma), hair, and urine samples may contain only the following therapeutic medications or their metabolites or analogues, and shall not exceed the threshold concentrations specified in this rule: Sec. 5. (a) Any horse eligible to race in Indiana under this subsection is subject to testing without advance notice for prohibited substances, practices, and procedures as specified in subsection (f), while the horse is located on the grounds of a racetrack under the jurisdiction of the commission, or stabled off association grounds while under the care or control of a trainer or an owner licensed by the commission under the restrictions listed in subsection (e). A horse is eligible to race in Indiana if it is listed: (b) If a horse selected to be tested is not covered under subsection (a), the executive director or stewards may nevertheless test any such horse as eligible to race in Indiana for prohibited substances, practices, and procedures specified in subsection (f), unless the owner or trainer or other authorized representative or designee of such horse immediately represents in writing that the horse is not intended to be, and will not be, raced in Indiana for a minimum of three hundred sixty-five (365) days. If the owner, trainer, or other authorized representative or designee so represents, the horse shall be deemed ineligible for racing in Indiana for no less than three hundred sixty-five (365) days from that date. This three hundred sixty-five (365) day ineligibility to race in Indiana shall follow the horse even if sold or transferred to another owner or trainer. An owner or a trainer may, however, consent to the collection of a sample from a horse selected for testing under this rule, even if the horse is not presently intended to be raced in Indiana, and if such horse tests negative, it will remain eligible to race in Indiana. (c) The executive director or stewards may order any horse of a licensed trainer or owner to report to a track under the jurisdiction of the commission for out of competition testing. The trainer or owner is responsible to have the horse or horses available at the designated time and location. In the event that a horse is ordered to report to a track pursuant to the authority granted by this subsection, a licensed trainer or owner is entitled to reimbursement by the commission for mileage (at the current rate paid by the state of Indiana as specified in the current Indiana financial management circular) to and from the location where the horse was stabled when the horse was ordered to report to the track. Under no circumstances will a trainer or an owner be entitled to reimbursement for mileage in excess of the actual mileage to the track from the place where the horse was stabled when ordered to report and from the track to the place where the horse is first stabled following the testing. The trainer or owner is not entitled to receive reimbursement from the commission for any other expense relating to any order under this subsection to report to a track for out of competition testing. (d) The official veterinarian, a licensed veterinarian authorized by the commission, or a veterinary technician under the direct supervision of the official veterinarian or a licensed veterinarian authorized by the commission may take a urine, blood, or hair sample from a horse for testing as provided for in this section. (e) Unless sample collection occurs on the grounds of a racetrack or other location within Indiana under the commission's jurisdiction, the commission's representatives may arrive at a reasonable time for the taking of blood, urine, or hair samples from an eligible horse, as defined in subsection (a) or (b), after announcing their presence at the premises where the horse or horses to be tested are located and showing their credentials to collect samples from the horse or horses selected for testing for prohibited substances, practices, and procedures as specified in subsection (f). The commission's representatives or designees will request to meet with the trainer or owner of the selected horse or horses. If neither is available, the collection will be deferred until the trainer or owner, or both, or their representative or designee, becomes reasonably available, but the collection must occur not later than one (1) hour after the commission's designee arrives at the premises in the case of an eligible horse under subsection (a), and not later than two (2) hours in the case of an eligible horse under subsection (b). If the collection does not occur within the time provided for in this subsection, any horse that would have been subject to testing and eligible to race in Indiana will be deemed to be ineligible for racing in Indiana pursuant to the provisions of subsections (a) and (b). In addition, the owner or trainer, or both, of the horses may be subject to any other sanctions allowed by Indiana law and regulations, including, but not limited to, a fine, suspension, or summary suspension. It is a defense to any action brought against an owner or a trainer, or both, for sanctions or as a result of any declaration a horse is ineligible because the sample collection did not occur within the time provided for by this subsection that good cause existed that prohibited the owner or trainer or their representative or designee from complying with the time limits set forth in this subsection. The owner or trainer or their representative or designee has the burden of proving the good cause defense by a preponderance of the evidence. (f) Prohibited substances, practices, methods, and procedures are defined as the following: (g) The trainer or owner or their his or her designees shall cooperate with the official veterinarian, or any licensed