in-20241113-IR-071240253FRA: DIGEST INCORPORATIONS BY REFERENCE; ARCI

Final Rule LSA Document #24-253 DIGEST Sec. 8.1. (a) The ARCI Model Rules of Racing Version 13.0, adopted by ARCI on March 14, 2024, are incorporated by reference, and can be found at https://www.arci.com/docs/2024_03_14_MASTER_MODEL_RULES_VERSION_13.0.pdf or on file with the Indiana Horse Racing Commission, 1302 North Meridian St., Suite 175, Indianapolis, IN 46202. (b) The ARCI Uniform Classification Guidelines for Foreign Substances and Recommended Penalties Model Rule Version 18.0, adopted by ARCI in March 2024, are incorporated by reference, that can be found at https://www.arci.com/docs/Uniform_Classification_Guidelines_Version_18.0.pdf or on file with the Indiana Horse Racing Commission, 1302 North Meridian Street, Suite 175, Indianapolis, IN 46202. Sec. 6. (a) Owner(s) The owner or owners of horses testing positive on more than one (1) occasion within time during the preceding five (5) years for a prohibited substance other than phenylbutazone, flunixin, or ketoprofen, may, at the discretion of the executive director or the judges, be required to stable all horses participating in a race meet upon on the grounds of the association and/or be required to or place all horses in the detention barn, on or both, the day before and/or or the day of its the scheduled race, or both. A positive test under this section shall include includes violations in Indiana and in other jurisdictions. (b) Special consideration shall be given to positive tests for Class 1, 2, or 3 drugs as listed in the Association of Racing Commissioners International's Uniform Classification Guidelines of Foreign Substances as revised by the ARCI in 2014 and any other subsequent revision effective after said date, which are incorporated by reference herein, copies of which are available at the commission office ARCI Unifor Classification Guidelines for Foreign Substances and Recommended Penalties Model Rule Version 18.0. Special consideration shall also be given to TC02 violations, blood gas violations, and to findings of any drug, medication, or foreign substance administered within twenty-four (24) hours of a horse's scheduled race. Sec. 6. (a) Owner(s) The owner or owners of horses testing positive on more than one (1) occasion within time during the preceding five (5) years for a prohibited substance other than phenylbutazone, flunixin, or ketoprofen, may, at the discretion of the executive director or the stewards, be required to stable all horses participating in a race meet upon on the grounds of the association and/or be required to or place all horses in the detention barn, or both, on the day before and/or or the day of its the scheduled race, or both. A positive test under this section shall include includes violations in Indiana and in other jurisdictions. (b) Special consideration shall be given to positive tests for Class 1, 2, or 3 drugs as listed in the Association of Racing Commissioners International'sUniform Classification Guidelines of Foreign Substances as revised by the ARCI in 2014 and any other subsequent revision effective after said date, which are incorporated by reference herein, copies of which are available at the commission office ARCI Uniform Classification Guidelines for Foreign Substances and Recommended Penalties Model Rule Version 18.0. Special consideration shall also be given to TC02 violations, blood gas violations, and to findings of any drug, medication, or foreign substance administered within twenty-four (24) hours of a horse's scheduled race. Sec. 2. (a) No A horse participating in a race shall not carry in its body any foreign substance except as provided by these rules. A finding by the chemist or commission designee that a foreign substance is present in the test sample shall be prima facie evidence that such the foreign substance was administered and carried in the body of the horse while participating in a race. Such a This finding shall also be taken as prima facie evidence that the trainer and his or her their agents responsible for the care or custody of the horse have been negligent in the handling or care of the horse. The prohibition and allowance of foreign substances in this article shall apply applies to qualifying races. (b) Upon the finding of a violation of this section, the owners or lessees of the horse from which the specimen was obtained shall forfeit any purse money, and any trophy, or award. However, forfeiture of forfeiting any purse, trophy, or award for an overage of phenylbutazone, flunixin, ketoprofen, or furosemide in violation of these rules shall be consistent with Recommended Penalties of the Association of Racing Commissioners, International, as revised by the ARCI in 2014 and any other subsequent revision effective after said date, which are incorporated by reference herein, copies of which are available at the commission office. the ARCI Uniform Classification Guidelines for Foreign Substances and Recommended Penalties Model Rule Version 18.0. Sec. 4.1. (a) The use of nonsteroidal anti-inflammatory drugs (NSAIDs) shall be is governed by the following conditions: (b) NSAIDs shall may not be administered to any a horse that is entered to race within forty-eight (48) hours of the scheduled post-time of the race in which it is entered. (c) Any A horse to which an NSAID has been administered shall be subject to having a blood or urine sample, or both, sample taken at the direction of the official veterinarian to determine the quantitative NSAID level or the presence of other drugs, or both, which may be present in the blood or urine sample(s). sample or samples. Sec. 7. (a) Except