[49 Pa.B. 6221]
[Saturday, October 19, 2019]
CHAPTER 195. SIMULCASTING—
195.1. Live event host—contract. 195.2. Permitted simulcasts. 195.3. Intrastate simulcasting. 195.4. Casino simulcasting.
§ 195.1. Live event host—contract.
(a) A live horse racing event host duly licensed by the Commission may, subject to Commission approval of the applicable contract, simulcast its races for the purpose of pari-mutuel wagering to another licensed racing entity or SPMO or other authorized entity.
(b) Unless otherwise permitted by the Commission, every simulcast shall contain in its video content a digital display of actual time of day, the name of the host facility from where the race originates, the number of the contest being displayed and the minutes to post time.
(c) The approved live host licensee, if requested by the Commission, shall provide and maintain security controls including encryption over its uplink and communication systems.
§ 195.2. Permitted simulcasts.
(a) Host licensees—The Commission may approve the application of a licensed racing entity or secondary pari-mutuel organization to electronically simulcast horse races to and from this Commonwealth. Upon request by a licensed racing entity or secondary pari-mutuel organization, the Commission may designate the entity as a host licensee, authorized to maintain common pari-mutuel pools on International and interstate races transmitted to and from the racetrack enclosures within this Commonwealth.
(b) All simulcasts of horse races shall comply with the provisions of the Interstate Horseracing Act of 1978 (Pub.L. No. 95-515) (15 U.S.C.A. §§ 3001 et seq.) and the laws of each state involved, placed or transmitted by an individual in one state by means of telephone, Internet or other electronic media and accepted and maintained in common pari-mutuel pools.
(c) Simulcasts—The following apply:
(1) Cross simulcasting of the races described previously may be permitted if all amounts wagered on the races in this Commonwealth are included in common pari-mutuel pools. A host licensee seeking permission to cross simulcast must obtain approval from the Commission.
(2) All forms of pari-mutuel wagering shall be allowed on horse races simulcasted. The Commission may permit pari-mutuel pools in this Commonwealth to be combined with pari-mutuel pools created under the laws of another jurisdiction and may permit pari-mutuel pools created under the laws of another jurisdiction to be combined with pari-mutuel pools in this Commonwealth.
(c) Taxation—Money wagered by patrons in this Commonwealth on horse races shall be computed by the amount of money wagered each racing day for purposes of taxation under section 9334 of the act (relating to State Racing Fund and tax rate). Thoroughbred races shall be considered a part of a thoroughbred horse race meeting and standardbred horse races shall be considered a part of a standardbred horse race meeting.
§ 195.3. Intrastate simulcasting.
(a) The Commission shall permit intrastate simulcasting of live horse racing between the licensed racing entities that conduct live racing.
(b) The simulcast signal shall be encoded, and the racetrack receiving the simulcast signal may not send the signal anywhere other than a public location authorized under section 9329 (relating to interstate simulcasting) of the act.
(c) All forms of pari-mutuel wagering described in section 9335 (relating to pari-mutuel pool distribution) of the act shall be allowed on a horse race to be simulcasted under this section.
(d) The money wagered by a patron on a horse race must be computed in the amount of money wagered each racing day for purposes of taxation under section 9334 (relating to State Racing Fund and tax rate) of the act.
§ 195.4. Casino simulcasting.
(a) In accordance with Chapter 13F (relating to casino simulcasting) of the Race Horse Development and Gaming Act (4 Pa.C.S. §§ 13F01—13F44) and with 58 Pa. Code Chapter 1001 (relating to casino simulcasting—temporary regulations) of the Gaming Control Board, the Commission shall, in conjunction with, the Board shall review an application for casino simulcasting at licensed simulcasting facilities.
(b) Notwithstanding the provisions of the Gaming Act or of the Board's regulations, the standards and rules of racing, simulcasting and the conduct of pari-mutuel wagering in simulcasting facilities are subject to the act, regulations of the Commission promulgated under 3 Pa.C.S. (relating to Agriculture Code) and the Interstate Horse Racing Act of 1978 (15 U.S.C.A. §§ 3001—3007).
CHAPTER 197. ADVANCE DEPOSIT ACCOUNT WAGERING—TEMPORARY REGULATIONS
197.1. License required to conduct advance deposit account wagering. 197.2. ADW license application. 197.3. Advance deposit account wagering rules. 197.4. ADWs in other jurisdictions.
§ 197.1. License required to conduct advance deposit account wagering.
(a) In addition to the electronic wagering provisions set forth in sections 9351—9359 (relating to additional licensing requirements for licensed racing entity, secondary pari-mutuel organization, totalisator and racing vendors) of the act and Subpart B (relating to licensing) of the Commission's regulations, a licensed racing entity, a racing vendor providing ADW services on behalf of a licensed racing entity or a SPMO licensed by the Commission to operate in this jurisdiction, may apply for a license to operate an ADW system whereby wagers are debited and payouts are credited to an account held by the licensed racing entity, racing vendor or SPMO on behalf of a person who has applied for the account and been accepted under these rules.
(b) An entity that operates an ADW and is not otherwise involved in pari-mutuel wagering may be licensed as both a SPMO and an ADW in a consolidated licensing procedure as prescribed by the Commission.
(c) A provider of advanced deposit account wagering facilities or systems for an ADW must be licensed by the Commission if account facilities, equipment or personnel are located in this jurisdiction under a contract with a licensed association or SPMO.
§ 197.2. ADW license application.
(a) The ADW license application shall include the following information:
(1) A copy of the contracts to provide services to an association or SPMO licensed by the Commission.
(2) A list of personnel assigned to work in this Commonwealth, a list of all employees involved in accepting pari-mutuel wagers placed in this Commonwealth and a list of employees with access to facilities where the wagers are placed, or systems and records relating to account wagering are operated and secured, who are not located in this jurisdiction.
(3) List of all officers, directors, partners, and share-holders with a 5% or greater share of ownership or beneficial interest.
(4) Full disclosure of all fees and other financial considerations relating to the contract with the licensed racing entity or SPMO.
(5) Certify to the Commission that the entity will provide prompt access to reports, logs, wagering transaction detail, and customer account detail, in printed form or standard electronic format approved by the Commission.
(6) Provide a detailed description and certification of systems and procedures used to validate the identity, age, and jurisdiction of legal residence of account holders and to validate the legality of wagers accepted.
(7) Certify to the Commission prompt access to all records relating to customer identify, age, and residency in hard copy or standard electronic format acceptable to the Commission.
(8) Certify to the Commission prompt access to customer account detail in hard copy or an electronic format acceptable to the Commission for:
(i) Persons who place wagers on races conducted in this jurisdiction, customers are identified as legal residents of this jurisdiction, who place wagers on races ran in this jurisdiction and races available for wagering by persons in this jurisdiction,
(ii) Persons the Commission has reason to investigate based on possible placing of wagers for persons other than the account holder, wagers that may be related to the investigation of any race or wagering pattern or relevant to any other investigation as may be determined by the Commission.
(9) Include certification of secure retention of all records related to wagering and customers' accounts for a period of not less than 3 years or longer period specified by the Commission.
(10) Include, as an attachment, a certified copy of rules governing the acceptance and management of accounts, and a certified copy of any changes in the rules at least 30 days prior to the effective date.
(b) All persons employed by ADWs as listed in subsection (a), not licensed by the Commission, shall hold a current pari-mutuel employee or vendor employee license issued by the National License Compact. The ADW shall provide and maintain with the Commission a current list of the employees and including their current National License number.
(c) Must utilize and communicate pari-mutuel wagers to a pari-mutuel system meeting all requirements for pari-mutuel systems employed by licensed racing associations in this jurisdiction.
(d) An ADW must operate and communicate with the totalisator system in a way as not to provide or facilitate a wagering advantage based on access to information and processing of wagers by ADW account holders relative to persons who wager at race tracks or public off-track wagering facilities. The ADW shall have in place an independent real time monitoring system and use approved by the Commission, and use other procedures as needed, to insure compliance with this requirement.
§ 197.3. Advance deposit account wagering rules.
(a) The ADW shall notify the patron, at the time of opening the account, of any rules the association has made concerning deposits, withdrawals, average daily balance, user fees, interest payments and any other aspect of the operation of the account. The ADW shall notify the patron whenever the rules governing the account are changed, the notification occurring before the new rules are applied to the account and including the opportunity for the patron to close or cash-in the account. The patron shall be deemed to have accepted the rules of account operation upon opening or not closing the account. The ADW shall request authorization from the Commission before a system of account wagering is offered.