veterinarian or licensed veterinary technician authorized by the commission, or any commission employee by: (h) The collection of blood or urine samples under this rule shall be collected as provided by 71 IAC 8.5-3-1 and shall be analyzed as follows: (i) The collection of hair samples under this rule shall be collected as provided by 71 IAC 8.5-3-1 and shall be analyzed as follows: (j) The licensed trainer of the horse is responsible for the condition of the horse sampled for an out of competition test while on the grounds of a licensed training facility or racetrack as follows: (k) In the absence of extraordinary mitigating circumstances, a minimum penalty of a ten (10) year suspension will be assessed for any violation of subsection (f)(1) and (f)(2). The Association of Racing Commissioners International, Inc. Uniform Classification Guidelines for Foreign Substances and Recommended Penalties and Model Rule will be considered for violations of subsection (f)(3), (f)(4), and (f)(5) with additional penalties for any drug not FDA approved for use in horses. Sec. 1. (a) All collection procedures shall be done in accordance with chain of custody guidelines. (b) Before sending an equine sample to the primary testing laboratory, the official veterinarian or a designated commission employee shall divide the specimen into two (2) parts, provided a sufficient amount is collected. (c) The official veterinarian or a designated commission employee shall attempt to collect a minimum of fifty (50) milliliters of urine. A urine specimen shall not be split if less than fifty (50) milliliters is collected from the horse. In such instances, the commission is entitled to submit the entire urine specimen for testing or detain the horse an adequate amount of time until it can be obtained. If an insufficient volume of urine is obtained, the trainer and owner are not entitled to a split sample. (d) The official veterinarian, a licensed veterinarian authorized by the commission, or a veterinary technician under the direct supervision of a commission authorized veterinarian shall collect a minimum of thirty (30) milliliters of blood, which shall be divided into two (2) portions, one (1) of which shall be forwarded to the primary laboratory. (e) The official veterinarian, a licensed veterinarian authorized by the commission, the trainer or trainer designee assigned to the horse in the presence of a commission employee, or a designated commission employee shall collect a minimum of a hair sample that is at least the same size in diameter as a standard pencil. A hair sample shall be ineligible for split sample testing. (f) The official veterinarian or his/her designee shall retain the part of the urine and/or blood specimen that is not sent to the primary laboratory. (g) If the retained part of a specimen is sent for testing, the official veterinarian or designated commission employee shall arrange for the transportation of the specimen in a manner that ensures the integrity of the sample. (h) Blood samples shall be centrifuged. (i) The provisions of subsections (b), (c), and (d) do not apply to 71 IAC 8.5-2-5. Sec. 1.5. (a) The official veterinarian shall maintain a list of all quarter horses with albuterol in excess of the threshold provided in 71 IAC 8.5-1-4.2(2) positive test results. (b) A quarter horse shall not be removed from the veterinarian's list until a biological sample of hair tested by a commission approved laboratory determines albuterol is not in excess of the threshold limit provided in 71 IAC 8.5-1-4.2(2) present in the sample. (c) The official veterinarian shall maintain a list of all quarter horses with clenbuterol in excess of the threshold provided in 71 IAC 8.5-1-4.2(5) positive test results. (d) A quarter horse shall not be removed from the veterinarian's list until a biological sample of hair tested by a commission approved laboratory determines clenbuterol is not in excess of the threshold limit provided in 71 IAC 8.5-1-4.2(5) present in the sample. (e) Hair samples shall be collected as provided in 71 IAC 8.5-3-1 for collection procedures or 71 IAC 8.5-2-5 for out of competition testing. (f) The trainer or owner requesting hair sample testing shall pay all costs. (g) The trainer or owner requesting hair sample testing shall make full payment prior to hair sample collection. (h) The quarter horse may be removed from the veterinarian's list once a commission approved laboratory determines albuterol in hair is below the threshold limit provided in 71 IAC 8.5-1-4.2(2) not present. (i) The quarter horse may be removed from the veterinarian's list once a commission approved laboratory determines clenbuterol in hair is below the threshold limit provided in 71 IAC 8.5-1-4.2(5) not present. (j) If the hair test results determine a quarter horse is above the threshold limit has albuterol or clenbuterol present, the trainer or owner may request another hair sample test in accordance with this section at a later date. Sec. 4. (a) The commission may issue a license under IC 4-31-7.5 if the commission determines that the applicant meets all of the requirements under IC 4-31-7.5 and this article and, that on the basis of all the facts before it, the following is shown: (b) In reviewing an application, the commission may consider any information, data, reports, findings, factors, or indices available that it considers important or relevant to its determination of whether an applicant is qualified to hold an SPMO license under IC 4-31-7.5, including, without limitation, the following: (c) The commission may grant or deny an SPMO license subject to conditions specified by the commission and agreed to by the applicant. (d) The commission may require changes in the proposed