as provided in subsection (b), upon a finding of a violation of this rule, the judges shall consider the classification level of the violation as currently established by the Uniform Classification Guidelines of Foreign Substances and Recommended Penalties and Model Rule as revised by the ARCI in August 1996 and any other subsequent revision effective after said date, which are incorporated by reference herein ARCI Uniform Classification Guidelines for Foreign Substances and Recommended Penalties Model Rule Version 18.0 and impose penalties and disciplinary measures consistent with the recommendations contained therein. Provided, in those guidelines. However, that in the event if a majority of the judges determine that mitigating circumstances require imposition of imposing a lesser penalty, they may impose the lesser penalty. In the event If a majority of the judges wish to impose a greater penalty or a penalty in excess of exceeding the authority the judges are granted, them, then, and in such event, they may impose the maximum greater penalty authorized and refer the matter to the commission with specific recommendations for further action. (b) Cobalt shall carry a category "B" penalty, as established by the Recommended Penalties and Model Rule, regardless of its presence in a post-race or out of competition sample. The judges shall consider levels less than fifty (50) parts per billion a mitigating factor, and levels of at least one hundred (100) parts per billion or more an aggravating factor when determining penalties. Sec. 7.1. (a) A trainer who receives a penalty for a medication violation based upon on a horse testing positive for a Class 1-5 medication with Penalty Class A-C, as provided in the most recent version of the ARCI Uniform Classification Guidelines for Foreign Substances or similar state regulatory guidelines and Recommended Penalties Model Rule Version 18.0, may be assigned points as follows: (b) The points assigned to a medication violation by the judges or commission ruling shall be included in the ARCI official database. The ARCI shall record points consistent with subsection (a), when appropriate, as a designation that points have been suspended or the medication violation. Points assigned by such the regulatory ruling shall must reflect, in the case of based on multiple positive tests as described in subsection (d), whether they constitute a single violation. The judges' or commission ruling may be posted on the official website of the commission and within in the official database of the ARCI. If an appeal is pending, that fact shall must be noted in such the ruling. No Points shall may not be applied until a final adjudication of the enforcement of any such violation. of these violations. (c) A trainer's cumulative points for violations in all racing jurisdictions shall be maintained by the ARCI. Once all appeals are each appeal is waived or exhausted, the points shall immediately become part of the trainer's official ARCI record and shall be considered by the judges or the commission in its determination to subject the trainer to the mandatory enhanced penalties by the judges or the commission, as provided in this section. (d) Multiple positive tests for the same medication incurred by a trainer prior to before delivery of official notice by the commission may be treated as a single violation. In the case of For a positive test indicating multiple substances found in a single post-race sample, the judges or commission may treat each substance as an individual violation for which points will be assigned, depending on the facts and circumstances of the case. (e) The official ARCI record shall must be used to advise the judges or commission of a trainer's past record of violations and cumulative points. Nothing in this section shall be construed to confer upon give a licensed trainer the right to appeal a violation for which all remedies have been exhausted or for which the appeal time has expired, as provided by applicable law. (f) The judges or commission shall consider all the points for violations in all each racing jurisdictions jurisdiction as contained in the trainer's official ARCI record when determining whether the mandatory enhancements provided in this regulation shall be imposed. (g) In addition to the penalty for the underlying offense, the following enhancements may be imposed upon on a licensed trainer based upon on the cumulative points contained in his or her the trainer's official ARCI record: (h) The suspension periods in subsection (g) shall run consecutive to any suspension imposed for the underlying offense. (i) The judges' or commission's ruling shall distinguish between the penalty for the underlying offense and any enhancement based upon on the judges' or commission's review of a trainer's cumulative points and regulatory record, which may be considered an aggravating factor in a case. (j) Points shall expire as follows: Sec. 5. (a) Any A 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 the trainer or 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 to be tested is not covered under subsection (a), the executive director or judges may nevertheless still test any such the 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 the horse immediately represents in writing that the horse is not intended to be, and will not be, raced in Indiana for a minimum of at least three hundred sixty-five (365) days. If the owner, trainer, or other authorized representative or designee so represents, the horse shall be deemed is considered ineligible for racing in Indiana for no not less than three hundred sixty-five (365) days from after that