(b) The ADW may reserve the right at any time to refuse to open an account, to accept a wager or to accept a deposit.
(c) Each account holder shall provide the personal information as the ADW and the Commission require, including an address to which communications are to be delivered. The ADW shall provide each account holder, a confidential account number and password to be used by the patron to confirm the validity of every account transaction.
(d) Deposits may be made in cash, by check or by other methods approved by the Commission. Holding periods will be determined by the ADW and advised to the account holder. A written or electronic receipt for the deposit may be issued to the account holder but does not need to reflect the current account balance.
(e) Each account holder shall be deemed to be aware of the status of that account at all times and shall maintain an adequate fund balance. Wagers will not be accepted which would exceed the available balance of that account. Any account not updated when a transaction is completed shall be inoperable until the transaction is posted and the account balance updated.
(f) When an account is entitled to a payout or refund, said moneys will be credited to the respective accounts, thus increasing the credit balance. It is the responsibility of the account holder to verify proper credits and, if in doubt, notify the association within the agreed upon time-frame for consideration. Unresolved disputes may be forwarded to the Commission by the ADW or the account holder. No claim will be considered by the Commission unless submitted in writing and accompanied by supporting evidence.
(g) The ADW must maintain complete records of every deposit, withdrawal, wager and winning payout for each. These records shall be made available to the Commission upon request.
(h) For wagers made for an account by telephone, the ADW shall make a voice recording of the entire transaction and shall not accept any wager if the voice recording system is inoperable. Voice recordings shall be retained for not less than 6 months and shall be made available to the Commission for investigative purposes.
(i) Any account wagering system must provide for the account holder's review and finalization of a wager before it is accepted by the ADW. Neither the account holder nor the ADW shall change a wager after the account holder has reviewed and finalized the wager. In the case of a wager made by telephone, the voice recording of the transaction shall be deemed to be the actual wager, regardless of what was recorded by the pari-mutuel system.
(j) The ADW may close any account when the holder thereof attempts to operate with an insufficient balance or when the account is dormant for a period approved by the Commission. In either case, the ADW shall refund the remaining balance of the account to the account holder.
§ 197.4. ADWs in other jurisdictions.
As a condition of approval of any simulcasting or common pool wagering contract, or both, between a licensed racing entity in this Commonwealth and an ADW in another jurisdiction, the agreement subject to Commission approval, shall include:
(1) Disclosure of all ADWs wagering on any races run in this jurisdiction, and all ADWs wagering on races run in other jurisdictions that would be available for wagering in this jurisdiction, under the contract;
(2) Certification of ADW licensing, authorization or approval by the recognized pari-mutuel authority in the other jurisdiction;
(3) Certification of compliance with rules for operation of an ADW comparable to those stated in § 197.3 (relating to advance deposit account wagering rules);
(4) Full disclosure of all fees, market share revenue and other financial considerations relating to the contract;
(5) Certify to the Commission that it will provide prompt access to reports, logs, wagering transaction detail and customer account detail, in printed form or standard electronic format approved by the Commission;
(6) Provide a detailed description and certification of systems and procedures used to validate the identity, age, and jurisdiction of legal residence of account holders and to validate the legality of wagers accepted;
(7) Include certification to the Commission that it will promptly provide access to all records relating to customer identify, age and residency in hard copy or standard electronic format acceptable to the Commission;
(8) Certify to the Commission that it will promptly provide access to customer account detail in hard copy or an electronic format acceptable to the Commission for:
(i) Persons who place wagers on races conducted in this jurisdiction, customers are identified as legal residents of this jurisdiction, who place wagers on races ran in this jurisdiction and races available for wagering by persons in this jurisdiction,
(ii) Persons the Commission has reason to investigate based on possible placing of wagers for persons other than the account holder, based on wagers placed that may be related to the investigation of any race or wagering pattern, or relevant to any other investigation as may be determined by the Commission.
(9) Include certification of secure retention of all records related to wagering and customers' accounts for a period of not less than 3 years or longer period specified by the Commission;
(10) Include, as an attachment, a certified copy of rules governing the acceptance and management of accounts and provide a certified copy of any changes in the rules at least 30 days prior to the effective date.
CHAPTER 199. COMMON POOL WAGERING—
199.1. Authorization of a common pari-mutuel pool. 199.2. Application for permission to establish a common pari-mutuel pool. 199.3. Review of application. 199.4. Retention and distribution of retention. 199.5. Distribution of common pari-mutuel pool. 199.6. Responsibility for distribution. 199.7. Races for which a common pari-mutuel pool is established. 199.8. Publication and posting of rules. 199.9. Administration of common pari-mutuel pool by an approved entity. 199.10. Display of racing and wagering information.
§ 199.1. Authorization of a common pari-mutuel pool.
(a) Upon approval of the Commission, a licensed racing entity, an approved and licensed racing vendor providing racing services to the licensed racing entity or licensed SPMO, or other approved entities, may establish a common pari-mutuel pool with entities permitted under the laws of another jurisdiction to conduct pari-mutuel wagering on the results of horse races. The common pari-mutuel pool may be established to accept wagers on a race conducted outside this Commonwealth.
(b) A common pari-mutuel pool established under this chapter may consist of the amount wagered or the net amount wagered by a patron:
(1) Of the licensed racing entity.
(2) Of another licensed racing entity within this Commonwealth.
(3) Of other approved entities by the Commission.
(4) Under the laws of another jurisdiction.
(c) An individual wager shall be deemed to be made at the point of sale in the jurisdiction where it is placed.
§ 199.2. Application for permission to establish a common pari-mutuel pool.
(a) The entities set forth in § 199.1 (relating to authorization of a common pari-mutuel pool) may apply to the Commission for permission to establish a common pari-mutuel pool.
(b) An application for permission to establish a common pari-mutuel pool shall be submitted to the Commission at least 30 days prior to the beginning of wagering into the common pari-mutuel pool. The Commission may accept an application filed less than 30 days prior to the beginning of wagering for good cause shown.
(c) An application for permission to establish a common pari-mutuel pool shall be in a form prescribed by the Commission and shall contain the following:
(1) The name of the entity seeking permission to establish the common pari-mutuel pool.
(2) The name, date and jurisdiction of the racetrack conducting the race on which wagers will be accepted for inclusion into the common pari-mutuel pool.
(3) The name and licensing jurisdiction of each entity that will be accepting wagers for inclusion into the common pari-mutuel pool.
(4) A copy of the agreement for the simulcast of the race on which wagers will be accepted for inclusion into the common pari-mutuel pool.
(5) A copy of the agreement among the entities establishing the common pari-mutuel pool.
(6) A copy of the procedures established for administration of the common pari-mutuel pool.
(7) A copy of approvals required under the Interstate Horseracing Act of 1978 (15 U.S.C.A. §§ 3001—3007).
(8) The minimum amount of a wager which will be accepted for inclusion in the common pari-mutuel pool.
(9) The retention rate to be applied to amounts wagered in this Commonwealth for inclusion in the common pari-mutuel pool.
(10) The retention rate to be applied to amounts wagered in each jurisdiction other than the Commonwealth for inclusion in the common pari-mutuel pool.
§ 199.3. Review of application.
(a) The Commission may approve an application for permission to establish a common pari-mutuel pool if the Commission determines that the establishment of the common pari-mutuel pool will be in the best interest of racing in this Commonwealth and if the following conditions are satisfied:
(1) The race upon which patrons will be permitted to wager may be simulcast under section 9329 (relating to interstate simulcasting) of the act or under the Interstate Horseracing Act of 1978 (15 U.S.C.A. §§ 3001—3007), or both.
(2) The wager to be accepted is of a type which may be permitted by the Commission under section 9335 (relating to pari-mutuel pool distribution) of the act.
(3) The agreement under which the common pari-mutuel pool will be established and the procedures for the administration of the common pari-mutuel pool comply with the act and this chapter.
(b) The Commission may place conditions on an approval of an application as it deems appropriate to assure that the establishment of the common pari-mutuel pool will be in the best interests of racing in this Commonwealth and in compliance with the act and this chapter.
§ 199.4. Retention and distribution of retention.
(a) An approved entity that establishes a common pari-mutuel pool under this chapter shall retain from each wager placed in this Commonwealth an amount equal to the percentage retention rate approved by the Commission.