plan of operations or advance deposit wagering terms and agreement, or both, as a condition of granting a license. A licensed SPMO shall not make subsequent material changes in the plan of operations or advance deposit wagering terms and agreement, or both, unless ordered by the commission or until approved by the commission after receiving a written request. (e) A licensed SPMO shall file a license renewal request for the upcoming calendar year by November 1 of the preceding year. The license renewal request must be accompanied by a cashier's check or certified check payable to the commission in the amount of one thousand dollars ($1,000) as a nonrefundable annual license fee. In addition, the licensed SPMO must submit a letter detailing any requested changes in the commission approved plan of operations or advance deposit wagering terms and agreement, or both. (f) A license issued under this article is neither transferable nor assignable, including by operation of law, without the prior written consent of the commission. (g) Any action that suspends or otherwise prohibits a licensed SPMO from operating in another state may be used as grounds for a suspension of its Indiana SPMO license. (h) A licensed SPMO must also hold an Indiana commission vendor contractor license. After the initial licensing period, the vendor contractor commission license shall be renewed after December 1 with the licensing office for the upcoming year. The fee is one hundred dollars ($100). (h) (i) All employees working on behalf of a licensed SPMO that are officers, directors, and managers who are involved in Indiana advance deposit wagering must hold an Indiana vendor employee commission license. All other employees working on behalf of a licensed SPMO who are involved in Indiana advance deposit wagering must hold an Indiana commission license. After the initial licensing period, the Indiana commission vendor employee license shall be renewed after December 1 with the licensing office for the following year. However, the commission or commission's designee may, at their discretion, allow a licensed SPMO to forgo licensing of some individuals involved in advance deposit wagering in Indiana provided that: Sec. 6. (a) The pick three requires selection of the first place first-place finisher in each of three (3) specified contests. (b) The net pick three pool shall be distributed to winning wagers in the following precedence, based upon the official order of finish: (c) If there is a dead heat for first in any of the three (3) contests involving: (d) Should a betting interest in any of the three (3) pick three contests be scratched, the actual favorite, as evidenced by total amounts wagered in the win pool at the close of wagering on that contest, shall be substituted for the scratched betting interest for all purposes, including pool calculations. In the event that the win pool total for two (2) or more favorites is identical, the substitute selection shall be the betting interest with the lowest program number. The totalizator shall produce reports showing each of the wagering combinations with substituted betting interests which became winners as a result of the substitution, in addition to the normal winning combination. (e) If all three (3) pick three contests are canceled or declared no contest, the entire pool shall be refunded on pick three wagers for those contests. (f) If one (1) or two (2) of the pick three contests are canceled or declared no contest, the pick three pool will remain valid and shall be distributed in accordance with subsection (b). (g) If the conditions on the turf course warrant a change of racing surface in any of the pick three contests, and the change has not been disclosed to the public prior to the close of wagering for the first contest of the pick three, the stewards shall declare each changed leg an "all-win" for the pick three wagering purposes only. An "all-win" contest shall assign the winner of that contest to each pick three ticket holder as their selection for that race. Any surface change as defined in this subsection shall result in the net pool for the pick three being distributed as a single price pool to those whose selection finished first in the greatest number of pick three contests for that performance. Sec. 1. (a) A horsemen's association must register with the commission annually in order to be eligible to receive monies from permit holders pursuant to the provisions of IC 4-35-7-12. Unless otherwise directed by the commission, and except as provided in subsection (c), a horsemen's association shall file its registration (accompanied by all supporting materials required by this article) with the commission not later than September 1 of the year preceding the calendar year for which the funds are to be paid. One (1) electronic copy and six (6) one (1) paper copies copy of each application shall be provided. Except as provided in subsection (c), the commission shall approve or deny a registration not later than December 31 of the year preceding the calendar year for which the funds are to be paid. The registration for an upcoming calendar year must be approved by the commission before a horsemen's association is entitled to receive any funds from permit holders as provided for by IC 4-35-7-12 and before permit holders may make payment to a particular horsemen's association. The registration of a horsemen's association for a calendar year becomes effective upon the approval of the commission, not upon the filing of the registration. (b) The deadlines set forth in subsections (a) and (c) for the commission to approve or deny a registration shall not apply when more than one (1) horsemen's association registers to be eligible to