71 IAC 10-7-1 Civil penalty schedule

Sec. 1. (a) The following are the civil penalty base violation fines, which may be adjusted to a higher or lower amount based on mitigating or aggravating factors listed in 71 IAC 10-6-2 and 71 IAC 10-6-3: Legal Citation General Description of Violation Base Violation Fine 71 IAC 3-1-3 Prohibited practices by racing officials $250 71 IAC 3.5-1-4 Prohibited practices by racing officials $250 71 IAC 4-3-15(e) Pylon violation $200 if horse placed in race, $100 if inquiry without placing 71 IAC 5-1-1(a) Participation in pari-mutuel racing without a license $2,500 71 IAC 5-1-26 Failure to cooperate with commission representatives or association security $250 71 IAC 5-3-2 Trainer responsibility regarding presence of drug, medication, or other substance in horse ARCI penalty 71 IAC 5-3-3(a)(1) through 71 IAC 5-3-3(a)(4) Trainer responsibility regarding stable cleanliness, safety, and employee rosters $100 71 IAC 5-3-3(a)(5) Trainer responsibility regarding horse identity, care, health, condition, and safety $250 71 IAC 5-3-3(a)(6) Horse ownership disclosure violation $2,500 71 IAC 5-3-3(a)(7) Trainer requirement to train horses they own (fine applies when horse races for another trainer) $500 71 IAC 5-3-3(a)(8) Trainer fails to register horse with racing secretary $100 71 IAC 5-3-3(a)(9) Trainer fails to use commission licensed veterinarian when on licensed premises $500 71 IAC 5-3-3(a)(10) Trainer fails to report gelding $100 71 IAC 5-3-3(a)(11) Trainer fails to report denerving $1,000 71 IAC 5-3-3(a)(12) Trainer fails to report serious illness in horses $250 71 IAC 5-3-3(a)(13) Trainer fails to report horse death $250 71 IAC 5-3-3(a)(14) Trainer fails to maintain medication treatment records $100 71 IAC 5-3-3(a)(15) Trainer fails to report prohibited drug administrations $2,500 71 IAC 5-3-3(a)(17) Trainer responsibility to ensure horses are eligible when entered $100 71 IAC 5-3-3(a)(19) Horse scratched for improper shoes, bandages, or other equipment $250 71 IAC 5-3-3(a)(20) Horse scratched for equipment used obstructing visibility of head or saddle pad $250 71 IAC 5-3-3(a)(21) Trainer responsibility for horse timely reporting to paddock $100 71 IAC 5-3-3(a)(22) Trainer or designee fails to attend to their own horse in paddock $200 71 IAC 5-3-3(a)(23) Trainer fails to instruct driver to give best effort $100 71 IAC 5-3-3(a)(24) Trainer or designee responsibility for attending to horse in test barn $100 71 IAC 5-3-3(a)(25) Trainer responsibility for notifying owner of positive drug test $100 71 IAC 5-3-3(a)(26) Trainer fails to notify owner of suspension or revocation of trainer's license $100 71 IAC 5-3-3(a)(27) Trainer fails to protect and guard horses in their care $250 71 IAC 5-3-3(a)(28) Trainer responsibility for accounting for fees $100 71 IAC 5-3-3(a)(29) Trainer responsibility for determining training regimen $500 71 IAC 5-3-3(a)(30) Trainer responsibility for ensuring owners are licensed before racing $100 71 IAC 5-3-3(a)(31) Trainer responsibility for notifying judges or commission of practicing veterinarian being in contact with entered horse within 24 hours of race $500 71 IAC 5-3-3(c) Trainer assigning duties to ineligible/unlicensed persons $500 71 IAC 5-3-3(d) Trainer assuming responsibilities for a horse not under the trainer's active care, custody, and supervision $500 71 IAC 5-3-3(e) Trainer practicing under name other than their true name $250 71 IAC 5-3-3.1 "In Today" violations $250 71 IAC 5-3-4 Trainer wagering on horses or entries not their own $5,000 71 IAC 5-4-2 Driver leaving paddock area without permission $100 71 IAC 5.5-1-1(a) Participation in pari-mutuel racing without license $250 71 IAC 5.5-1-8 Employing or harboring unlicensed persons on grounds; employer duty to report discharge of licensed employee $100 71 IAC 5.5-1-10.1 Employer required to carry workers' compensation insurance $250 71 IAC 5.5-1-25 Safety helmet violation $100 71 IAC 5.5-1-26 Safety vest violation $100 71 IAC 5.5-1-28 Failure to cooperate with commission representatives or association security $250 71 IAC 5.5-1-29 Duty to report irregularities $100 71 IAC 5.5-3-2 Trainer responsibility regarding presence of drug, medication, or other substance in horse ARCI penalty 71 IAC 5.5-3-3(a)(1) through 71 IAC 5.5-3-3(a)(4) Trainer responsibility regarding stable cleanliness, safety, and employee rosters $100 71 IAC 5.5-3-3(a)(5) Trainer responsibility regarding horse identity, care, health, condition, and safety $250 71 IAC 5.5-3-3(a)(6) Horse ownership disclosure violation $250 71 IAC 5.5-3-3(a)(7) Trainer requirement to train horses they own (fine applies when horse races for another trainer) $500 71 IAC 5.5-3-3(a)(8) Trainer fails to register horse with racing secretary $100 71 IAC 5.5-3-3(a)(9) Trainer fails to use commission licensed veterinarian when on licensed premises $500 71 IAC 5.5-3-3(a)(10) Trainer