(b) The Commission will not approve a percentage retention rate which is less than or exceeds the minimum or maximum retention rate permitted for comparable wagers set forth in under section 9335 (relating to pari-mutuel pool distribution) of the act.
(c) A wager placed in this Commonwealth for inclusion in a common pari-mutuel pool established under this chapter shall be included by the approved entity in the amount wagered that racing day. A wager placed in another jurisdiction for inclusion in a common pari-mutuel pool established under this chapter shall be included in the amount wagered that racing day.
(d) Money retained by an approved entity under subsection (a) plus breakage allocated to the approved entity that establishes a common pari-mutuel pool under this chapter, shall be distributed in the same manner as other amounts retained under the act.
§ 199.5. Distribution of common pari-mutuel pool.
(a) Money in a common pari-mutuel pool shall be distributed to the holders of winning pari-mutuel tickets in conformity with the common practice of the pari-mutuel system.
(b) Money in a common pari-mutuel pool may be distributed to the holders of winning pari-mutuel tickets according to a net pricing calculation which reflects differing retention rates approved under the laws of the Commonwealth and other jurisdictions accepting wagers for inclusion into the common pari-mutuel pool.
(c) The procedures established for the administration of the common pari-mutuel pool shall include a procedure for the following:
(1) Distributing money in the common pari-mutuel pool to the holders of winning tickets.
(2) Allocating breakage between the entities contributing to the common pari-mutuel pool.
(3) Allocating funds for uncashed winning tickets between the entities contributing to the common pari-mutuel pool.
(4) Providing an accounting to the approved entity for submission to the Commission of contributions to and distributions from the common pari-mutuel pool.
(d) Funds for uncashed winning tickets allocated to an approved entity shall be distributed by the licensed entity as set forth in the act.
(e) If wagers placed in this Commonwealth cannot be transmitted for inclusion in a common pari-mutuel pool established under this chapter, the approved entity may do any of the following:
(1) Refund all amounts wagered to patrons holding pari-mutuel tickets representing wagers placed for inclusion in the common pari-mutuel pool if the refund is announced over the public address system of the approved entity prior to the official start of the race.
(2) Establish a pari-mutuel pool consisting solely of amounts wagered within this Commonwealth.
§ 199.6. Responsibility for distribution.
An approved entity that establishes a common pari-mutuel pool under this chapter is liable to the following:
(1) The holder of a winning pari-mutuel ticket representing a wager placed within this Commonwealth for inclusion in the common pari-mutuel pool for the distribution of winnings from the common pari-mutuel pool.
(2) The Commonwealth for other distributions required under the act or this chapter as a result of wagers placed in this Commonwealth for inclusion in the common pari-mutuel pool.
§ 199.7. Races for which a common pari-mutuel pool is established.
A race for which a common pari-mutuel pool has been established shall be conducted under the rules of racing of the jurisdiction in which the race is conducted unless that jurisdiction approves otherwise.
§ 199.8. Publication and posting of rules.
An approved entity that establishes a common pari-mutuel pool under this chapter shall:
(1) Print a summary of the rules governing wagers into and distributions from the common pari-mutuel pool in its program for the day of the race.
(2) Post a complete copy of the rules governing administration of the common pari-mutuel pool prominently at each betting window or group of betting windows in its racetrack enclosure.
§ 199.9. Administration of common pari-mutuel pool by an approved entity.
An agreement under which an approved entity will administer a common pari-mutuel pool shall contain a provision absolving the approved entity from liability if it becomes impossible to include wagers placed in another jurisdiction into the common pari-mutuel pool or if a representative of the Commission or approved entity determines that attempting to include wagers placed in another jurisdiction in the common pari-mutuel pool will endanger the approved entity's wagering pool.
§ 199.10. Display of racing and wagering information.
(a) An approved entity which establishes a common pari-mutuel pool under this chapter shall present an audio and video display of the race, including the post parade, upon which patrons may place wagers for inclusion into the common pari-mutuel pool.
(b) An approved entity which establishes a common pari-mutuel pool under this chapter shall present a video display containing wagering information, such as current odds, pari-mutuel pool totals and probable payoffs for the race upon which patrons may place wagers for inclusion into the common pari-mutuel pool.
Subpart D. STANDARDBRED RULES OF RACING (HARNESS)
201. GENERAL PROVISIONS—TEMPORARY REGULATIONS 203. LICENSING, DUTIES AND RESPONSIBILITIES OF STANDARDBRED OCCUPATIONAL LICENSEES—TEMPORARY REGULATIONS 205. RULES OF STANDARDBRED RACING—TEMPORARY REGULATIONS
CHAPTER 201. GENERAL PROVISIONS—
201.1. Definitions. 201.2. Licensure. 201.3. Registration. 201.4. Regulatory conflicts.
§ 201.1. Definitions.
The following words and terms, when used in this part, have the following meanings, unless the context clearly indicates otherwise:
Added money early closing event—An event closing in the same year in which it is to be contested in which entrance, sustaining and declaration fees received are added to the purse.
Age, how determined—The age of a horse shall be calculated from the first day of January of the year of foaling.
Allowances—Given on claiming price in claiming races depending on the sex and age of the horse. Allowances are also given when determining the horse's eligibility in conditioned races based upon age and sex of the horse.
Also eligible—One of not more than two horses that are entered to race and determined at the time post positions are drawn to be eligible to start in the race should any horse properly drawn into the race be excused by the Judges prior to scratch time.
Bleeder—A horse which has demonstrated external evidence of exercise induced pulmonary hemorrhage.
Bleeder List—A tabulation of all bleeders to be maintained by the Commission.
Break—A horse's change during a race from its programmed gait to another gait or gallop.
Chart—A comprehensive account of a race showing the positions of all horses at various stages of the race.
Claimant—A person or entity who meets the eligibility requirements of the racing Commission.
Claiming price—The price by which a horse may be claimed from a race.
Claiming race—One where a horse which starts may be claimed for a designated amount in conformance with Chapter 205 (relating to rules of Standardbred racing—temporary regulations).
Conditioned race—An overnight event to which eligibility is determined according to specified qualifications in conformance with Chapter 205.
Coupled entry—Two or more horses starting in a race when owned or trained by the same person or trained in the same stable or by the same management.
Dam—The female parent, or mother, of a horse.
Dash—A race decided in a single trial. The number of premiums awarded may not exceed the number of Starters in the dash.
Dead heat—When the Judges cannot separate two or more horses as to their finishing position at the finish of a race. All unseparated horses are considered to be tied for that finish position. In the event of a dead heat in any positions, points and purses will be divided or shared, or both.
Declaration—The naming of a particular horse to a particular race.
Disqualification—It shall be construed to mean that the person disqualified is barred from acting as an official or from starting or driving a horse in a race. In the case of a disqualified horse, it may not be allowed to start.
Draw—The process by which horses are selected to start in specific races and post positions for each race.
Driver—A licensed person who drives a horse in a race.
Driving violation—A violation of one or more of the provisions of the Rules of Race in Chapter 205.
Early closing race—A race for a definite amount to which entries close at least 6 weeks preceding the race. The entrance fee may be on the installment plan or otherwise, and payments shall be forfeits. No payment on 2-year-olds in early closing events shall be permissible prior to February 15th of the year in which the horse is a 2-year-old.
Eligibility certificate—An official written record of a horse. See the definition of ''registration'' in this section.
Eligible—A horse qualified to start in a race and properly entered and meeting the conditions of that race.
Elimination heats—Heats of a race split according to Chapter 205 to qualify the contestants for a final heat.
Exotic wagers—Those in which the bettor selects more than two horses in one or more races in a single wager.
Expulsion—The unconditional exclusion and disqualification from a participation, either directly or indirectly, in the privileges and uses of the course and grounds of the association of a licensee or patron.
Futurity—A stake in which the dam of the competing animal is nominated either when in foal or during the year of foaling.
Gait—Either a trotting or pacing gait.
Gelding—A neutered or castrated male horse of any age.
Go—The voice command given by the starting Judge to all drivers at the start of the race.
Guaranteed stake—A stake with a guarantee by the party sponsoring it that the sum may not be less than the amount named.
Handicap—A race in which performance, sex or distance allowance is made. Post positions for a handicap may be assigned by the racing secretary.
Head number—The wagering number for the horse or, in the case of a coupled entry, the wagering number of all horses that make up the coupled entry.
Head Pole—A piece of equipment used to control the position of a horse's head.