date. This three hundred sixty-five (365) day ineligibility to race in Indiana shall must 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 the horse tests negative, it will remain eligible to race in Indiana. (c) The executive director or judges 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 If a horse is ordered to report to a track pursuant to under 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 exceeding 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 after the testing. The trainer or owner is not entitled to receive reimbursement from the commission for any other expense relating to any an order under this subsection to report to a track for out of competition testing. (d) The following individuals may take a urine, blood, or hair sample from a horse for testing as provided for in under this section: (e) Unless sample collection occurs on the grounds of a racetrack or other location within in 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 described 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: (f) Prohibited substances, practices, methods, and procedures are defined as the following: (g) The trainer or owner or his or her their 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 8-4-1 and shall be analyzed as follows: (i) The collection of hair samples under this rule shall be collected as provided by 71 IAC 8-4-1 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. 3. (a) It is a prohibited practice to administer bisphosphonates to any horse under four (4) years of age. Horses four (4) years of age or older may only be administered bisphosphonates under the following circumstances: (b) If any bisphosphonate is detected in an out of competition or post-race test sample and the commission has not received timely notification of an administration, the detection shall be treated as a finding of a foreign substance pursuant to 71 IAC 8-1-2. The horse shall be placed on the veterinarian's list for no less than six (6) months from the date of sampling. Prior to returning to racing, the horse must qualify and perform in such a manner that is satisfactory to the official veterinarian. The official veterinarian, judges, or a commission designee may order additional testing for a returning horse at their discretion. (c) The penalty for violation of this rule shall be consistent with the classification for bisphosphonates set forth in the ARCI Uniform Classification Guidelines for Foreign Substances and Recommended Penalties Model Rule. as revised by ARCI in 2020 and any other subsequent revision after said date, which are incorporated herein by reference, copies of which are available at the commission office. Sec. 2. (a) No horse participating in a race shall carry in its body any foreign substance except as provided by these rules. A finding by the chemist or commission designee that a foreign substance is present in the test sample shall be prima facie evidence that such foreign substance was administered and carried in the body of the horse while participating in a race. Such a finding shall also be taken as prima facie evidence that the trainer and his or her their agents responsible for the care or custody of the horse have been negligent in the handling or care of the horse. The prohibition and allowance of foreign substances in this article shall apply to qualifying races. (b) Upon a the finding of a violation of this section, the owners or lessees of the horse from which the specimen was obtained shall forfeit any purse money and any trophy or award. However, forfeiture of any purse, trophy, or award for an overage of phenylbutazone, flunixin, ketoprofen, or furosemide in violation of these rules shall be consistent with Recommended Penalties of the Association of Racing Commissioners, International, as revised by the ARCI in 2014 and any other subsequent revision effective after said date, which are incorporated by reference herein, copies of which are available at the commission office. the ARCI Uniform Classification Guidelines for Foreign Substances and Recommended Penalties Model Rule Version 18.0. Sec. 2.3. Any horse that is the subject of a positive test report from a commission approved equine drug testing laboratory for any beta-agonist drugs, other than clenbuterol and albuterol, with anabolic effects that are not currently Penalty Class A drugs, as provided in the most recent version of the ARCI Uniform Classification Guidelines for Foreign Substances and Recommended Penalties Model Rule, shall be placed immediately on the veterinarian's list as provided in 71 IAC 8.5-8-1.6. Sec. 4.5. (a) The use of corticosteroids shall be governed by the following conditions: (b) The use of corticosteroid intra-articular injections shall be governed by the following conditions: Sec. 7. (a) Except as provided in subsection (b), upon a finding of a violation of this rule, the stewards shall consider the classification level of the violation as currently established by the Uniform Classification Guidelines of Foreign Substances and Recommended Penalties and Model Rule as revised by the ARCI in August 1996 and any other subsequent revision effective after said date, which are incorporated by reference herein, Version 18.0 and impose penalties and disciplinary measures consistent with the recommendations contained therein. Provided, however, that in the event a majority of the stewards determine that mitigating circumstances require imposition of a lesser penalty they may impose the lesser penalty. In the event a majority of the stewards wish to impose a greater penalty or a penalty in excess of the authority granted them, then, and in such event, they