receive the same source of funds specified in IC 4-35-7-12. In that event, the commission shall approve or deny the registrations as expeditiously as possible, but not later than February 28 of the calendar year in which the funds are to be paid. (c) If, at the time a permit holder is required to make a payment of funds to a horsemen's association pursuant to IC 4-35-7-12, either: Sec. 1. (a) "Indiana bred" means a foal from a mare who resides in the state continuously from August 1 of the breeding year through the time of foaling and is properly registered with the commission. (b) In order to be registered as an Indiana bred foal, the mare of the foal must: (c) Mares which have not been bred by the August 1 deadline may be registered late but must reside in Indiana and be registered prior to being bred. (d) Mares registered for the current breeding year may leave the state to be entered in an advertised public sale and may leave the state for the interval of the sale but must return to Indiana within fourteen (14) days of her sale if the residency requirements for foal registration are to be fulfilled. Notification to the commission must be made in writing for mares leaving the state prior to participating in an advertised public sale. Upon return to the state, the mare must be reregistered with the commission. Reregistration must occur with the fourteen (14) day period following the sale. (e) The commission must be notified in writing by e-mail, fax, or mail and provide proper documentation for any registered mare leaving the state for medical treatment. Notification must be made within seventy-two (72) hours of date which the mare left the state. (f) The Indiana bred foal must: (g) Foals not registered within thirty (30) days of foaling date may be registered with a two hundred dollar ($200) late fee up and until December 31 of the foal's weanling year. (h) If the foal is not registered by January 1 of its yearling year, the foal is not eligible to be registered. For eligibility purposes, the foal is not considered Indiana bred until registration paperwork and applicable late fees are received by the commission. (i) For foals of 2009 and prior, "Indiana bred" is defined as a horse whose breeder(s) as listed with the USTA are residents of Indiana. Any partnership or corporation registered by the USTA and listed as breeder must be entirely composed of Indiana residents. Sec. 1.3. (a) In order to be eligible to register a quarter horse frozen embryo foal as Indiana bred, the donor mare must be registered with the commission pursuant to 71 IAC 14.5-2-1 [sic, section 1 of this rule] for the calendar year in which the embryo is produced. Additionally, the following must occur: (b) For any mare registered after July 1 in the year in which the embryo is produced, the embryo must be utilized to produce an Indiana sired foal. (c) For any donor mare foaled in 2015 or later, embryos produced by the mare are not eligible for registration under this section more than two (2) calendar years following: (d) Donor mares foaled prior to 2015 are exempt from the requirement under 71 IAC 14.5-2-1.3(c) [sic, subsection (c)]. Sec. 3. (a) In order to be eligible to register a stallion with the commission, a completed application must be on file with the commission on or before November 1 of each year. (b) Each registered stallion must remain in Indiana the entire breeding season (February 1 through July 1). (c) New stallions arriving late cannot have covered any mares in another state during the same year. (d) Quarter horse stallions may breed both quarter horse and thoroughbred mares. (e) Thoroughbred stallions may breed quarter horse mares. Thoroughbred stallions breeding quarter horse mares must be registered in the quarter horse registry. (f) A stallion must be registered with the commission the year of the foal's conception to be eligible for sire races and stallion awards. (g) Stallions must be registered each year. Any living or deceased stallion having sired foals while standing in the state of Indiana prior to the year 2001 must have on file with the commission an application covering the years it stood in the state to be eligible for sire races and stallion awards. (h) Mare's bred reports must be on file with the commission by December 1 of each year. (i) A copy of lease agreements must accompany the application. (j) There will be a one hundred dollar ($100) late fee for all applications filed after the deadline. (k) This rule in no way restricts the shipment and use of cooled semen. (l) Only those stallions standing in Indiana and properly registered with the Indiana horse racing commission are eligible for stallion breed development awards. (m) For any stallion properly registered and in good standing with the commission in the year of his death or gelding, frozen semen may be utilized if the deceased or gelded stallion is properly registered in the year in which the semen will be used. (n) The semen from stallions born in 2015 or later must be used within two (2) calendar years following the year of his death or gelding. (o) Stallions born prior to 2015 are exempt from the requirement under 71 IAC 14.5-2-3(n) [sic, subsection (n)]. (p) Foals sired from the use of frozen semen shall be eligible for Indiana sired status and Indiana stallion awards if the requirements of 71 IAC 14.5-2-2 [sic, section 2 of this rule] are met, in addition to the requirements of this section. (q) In cases where the stallion is deceased, only semen collected and frozen while the stallion was properly registered in Indiana may be utilized. (r) Frozen semen from [sic] collected from non-deceased or gelded stallions properly registered may be utilized regardless of the location of collection.