Heat—A single race or a single trial of a race that is one of a series of races that make up an event.
Hobbles—A leg harness used for controlling the gait of a pacer or trotter.
In harness—The horses participating shall be attached to a dual shaft sulky. Sulkies used in a race shall be equipped with unicolored or colorless wheel discs of a type approved by the Commission and placed on the inside and outside of the wheel. A change in the basic design of a sulky or major equipment shall require Commission approval. Rules, regulations, standards, guidelines affecting the use of any new sulky or equipment shall be approved by the Commission before their adoption.
Inquiry—When the Judges suspect that a foul or another misconduct occurred during a heat or dash.
Interference—An act, which by design or otherwise, hampers or obstructs a competing horse or horses.
Judges—The term ''Judges'' unless otherwise specified shall refer to the Board of Judges.
Lasix—An approved drug used as treatment of pulmonary bleeding. Also known as Furosemide.
Late closing race—A race for a fixed amount for which nominations or declarations close less than 6 weeks and more than 3 days before the race is to be contested.
Length of race and number of heats or dashes—Races or dashes shall be given at a stated distance in units not shorter than 1/16 of a mile. The length of a race and number of heats shall be stated in the conditions. If no distance or number of heats or dashes are specified races shall be a single-mile dash or heat. No 2-year-old shall be permitted to start in a dash or heat exceeding 1 mile in distance.
Maiden—A stallion, mare or gelding that has never won a heat or race at the gait at which it is entered to start and for which a purse is offered.
Mare—A female horse 4 years of age or older.
Match race—A race which has been arranged and the conditions thereof agreed upon between or among the contestants.
Mutuel field—When the individual horses competing in a race exceed the numbering capacity of the Tote, the highest numbered horse capacity of the Tote and horses of a higher number shall be grouped together and called the mutuel field for betting purposes only.
No contest—A race that is voided for any reason by the Judges.
Nomination—The naming of a horse or in the event of a futurity the naming of a foal in utero to a certain race or series of races, eligibility of which is conditioned on the payment of a fee at the time of naming and payment of subsequent sustaining fees or declaration fees, or both.
Nominator—The person or entity in whose name a horse is nominated for a race or series of races.
Objection—A complaint by a driver of a foul driving or other misconduct occurring during a heat or dash.
Overnight race/event—A race for which entries close not more than 3 days (omitting Sundays) before the race is to be contested. In the absence of conditions or notice to the contrary, entries in overnight events may close not later than 12 p.m./noon the day preceding the race. A pari-mutuel association may not demand declaration fees from owners or trainers of horses competing in an overnight event.
Owner—Includes sole owner, part owner or lessee of a horse.
Paddock—An enclosure in which horses scheduled to compete in a race program are confined prior to racing under the supervision of a paddock Judge.
Pennsylvania-bred for pari-mutuel or fair division of sire stakes—Horses sired by a stallion registered with the Commission in conformity the Commission's regulations relating to registration and licensure. Naming of these horses shall be limited to standardbred horses which were sired by a standardbred stallion standing his full season in this Commonwealth.
Post position—The position drawn by the horse at the time declarations close.
Post time—The time set for the start of a race.
Programmed trainer—The person who assumes responsibility for a horse from the time it is entered to race until the conclusion of the race.
Protest—An objection, properly sworn to, charging that a horse is ineligible to race, alleging an improper entry or declaration, or citing an act of an owner, driver or official prohibited by the provisions of this chapter, and which, if true, shall exclude the horse or driver from the race.
Qualifying Race—A race in which a horse must establish its ability to participate at a race meeting consistent with the qualifying standards establish for that class of horse.
Race—A contest of speed between Standardbreds at a trotting or pacing gait.
Race officials—The term may include the following:
(i) Board of Judges
(ii) Racing secretary
(iii) Paddock Judge
(iv) Horse identifier
(v) Clerk of the course
(viii) Patrol Judge
(ix) Commission Veterinarian
(x) Racetrack veterinarian
Or any other person designated by the Commission as a racing official.
Record—The fastest time made by a winning horse in a heat or dash, in compliance with the requisites of racing.
Registration—A certification of ownership, except where there is a direct conflict with the rules, regulations or laws of the Commission, matters regarding registration and eligibility certificates shall be governed in accordance with the rules and regulations as set forth by the USTA.
Rules—The rules and regulations promulgated by the Commission.
Scoring—The preliminary practice taken by the horses in a race after the post parade and before they are called by the Starter to line up for the start.
Scratch—The removal of a horse from a race after its entry has been accepted.
Scratch time—The time specified for making final changes to the official program prior to publication, at which time, any ''also eligible'' horses in the programmed race are released.
Spayed mare—A female horse who has had her ovaries removed.
Stake—A race that shall be contested in a year subsequent to its closing in which the money given by the licensed racing entity conducting the race is added to the money contributed by the nominators, which belong to the winner or winners.
Starting point—The point marked on the inside rail where the Starter gives the word ''Go.''
Starters—A group of horses competing in a heat or race.
Timed workout—Permitted instead of a qualifying race for a horse to establish its ability to participate at a race meeting consistent with the qualifying standards establish for that class of horse.
USTA—United States Trotting Association—The National not-for-profit association of Standardbred owners, breeders, drivers, trainers and officials organized to provide administrative, rulemaking, licensing and breed registration services and documentation.
Walk-over—When only horses of the same interest start, a walk-over results. In a stake race a walk-over is entitled to stake money and forfeits unless otherwise provided in the published conditions. To claim the purse, the entry shall start and go once over the course unless this requirement is waived by the Judges.
Winner—The horse whose nose reaches the wire first. If there is a dead heat for first, both horses shall be considered winners. Where two horses are tied in a summary, the winner of the longer heat shall be entitled to the trophy. Where the heats are of the same distance and the horses are tied in the summary, the winner of the fastest heat shall be entitled to the trophy.
Wire—A real or imaginary line from the center of the Judge's stand to a point immediately across, and at right angles to the track.
§ 201.2. Licensure.
(a) No person shall participate in the affairs of any licensed racing entity as director, officer, agent or employee of the entity without first receiving a license from the Commission.
(b) In addition to the requirements set forth in Chapter 185 (relating to occupational licenses—temporary regulations), no person shall participate in any harness horse race meet as an official, driver, trainer or assistant trainer unless the person shall first have received a license from the USTA and this Commission. The Commission may issue temporary licenses or restricted licenses as it may deem necessary and desirable.
§ 201.3. Registration.
All matters relating to the registration of Standardbred horses, unless otherwise provided for herein, shall be governed by the Rules of the USTA. Pennsylvania stallions, to be eligible for Pennsylvania Sire Stakes for any given year, shall have on file a Stallion Certificate of Eligibility no later than December 1 of the preceding year with the Commission.
§ 201.4. Regulatory conflicts.
All duly licensed race meetings and pari-mutuel wagering activities conducted within this Commonwealth shall be governed by the provisions of the Act and the Commission's regulations. If there is a conflict between the Commission's regulations and the rules/regulations adopted by the USTA, the Commission's regulations shall control. Except: in the event there is no provision or regulation to cover a specific matter, the Commission may utilize the published rules and regulations of the USTA.
CHAPTER 203. LICENSING, DUTIES AND RESPONSIBILITIES OF STANDARDBRED OCCUPATIONAL LICENSEES—TEMPORARY REGULATIONS
203.1. Standardbred license categories. 203.2. Knowledge of rules. 203.3. License presentation. 203.4. Visitor's pass. 203.5. Breath analyzer requirements.
203.11. Licensing requirements for owners. 203.12. Reinstatement of owner's license. 203.13. Transfer to ineligible trainer. 203.14. Licensing requirements for multiple owners. 203.15. Lease agreements. 203.16. Stable name registration. 203.17. Transfer of ownership.
TRAINERS AND GROOMS
203.21. Eligibility for trainer's license. 203.22. Trainer responsibility rule. 203.23. Duties of trainers. 203.24. Other duties and responsibilities of trainers. 203.25. Trainer treatment records. 203.26. Corticosterioid and intra-articular injection reporting requirements. 203.27. Restrictions on wagering. 203.28. Assistant trainers. 203.29. Substitute trainer. 203.30. Owners authorized agents. 203.31. Powers and duties of an authorized agent. 203.32. Eligibility for groom's license.