may impose the maximum penalty authorized and refer the matter to the commission with specific recommendations for further action. (b) Cobalt shall carry a category "B" penalty, as established by the Recommended Penalties and Model Rule, regardless of its presence in a post-race or out of competition sample. The stewards shall consider levels less than fifty (50) parts per billion a mitigating factor and levels of one hundred (100) parts per billion or more an aggravating factor when determining penalties. Sec. 7.1. (a) 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 ARCI Uniform Classification Guidelines for Foreign Substances or similar state regulatory guidelines, and Recommended Penalties Model Rule Version 18.0 may be assigned points as follows: (b) The points assigned to a medication violation by the judges or commission ruling shall be included in ARCI official database. The ARCI shall record points consistent with subsection (a) when appropriate, a designation that points have been suspended or the medication violation. Points assigned by such regulatory ruling shall reflect, in the case of multiple positive tests as described in subsection (d), whether they constitute a single violation. The judges' or commission ruling may be posted on the official website of the commission and within the official database of the ARCI. If an appeal is pending, that fact shall be noted in such ruling. No points shall be applied until a final adjudication of the enforcement of any such violation. (c) A trainer's cumulative points for violations in all racing jurisdictions shall be maintained by the ARCI. Once all appeals are waived or exhausted, the points shall immediately become part of the trainer's official ARCI record and shall be considered by the judges or the commission in its determination to subject the trainer to the mandatory enhanced penalties by the judges or the commission as provided in this section. (d) Multiple positive tests for the same medication incurred by a trainer prior to delivery of official notice by the commission 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 judges or commission may treat each substance as an individual violation for which points will be assigned, depending on the facts and circumstances of the case. (e) The official ARCI record shall be used to advise the judges or commission of a trainer's past record of violations and cumulative points. Nothing in this section shall be construed to confer upon a licensed trainer the right to appeal a violation for which all remedies have been exhausted or for which the appeal time has expired as provided by applicable law. (f) The judges or commission shall consider all points for violations in all racing jurisdictions as contained in the trainer's official ARCI record when determining whether the mandatory enhancements provided in this regulation shall be imposed. (g) In addition to the penalty for the underlying offense, the following enhancements may be imposed upon on a licensed trainer based upon on the cumulative points contained in his or her their official ARCI record: (h) The suspension periods in subsection (g) shall run consecutive to any suspension imposed for the underlying offense. (i) The judges' or commission's ruling shall distinguish between the penalty for the underlying offense and any enhancement based upon the judges' or commission's review of a trainer's cumulative points and regulatory record, which may be considered an aggravating factor in a case. (j) Points shall expire as follows: 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 his or her their 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. 3. (a) It is a prohibited practice to administer bisphosphonates to any horse under four (4) years of age. Horses four (4) years of age or older may only be administered bisphosphonates under the following circumstances: (b) If any bisphosphonate is detected in an out of competition or post-race test sample and the commission has not received timely notification of an administration, the detection shall be treated as a finding of a foreign substance 71 IAC 8.5-1-2. The horse shall be placed on the veterinarian's list for no less than six (6) months from the date of sampling and be required to work for the official veterinarian as set forth in 71 IAC 8.5-8-1(f). (c) The penalty for violation of this rule shall be consistent with the classification for bisphosphonates set forth in the ARCI Uniform Classification Guidelines for Foreign Substances and Recommended Penalties Model Rule as revised by the ARCI in 2020 and any other subsequent revision effective after said date, which are incorporated herein by reference, copies of which are available at the commission office. Version 18.0. Sec. 1. (a) Each association shall conduct wagering in accordance with applicable laws and these rules. Such wagering shall employ a pari-mutuel system approved by the commission, and which meets the technical standards set forth in the Association of Racing Commissioners International Totalizator Technical Standards, as revised by the ARCI in July 2012, and any revision effective after said date, which are incorporated herein by reference, copies of which are available at the commission office. Model Rules of Racing Version 13.0. The totalizator system shall be tested prior to and during the meeting as required by the commission. (b) The commission may enter into multi-jurisdiction agreements with other regulatory authorities to facilitate certification of compliance with requirements by, and licensing of, wagering, secondary pari-mutuel organizations, and advance deposit account wagering systems.