203.51. Application and qualifications for driver's license. 203.52. Racing colors.
SUBSTANCE ABUSE AND ADDICTION
203.71. Use of controlled substances. 203.72. Urine or other drug screening tests. 203.73. Testing. 203.74. Test results. 203.75. Confidentiality.
203.91. Safety helmets.
203.101. Eligibility for Farrier's license. 203.102. Reciprocity with other states.
203.111. Eligibility for Commission license. 203.112. Duties and responsibilities. 203.113. Restrictions on wagering.
§ 203.1. Standardbred license categories.
(a) Standardbred license categories shall include the following and others as may be established by the Commission in its discretion:
(1) racing participants and personnel (including owner, authorized agent, trainer, assistant trainer, driver, groom, veterinarian, veterinary assistant, Farrier and stable employees);
(2) standardbred racing officials (including Judges, race secretary, patrol Judge, paddock Judge, official Starter, clerk of the course/charter, timer/clocker, program director, Commission Veterinarian and racetrack veterinarian);
(3) persons employed by the licensed racing entity, by a racing vendor or any other person whose employment at the racetrack enclosure requires their presence in a restricted area, or which requires their presence anywhere on racetrack grounds while pari-mutuel wagering is being conducted;
(b) Persons required to be licensed shall submit a completed application on forms furnished by the Commission and accompanied by the required fee as set forth in Chapter 185 (relating to occupational licenses—temporary regulations). Persons may also be required to provide proof of identity and proper employment authorization.
(c) License applicants may be required to furnish to the Commission a set of fingerprints and a recent photograph and may be required to be re-fingerprinted or re-photographed periodically as determined by the Commission.
§ 203.2. Knowledge of rules.
A licensee shall be knowledgeable of the rules and regulations of the Commission and by acceptance of a license issued under Chapter 185 (relating to occupational licenses—temporary regulations) agrees to abide by these rules.
§ 203.3. License presentation.
When requested by Commission personnel or licensed racetrack security, a person shall present an appropriate license to enter a restricted area. A license may only be used by the person to whom it is issued. The licensed racing entity, in consultation with the Commission, may establish procedures and protocols for the visible display of a license while in the racetrack enclosure, including the restricted area.
§ 203.4. Visitor's pass.
Track security may not grant unlicensed persons temporary access to restricted areas unless that person is accompanied at all times while on the grounds of the racetrack. The unlicensed persons shall be identified and their purpose and credentials verified and approved in writing by racetrack security. A copy of the written approval shall be filed with the Commission or its designee within 48 hours. This authorization or credential may only be used by the person to whom it is issued.
§ 203.5. Breath analyzer requirements.
(a) To promote the health, safety and welfare of all racing participants and the integrity of racing in which they are participating, the following individuals shall be required to submit to a breath analyzer test at each racing program:
(1) Drivers, Judges, Starters, starting gate drivers and other racing officials designated by the Presiding Judge;
(2) Trainers and grooms randomly selected and designated by the Presiding Judge or other Commission official;
(3) Commission employees whose duties relate to the integrity of racing, including but not limited to the Judges, mangers, investigators, livestock workers, Commission Veterinarians and any other Commission employee as required by the Commission.
(b) Participants must have a breath analyzer reading below .035%. Participants demonstrating a level above .035% shall be not permitted to participate in the racing program that day.
(c) Failing the breath analyzer test shall subject the licensee to the following penalties:
(1) First offense—$500 dollar fine and 5-day suspension;
(2) Second offense—$750 dollar fine and 10-day suspension;
(3) Third offense—refer to Bureau Director.
§ 203.11. Licensing requirements for owners.
(a) Each person desiring to enter a standardbred horse at a race meeting within this Commonwealth and who has a 5% or more ownership or beneficial interest in a horse is required to be licensed under these provisions.
(b) An applicant for an owner's license shall own or lease a horse which is eligible to race, registered with the race secretary and under the care, custody and control of a duly licensed trainer in good standing by the Commission. An owner shall immediately notify the Judges of a change in trainer. A horse shall not be transferred to a new trainer after entry.
(c) Notwithstanding § 185.6 (relating to age requirement) of the Commission's regulations, a horse owner of any age may apply for an owner's license. If younger than 18 years of age, an applicant for an owner's license shall submit a notarized affidavit from the applicant's parent or legal guardian stating that the parent or legal guardian assumes responsibility for the applicant's financial, contractual and other obligations relating to the applicant's participation in racing.
(d) Each licensed owner is responsible for disclosure to the Commission or its designee of the true and entire ownership of each of the owner's horses registered with the racing secretary. Any change in ownership or trainer of a horse registered with the race secretary shall be approved by the Judges. Each owner shall comply fully with the applicable licensing requirements set forth in Chapter 185 (relating to occupational licenses—temporary regulations).
(e) Every applicant for an owners' license shall furnish a completed application form, the necessary license fee, information relating to horse ownership and shall, if requested, submit fingerprints. An owner is subject to all the rules and regulations of the Commission. Any violation of the rules of racing shall subject the owner to the penalties set forth in the Commission's regulations.
§ 203.12. Reinstatement of owner's license.
A license may be reinstated by the Commission, in its discretion, upon application and upon the terms as the Commission may prescribe.
§ 203.13. Transfer to ineligible trainer.
(a) The Commission or its Judges may refuse, deny, suspend or revoke an owner's license for the spouse or member of the immediate family or household of a person ineligible to be licensed as an owner, unless the applicant or licensed owner demonstrates that participation in racing will not permit a person to serve as a substitute or hidden trainer for an ineligible person. The transfer of a horse to a spouse, member of the immediate family or household or employee to circumvent the ineligible status of the owner of the horse is prohibited.
(b) An owner shall not intentionally and knowingly employ a suspended trainer.
(c) In an effort to prevent owners or trainers from utilizing hidden trainers, the Commission may require from an owner or trainer applicable financial, business or other information, including invoices, Veterinarian records and the like to determine the validity of the employment of the trainer.
§ 203.14. Licensing requirements for multiple owners.
(a) If the legal owner of any horse is a partnership, corporation, limited liability company, syndicate or other association or entity, each shareholder, member or partner shall be licensed as required by this rule.
(b) Each partnership, corporation, limited liability company, syndicate or other association or entity shall disclose to the Commission all owners holding a 5% or greater beneficial interest, unless otherwise required by the Commission.
(c) Each partnership, corporation, limited liability company, syndicate or other association or entity which includes an owner with less than a 5% ownership or beneficial interest shall file with the Commission an affidavit which attests that, to the best of their knowledge, every owner, regardless of their ownership or beneficial interest, is not suspended in any racing jurisdiction and is presently eligible for licensing.
(d) Application for joint ownership shall include a designation of a managing owner and a business address. Receipt of any correspondence, notices or orders from the Commission at this address shall constitute official notice to all persons involved in the ownership of the horse. The written appointment of a managing owner or authorized agent shall be filed with the Commission.
§ 203.15. Lease agreements.
A horse may be raced under lease provided a completed breed registry or other lease form acceptable to the Commission is attached to the certificate of registration and on file with the Commission and the USTA. The lessor and lessee shall be licensed as horse owners.
§ 203.16. Stable name registration.
Licensed owners and lessees may adopt a stable name subject to the approval of the Commission.
(1) The applicant shall identify all persons using the stable name. Any changes shall be reported immediately to the Commission.
(2) A person who has registered a stable name may cancel it upon written notice to the Commission.
(3) A stable name may be changed by registering a new stable name.
(4) A stable name which has been registered by any other person will not be approved by the Commission. The Commission may prohibit the use of any name which is misleading to the public or unbecoming to the sport.
(5) A stable name shall be clearly distinguishable from other registered stable names.
(6) The stable name or the name of the owner shall be published in the program. If the stable name consists of more than one person, the program shall list the name of the managing owner along with the phrase ''et al.''
(7) All persons using a stable name shall comply with all rules regarding licensing of owners.
(8) Each member of the stable must sign a document designating the name and address of the corresponding officer.
§ 203.17. Transfer of ownership.
Once a horse has been registered with the USTA or a similar registration entity, the horse may not be transferred to a new owner, unless claimed, without permission of the Presiding Judge who may require a bona fide bill of sale signed by both buyers and sellers and the transfer of ownership must be timely reported to the USTA or a similar registration entity.
TRAINERS AND GROOMS
§ 203.21. Eligibility for trainer's license.
(a) A person shall not train horses or be programmed as trainer of record at race meetings without first being duly licensed by the Commission. The applicant must satisfy the Commission that the applicant possesses the necessary qualifications, both mental and physical, to perform the duties required. The Commission may deem a trainer as qualified for licensing if the applicant has obtained a USTA trainer's license for the current year.
(b) In addition to the general licensing requirements set forth in Chapter 185 (relating to occupational licenses—temporary regulations), an applicant for a license as a standardbred trainer shall comply with the provisions set forth in the USTA, Rule 17 and the following:
(1) Be at least 18 years of age;
(2) Submit evidence of good moral character;
(3) Furnish a complete and truthful application;
(4) If requested, submit evidence of the applicant's physical ability to train and manage horses or a physical examination;
(5) Submit names of at least six currently licensed trainers or currently licensed drivers, or both.
(c) Evidence of qualifications, as determined by the Commission, shall also require passing all of the following:
(1) A written examination;
(2) A demonstration of practical skills including the ability to harness and equip a horse properly and to establish proficiency in handling a horse; and
(3) An interview with the Judges.
(d) Upon timely request to the Judges due to disability or other factors affecting the applicant's ability to effectively complete the trainer's test (such as illiteracy or language barriers), reasonable accommodations may be made for the applicant including, but not limited to oral administration of the examination, use of a pre-approved translator and aid from pre-approved assistant where deemed appropriate by the Judges administering the examination.
§ 203.22. Trainer responsibility rule.
(a) The trainer is responsible for the condition of the horse entered in an official workout or race and is charged with the responsibility to guard and protect the horse at all times regardless of the trainer's location. The trainer shall be responsible for the presence of any prohibited drug, medication, agent or other substance, including permitted medications in excess of the maximum allowable level, in the horses. A positive test for a prohibited drug, medication or substance, including permitted medication in excess of the maximum allowable level, as reported by the Commission's testing laboratory, is prima facie evidence of a violation of this rule. In the absence of substantial evidence to the contrary, the trainer shall be responsible.
(b) A trainer shall prevent the administration, attempted administration or passive contamination by others, including the trainers' employees and assistants who have care, custody and control of the horse from any drug, medication or other prohibited substance that may cause a violation of these rules.
(c) A trainer shall immediately report to the Judges and the Commission Veterinarian if the trainer knows, or has cause to believe, that a horse in the trainer's care, custody or control has received any prohibited drugs or medications.
§ 203.23. Duties of trainers.
(a) A licensed trainer may represent the owner in entries, declarations and other racing related matters. A licensed trainer may not have an interest, whether by ownership or lease, in a horse not being trained by the licensed trainer at a race meeting where the trainer is operating.
(b) A trainer who represents or files an application for an unlicensed owner shall file with the Commission an affidavit certifying that the trainer will secure a license for the owner within 30 days. The trainer or owner shall be jointly responsible for ensuring the timely and accurate filing of the owner's application. Failure of either to properly secure a license for the owner, may subject both the owner and trainer to a sanction or penalty.
(c) When a trainer is to be absent from the trainer's stable or the grounds where the trainer's horses are racing for a period of more than 2 days and horses are entered or are to be entered, the trainer shall provide a licensed trainer to assume the complete responsibility of the horses entered to run or running. The licensed trainer shall sign in the presence of the Judges a form furnished by the Commission accepting complete responsibility for the horses being entered and running. This section does not apply to trainers having in their employ a licensed assistant trainer.
(d) A trainer may not enter or start a horse that:
(1) Is not in serviceable, sound racing condition;
(2) Has its median, volar or plantar nerves either blocked or removed. The horse is not permitted to race on a Commonwealth standardbred racetrack. A horse which has been nerved below the fetlock (digital nerves) may be permitted to start;
(3) The trainer knows or has reason to know that the horse has been given, either internally or externally, a stimulant, depressant, narcotic drug, medication or other foreign substance prior to the race; and
(4) Is on the Judges' List, Starter's List or Veterinarian's List in any racing jurisdiction.
§ 203.24. Other duties and responsibilities of trainers.
In addition to the duties and responsibilities set forth in §§ 203.22 and 203.23 (relating to trainer responsibility rule; and duties of trainers), a trainer shall also be responsible for:
(1) The condition and contents of stalls, tack rooms, feed rooms and other areas which have been assigned by the licensed racing entity;
(2) Maintaining the assigned stable area in a clean, neat and sanitary condition at all times;
(3) Ensuring that fire prevention rules are strictly observed in the assigned stable area;
(4) Providing a list to the Commission of the trainer's employees on the racetrack grounds and any other area under the jurisdiction of the Commission. The list shall include each employee's name, occupation, social security number and occupational license number. The Judges shall be notified by the trainer, in writing, within 24 hours of any change to the employee list;
(5) Ensuring the adequate care, custody, condition, fitness, health, safety and security of horses under the trainer's care, custody and control;
(6) Disclosing the true and entire ownership of each horse the trainer's care, custody or control. Any change in ownership shall be reported immediately to, and approved by, the Judges and recorded by the race secretary;
(7) Training all horses owned wholly or in part by the trainer which are participating at the race meeting;
(8) Registering with the race secretary each horse in the trainer's charge within 24 hours of the horse's arrival on the licensed racetrack facility grounds;
(9) Ensuring that, at the time of arrival at a licensed racetrack, each horse in the trainer's care, custody or control is accompanied by a valid health certificate (Coggins) which shall be filed with the race secretary;
(10) Immediately reporting the alteration of the sex of a horse in the trainer's care to the horse identifier and the race secretary, whose office shall note the alteration on the certificate of registration;
(11) Promptly reporting to the race secretary and the Commission Veterinarian any horse on which a posterior digital neurectomy (heel nerving) is performed and ensuring that the fact is designated on its certificate of registration;
(12) Promptly notifying the Commission Veterinarian of any suspected or actual knowledge of a reportable disease and any unusual incidence of a communicable illness in any horse in the trainer's care;
(13) Promptly reporting the death of any horse in the trainer's care while on the licensed racing entity grounds to the Judges and the Commission Veterinarian and complying with the rules and regulations governing post-mortem examinations;
(14) Representing an owner in making entries and scratches and in all other matters pertaining to racing;
(15) Horses entered as to eligibility and by gait, age, sex, number of wins, earnings or claiming price;
(16) Ensuring the fitness of a horse to perform reasonably at the distance entered;
(17) For having the entered horse standing by and ready for the pre-race veterinary examination (racing soundness examination) to be conducted by the Commission Veterinarian or designee. The trainer shall have all bandages, blankets and muzzles off and horse's legs clean and free of substances, sweats or leg medications;
(18) For participating and assisting the Commission Veterinarian with pre-race examination tasks including the safe restraint of the horse, tattoo identification or jogging the horse as requested. Failure by the trainer or assistant trainer to comply with the direction, request or requirement issued by the Commission Veterinarian during the course of a pre-race examination shall result in the horse being scratched from the race and disciplinary action being taken against the trainer;
(19) Ensuring that the trainer's horses are properly shod, bandaged and properly equipped;
(20) Ensuring that all Lasix horses entered to compete shall be present on racetrack grounds no less than 4 hours prior to the scheduled post time of the race for which the horse is entered to compete and non-Lasix horses shall be present on racetrack grounds no less than 2 hours prior to the scheduled post time of the race. Horses not arriving on racetrack grounds in accordance with the previously mentioned times may be scratched or fined with discretion given to the Board of Judges to consider extenuating circumstances;
(21) Presenting the horse in the paddock at least 2 hours before post time or at a time otherwise appointed before the race in which the horse is entered and personally attending to the horse in the paddock, unless excused by the Judges;
(22) Instructing the driver to give the driver's best effort during a race and that each horse shall be driven to win;
(23) Attending the collection of post-race urine and blood samples from the horse in the trainer's charge or delegating a licensed employee or the owner of the horse to do so; and
(24) Notifying horse owners upon the revocation or suspension of the trainer's license. A trainer whose license has been suspended or whose license has expired or been revoked; or license application has been denied, must inform the horse owners that until the license is restored the trainer can no longer be involved with the training, care, custody or control of their horses, nor receive any compensation from them for the training, care, custody or control of their horses. Upon application by the owner, the Judges may approve the transfer of the horses to the care of another licensed trainer, and upon approved transfer, the horses may be entered to race. Upon transfer of the horse, the inactive trainer shall not be involved in any arrangements related to the care, custody or control of the horse and shall not benefit financially or in any other way from the training of the horse.
§ 203.25. Trainer treatment records.
(a) A trainer shall accurately document and maintain a record or log of all trainer treatments for every horse in the trainer's care, custody or control. Each treatment by the trainer shall be recorded within 24 hours of administration. The trainer treatment log shall be maintained electronically or on paper.
(1) Treatment, for the purposes of this section, means any medication or procedure containing a medication administered to a horse by a licensed trainer or the trainer's designee.
(2) Treatment, for the purposes of this section, specifically excludes medications or procedures administered by a veterinarian licensed by the Commission.
(3) This section includes the administration of medications that are prescribed by a veterinarian but administered by the trainer or his or her designee.
(4) This section also includes those treatments that are administered by a veterinarian not licensed by the Commission.
(b) Trainer treatment records or log as required in subsection (a) must include the following information:
(1) The name of the horse (or, if unnamed, the registered name of the dam and year of foaling);
(2) The generic name of the drug (for example, phenylbutazone, methocarbamol);
(3) The name and address of the prescribing veterinarian;
(4) The brand name of the drug if a non-generic is used;
(5) The date of the treatment;
(6) The route and method of administration;
(7) The dosage administered;
(8) The approximate time (to the nearest hour) of each treatment;
(9) The first and last name of the individual that administered the treatment; and
(10) The treating veterinarian shall sign or initial the trainer's treatment log on the first day a horse receives a prescription medication.
(c) The trainer's treatment records or log shall be made available for inspection upon a request by the Commission in the course of an investigation of a possible violation of the medication and drug rules. Failure to provide accurate and complete trainer treatment records shall result in disciplinary action
(d) Copies of trainer treatment records must be maintained for at least 6 months.
§ 203.26. Corticosterioid and intra-articular injection reporting requirements.
(a) Trainers or their designees shall accurately keep and maintain complete records of all corticosteroid and intra-articular injections for all horses in the trainer's care, custody or control. Complete corticosteroid and intra-articular injection reports shall include:
(1) The date of the injection;
(2) The name of the veterinarian performing the injection;
(3) The articular space or structure injected;
(4) The medication or biologicals used to inject each articular space; and
(5) The dose in milligrams of each corticosteroid used.
(b) This information shall be maintained for a minimum of 60 days to facilitate compliance with this regulation. If a horse is successfully claimed by a new owner, the trainer of record at the time of that claiming race must provide that horse's complete corticosteroid and intra-articular injection report for the previous 30 days.
(c) The previous reports shall be maintained in whatever format the trainer elects. However, if the Commission requests a copy of the report, it must be provided in electronic form.
(d) The report must be provided to the new trainer within 48 hours of the transfer of the horse. The trainer or the trainer's designee shall notify the Commission Veterinarian when the records have been provided.
(e) Submission of the report and records may be delegated to the treating veterinarian, who shall provide the report to the new trainer within 48 hours of the transfer of the horse.
(f) Failure of the trainer to provide the reports as required shall result in disciplinary action.
§ 203.27. Restrictions on wagering.
A trainer shall only be allowed to wager on the trainer's horse or entries to win or to finish first in combination with other horses.
§ 203.28. Assistant trainers.
(a) A trainer may employ an assistant trainer as approved by the Judges. The trainer shall notify the Race Secretary of the use of an assistant trainer. The assistant trainer shall be duly licensed prior to acting in this capacity on behalf of the trainer. Qualifications for obtaining an assistant trainer's license shall be prescribed by the Judges and the Commission and may include those requirements prescribed in this chapter.
(b) An assistant trainer may substitute for and shall assume the same duties, responsibilities and restrictions as imposed on the licensed trainer. In which case, the trainer shall be jointly responsible for the assistant trainer's compliance with the rules governing racing and all the duties and responsibilities set forth in §§ 203.22 and 203.23 (relating to trainer responsibility rule; and duties of trainers).
(c) While currently employed by a trainer, an assistant trainer shall not enter a horse or otherwise compete in the same race as the employer/trainer.
§ 203.29. Substitute trainer.
(a) A trainer absent for more than 2 days from the duties and responsibilities as a licensed trainer or on a day in which the trainer has a horse in a race, shall obtain another licensed trainer to substitute.
(b) A substitute trainer shall accept full responsibility for the horses in writing and must be approved by the Judges.
(c) A substitute trainer and the absent trainer shall be jointly responsible as absolute insurers of the condition of their horses entered in an official workout or race under § 203.22 (relating to trainer responsibility rule) of these regulations.
§ 203.30. Owners authorized agents.
(a) A person undertaking or purporting to act as an authorized agent of an owner shall apply and secure a license from the Commission prior to this representation. An application for an authorized agent license shall be filed for each owner represented.
(b) A written instrument signed by the owner shall accompany the application and shall clearly set forth the delegated powers of the authorized agent. The owner's signature on the written instrument shall be acknowledged before a notary public.
(c) If the written instrument is a power of attorney it shall be filed with the Commission and attached to the regular application form.
(d) Any changes shall be made in writing and filed as set forth previously.
(e) The authorized agent's appointment may be terminated by the owner, in writing, acknowledged before a notary public and filed with the Commission whereupon the license shall not be valid.
§ 203.31. Powers and duties of an authorized agent.
(a) A licensed authorized agent may perform on behalf of the licensed owner-principal all acts relating to racing, as specified in the agency appointment, that could be performed by the principal if the principal were present.
(b) In executing any document on behalf of the principal, the authorized agent shall clearly identify the authorized agent and the owner-principal.
(c) When an authorized agent enters a claim for the account of a principal, the name of the licensed owner for whom the claim is being made and the name of the authorized agent shall appear on the claim slip or card.
(d) Authorized agents are responsible for disclosure of the true and entire ownership of each horse for which they have authority. Any change in ownership shall be reported immediately to, and approved by, the Judges and recorded by the race secretary.
§ 203.32. Eligibility for groom's license.
(a) An applicant for a license as a groom must satisfy the Commission that the application possesses the necessary qualifications, both mental and physical, to perform the duties required. Elements to be considered, among others, shall be character, reputation, temperament, experience, knowledge of the rules of racing and of the duties of a groom.
(b) In addition to the requirements set forth in Chapter 185 (relating to occupational licenses—temporary regulations) an applicant shall furnish a complete, accurate and truthful application.
§ 203.51. Application and qualifications for driver's license.
(a) In addition to the licensing requirements set forth in Chapter 185 (relating to occupational licenses—temporary regulations), all license requirements for drivers will be in accordance with the USTA Rule 17, except a restricted license as provided for in the USTA Rule A-1, section 3.
(1) The Commission shall deem a driver as qualified to compete if he has obtained a USTA license, either Provisional (P), Restricted (V) or Full Drivers (A). In cases where drivers are Provisional (P), it shall be so noted on the program. In addition to any other requirements mentioned herein the applicant shall:
(i) Furnish a complete application form.
(ii) Produce a driver's license for the current year issued by the USTA.
(2) All penalties imposed on any driver will be recorded on the reverse side of their USTA driver's license by the Presiding Judge.
(3) In the event any person is involved in an accident on the track, the Commission may order the person to submit to a physical examination and this examination must be completed within 30 days from the request or their license may be suspended until compliance therewith.
(4) This license shall be presented to the clerk of course before driving.
§ 203.52. Racing colors.
(a) No driver or trainer shall be permitted to drive in any race or other public performance unless wearing the driver's own registered colors or the owner's registered colors.
(b) Drivers must wear distinguishing colors. No driver shall be permitted to start in a race or other public performance unless, in the opinion of the Judges, the driver is properly dressed, including a clean driving outfit. All drivers in a race must wear white driving pants.
(c) During inclement weather conditions, drivers must wear rain suits in either of their colors or made of a transparent material through which their colors can be distinguished.
SUBSTANCE ABUSE AND ADDICTION
§ 203.71. Use of controlled substances.
(a) No driver, trainer, groom or official may use a controlled substance as defined in The Controlled Substance, Drug, Device and Cosmetic Act (35 P.S. §§ 780-101—780-144) or a prescription drug unless the substance was obtained under a valid prescription or order from a licensed physician while acting in the course of professional practice. The driver, trainer, groom or official is responsible for giving notice to the Presiding Judge on a form provided by the Commission that the driver, trainer, groom or official is using a controlled substance or prescription drug under a valid prescription from a licensed physician.
(b) To maintain the health, safety and welfare of all racing participants, no driver, trainer, groom or official using a controlled substance or prescription drug under a valid prescription or order will be permitted to participate in racing activities unless the physician has certified that use of the controlled substance or prescription drug will not adversely affect the driver's or official's ability to properly and safely carry out his responsibilities.
§ 203.72. Urine or other drug screening tests.
A driver, trainer, groom or official for a race may be subjected to a urine test, a swab test or any other noninvasive drug screening tests or methods for the detection of controlled substances or prescription drugs. The testing may be conducted and administered at any time, including on racing days on the track premises and in a manner prescribed by the Commission. An individual subject to this requirement who refuses to submit to the test if requested to do so by a representative of the Commission is subject to a fine of $500 and an immediate 10-day suspension to be imposed by the Judges.
§ 203.73. Testing.
A driver, trainer, groom or official who is selected to submit to a urine test, swab test or other noninvasive drug screening tests or methods shall provide a sample to a representative of the Commission and shall fully cooperate with the following procedures:
(1) The taking of the sample shall occur in the presence of a Commission representative of the same sex as the tested individual.
(2) The sample shall be sealed and tagged immediately using a form provided by the Commission. Evidence of the sealing shall be indicated by the signatures of the tested individual and the representative of the Commission.
(3) The portion of the form provided to the laboratory for analysis may not identify the tested individual by name.
(4) The sample will be initially tested utilizing a drug detection device approved by the Commission and used at a laboratory approved by the Department of Health under 28 Pa. Code § 5.50 (relating to approval to provide special analytical services) to conduct urine content drug screening tests.
§ 203.74. Test results.
(a) Action upon initial positive test result. A driver, trainer, groom or official who has initially tested positive for a controlled substance or prescription drug as part of a test administered using a portable drug detection device may be prohibited from participating in racing programs by the Presiding Judge until, in the judgment of the Presiding Judge, the tested individual is capable of safely participating in racing activities.
(b) Action upon confirmed positive test result. Initial positive test results shall be analyzed by a clinical laboratory which is approved by the Department of Health under 28 Pa. Code § 5.50 (relating to approval to provide special analytical services) to provide confirmatory urine content drug testing specialized laboratory services. If the clinical laboratory analysis confirms an initial positive test for a controlled substance or prescription drug, other than a controlled substance or prescription drug used under a valid prescription, the Bureau Director will:
(1) For the first violation, issue a written reprimand and warning and notify the tested individual that the tested individual will be subject to mandatory drug testing for a period of time as determined by the Bureau Director and that further violations shall result in the sanctions of paragraphs (2) and (3).
(2) For a second violation, require the tested individual to enroll in a treatment program approved by the Commission upon reasonable terms and conditions as required and at the cost of the tested individual. The tested individual shall be permitted to participate in racing activities prior to completion of the treatment program only if continued participation would not be detrimental to the best interests of racing or would not be unsafe, as determined by the Bureau Director or other Commission designated person. The tested individual shall provide the Commission written notice of his enrollment, weekly status reports and written notice of his successful completion of, and discharge from, the program. If a tested individual fails to comply with this paragraph, his license will be suspended until compliance is obtained. Upon successful completion of a treatment program, the tested individual will be permitted to participate in racing activities if permission had been denied by the Bureau Director.
(3) For a third or subsequent violation, inform the tested individual that the tested individual may be liable under the penalty provisions of the act or the individual may be required to enroll in a treatment program instead of the penalties, at the discretion of the Commission.
(c) Review. Actions taken by a Presiding Judge or the Bureau Director under this section are subject to review by the Commission if review is requested in writing within 10 days of receipt of written notice of the actions. The Commission may affirm, modify or reverse action taken by a Presiding Judge, or the Bureau Director if the action is consistent with the best interests of racing.
(d) Positive test. For purposes of this section, a positive test is a test result indicating the presence of any amount of a controlled substance or prescription drug.
§ 203.75. Confidentiality.
(a) Permitted disclosures. Information received in the process of obtaining a urine sample, including, but not limited to, medical information, the results of a urine test and reports filed as a result of attending a treatment program, will be treated as confidential, except for use with respect to a ruling issued under this chapter or an administrative or judicial hearing with regard to the ruling. Access to the information received or reports of positive results or reports from a treatment program will be limited to the Commissioners, the Bureau Director or a designee, counsel for the Commission and the tested individual. Nothing in this section prohibits the disclosure of a fine, suspension or revocation imposed on a licensee under this chapter.
(b) Storage and retention of information. Information received and reports prepared under this chapter will be stored in a locked, secure area in the office of the Bureau Director for 1 year, after which time they will be destroyed. However, the Commission may maintain the information received and reports on individuals who have violated this chapter for the purpose of recording the number of violations and the results of treatment, and for use if future violations occur.
§ 203.91. Safety helmets.
(a) A protective helmet meeting the 1984 Standard for Protective Headgear (Snell Memorial Foundation), Laboratory Procedure for Motorcycle Helmut Testing (Federal Motor Vehicle Safety Standard No. 218, United States Department of Transportation) or Specification for Headgear Used in Horse Sports and Horse Back Riding (ASTM Standard F085.53, Draft # 4, 1986) standards for protective harness racing headwear, securely fastened under the chin, must be worn at all times on association grounds when:
(1) Racing, parading or warming up a horse prior to racing; or
(2) Jogging, training or exercising a horse at any time.
(b) A safety helmet shall not be altered in any manner nor shall the product marking be removed or defaced.
(c) The Commission, by written notice to the regulated community and by Order published in the Pennsylvania Bulletin, may adopt the minimum standards in sections (a) and (b) for helmets as may be amended from time to time.
(d) Failure of persons to adhere to the previous safety helmet provisions may subject the person to the following penalties:
(1) First offense—a written warning;
(2) Second offense—$50 fine;
(3) Third or subsequent offense—$250 fine or suspension, or both, at the discretion of the Judges.
§ 203.101. Eligibility for Farrier's license.
(a) The issuance of a Farrier's license shall be dependent upon the applicant satisfying the requirements set forth below. An applicant shall:
(1) Be at least 18 years of age; and
(2) Be qualified, by reason of experience, background and knowledge of horseshoeing, as determined by the Commission or its appointed testing organization,
(b) As evidence of qualifications and capabilities, applicants not previously licensed in any jurisdiction shall be required to pass one or more of the following:
(1) A written examination;
(2) An interview or oral examination; or
(3) A demonstration of practical skills in horseshoeing.
(c) The Farriers' license shall be issued for a term of 3 years.
(d) If a Farrier's license is terminated by action of the Commission or by failure to renew the license for a period of 7 years, the applicant must comply with the requirements of subsection (b).
§ 203.102. Reciprocity with other states.
A Farrier's license, duly issued by and in good standing from another jurisdiction, shall be reciprocally accepted by the Commission or its testing organization as evidence of the Farrier's experience and qualifications for licensure in this Commonwealth. If requested by the Commission, the Farrier shall provide any necessary documentation from the licensing jurisdiction.
§ 203.111. Eligibility for Commission license.
An applicant for a license as a practicing veterinarian on the grounds of a licensed racing facility shall be qualified and licensed to practice veterinary medicine in this Commonwealth. An application for a practicing veterinarian license from the Commission must be accompanied by a copy of the applicant's current license to practice veterinary medicine and be otherwise qualified to be issued a license to participate in racing.
§ 203.112. Duties and responsibilities.
(a) All practicing veterinarians licensed by the Commission and authorized to access secure areas of the licensed racing facility and to participate in racing activities shall ensure the health and welfare of racehorses and shall safeguard the interests of the public and the participants in racing.
(b) It shall be the duty of every practicing veterinarian to adhere to the highest ethical and professional standards of veterinary practice. Any deviation from those standards shall be considered a violation of the rules of racing and may subject the practicing veterinarian to discipline by the Commission including fines, suspensions or revocation.
(c) All practicing veterinarians administering drugs, medications or other substances shall be responsible for ensuring that the drugs, medications or other substances and the veterinary treatment of horses are administered in accordance with rules in Subpart F (relating to foreign substances, medications, drugs and equine veterinary practices).
(1) All practicing veterinarians shall promptly notify the Commission Veterinarian of any reportable disease and any unusual incidence of a communicable illness in any horse in his/her charge.
§ 203.113. Restrictions on wagering.
A practicing veterinarian shall not wager on the outcome of any race if the practicing veterinarian has treated a horse participating in that race within the past 30 days.
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