fails to report gelding $100 71 IAC 5.5-3-3(a)(11) Trainer fails to report denerving $1,000 71 IAC 5.5-3-3(a)(12) Trainer fails to report serious illness in horses $250 71 IAC 5.5-3-3(a)(13) Trainer fails to report horse death $250 71 IAC 5.5-3-3(a)(14) Trainer fails to maintain medication treatment records $100 71 IAC 5.5-3-3(a)(15) Trainer fails to report prohibited drug administrations $2,500 71 IAC 5.5-3-3(a)(17) Trainer responsibility to ensure horses are eligible when entered $100 71 IAC 5.5-3-3(a)(19) Horse scratched for improper shoes, bandages, or other equipment $250 71 IAC 5.5-3-3(a)(20) Trainer responsibility for horse timely reporting to paddock $100 71 IAC 5.5-3-3(a)(21) Trainer fails to attend to their own horse in paddock $100 71 IAC 5.5-3-3(a)(22) Trainer fails to instruct jockey to give best effort $100 71 IAC 5.5-3-3(a)(23) Trainer or designee responsibility for attending to horse in test barn $100 71 IAC 5.5-3-3(a)(24) Trainer responsibility for notifying owner of positive drug test $100 71 IAC 5.5-3-3(a)(25) Trainer fails to notify owner of suspension or revocation of trainer's license $100 71 IAC 5.5-3-3(a)(26) Trainer fails to protect and guard horses in their care $250 71 IAC 5.5-3-3(a)(27) Trainer responsibility for accounting for fees $100 71 IAC 5.5-3-3(a)(28) Trainer responsibility for determining training regimen $500 71 IAC 5.5-3-3(a)(29) Trainer responsibility for ensuring owners are licensed before racing $250 71 IAC 5.5-3-3(a)(30) Trainer responsibility for notifying stewards of practicing veterinarian in contact with entered horse within 24 hours of race $500 71 IAC 5.5-3-3(c) Trainer assigning duties to ineligible/unlicensed persons $500 71 IAC 5.5-3-3(d) Trainer assuming responsibilities for a horse not under the trainer's active care, custody, and supervision $500 71 IAC 5.5-3-3(e) Trainer practicing under name other than their true name $250 71 IAC 5.5-3-3(f) Trainer training for another licensed trainer in Indiana $250 71 IAC 5.5-3-3.1 "In Today" violations $250 71 IAC 5.5-3-4 Trainer wagering on horses or entries not their own $5,000 71 IAC 5.5-4-4(a) Jockey responsibility to give best effort $500 71 IAC 5.5-4-4(f) Jockey uniform responsibility $100 71 IAC 5.5-4-5 Jockey wagering restrictions $5,000 71 IAC 5.5-4-6 Prohibition against competing in race against horse belonging to or trained by spouse $500 71 IAC 5.5-5-2 Jockey agent limitations $500 71 IAC 5.5-5-3 Jockey agent responsibility violations $500 71 IAC 5.5-5-4 Jockey agent area prohibitions $100 71 IAC 5.5-5-5 Jockey agent withdrawal requirement $100 71 IAC 6-1-3(o) Claimed horse racing restrictions $500 71 IAC 6-1-3(v) Claimed horse restriction on racing at prohibited locations $500 71 IAC 6.5-1-1(a) Claimed horse warranties $1,000 71 IAC 6.5-1-1(f) In-foal filly or mare claiming race requirements $1,000 71 IAC 6.5-1-4(a) through 71 IAC 6.5-1-4(d); 71 IAC 6.5-1-4(h) Claiming restrictions regarding claiming and transfers $1,000 71 IAC 7-1-4 Disclosing horse ownership $2,500 71 IAC 7-1-5(b) Changing trainer for horse entered and drawn to start $200 71 IAC 7-1-5(c) Improper listing of trainer for horse $2,500 71 IAC 7-1-33 Horse leaving paddock after checking into paddock $200 71 IAC 7-1-34 Horse stabled on grounds leaving before race without permission $200 71 IAC 7-2-3.5(e) Lack of reasonable effort to reach the fair start pole $100 71 IAC 7-2-7 Violations incurred before or during start of race $100 71 IAC 7-2-9(b) Driver fails to follow instruction of starter $100 71 IAC 7-3-3 Driver/trainer/owner wagering on horses other than their own $2,500 71 IAC 7-3-4 Drivers conversing in or after entering paddock before race $100 71 IAC 7-3-5 Driver safety helmet $100 71 IAC 7-3-6 Driver attire $500 71 IAC 7-3-7 Driving rules during race $200 71 IAC 7-3-9(a) Late driver change after scratch time $100 71 IAC 7-3-9(d) Failure to drive when programmed $100 each missed drive 71 IAC 7-3-11 Driver personal conduct during race $100 71 IAC 7-3-12 Driver improperly placing feet in stirrups $200 71 IAC 7-3-13 Whip restriction violation $250 71 IAC 7-3-17 Driver breaks to fraudulently lose heat $500 71 IAC 7-3-25(2) Disorderly conduct – appearing in paddock in unfit condition $250 71 IAC 7-3-25(3) Disorderly conduct - fighting $500 71 IAC 7-3-25(4) Disorderly conduct – assault $500 71 IAC 7-3-25(5) Disorderly conduct – offensive language $500 71 IAC 7-3-25(6) Disorderly conduct – smoking violation $50 71 IAC 7-3-25(7) Disorderly conduct – warming up horse without silks $50 71 IAC 7-3-25(8) Disorderly conduct – disturbing the peace $500 71 IAC 7-3-31(a)(6); 71 IAC 7-3-31(a)(8) Third party making wager for driver on horse other than driver's; driver accepting ticket or betting on horse other than horse they drive $2,500 71 IAC 7-5-1(1) Disorderly conduct – failing to obey judge's orders $500 71 IAC 7-5-1(2) Disorderly conduct – fighting $500 71 IAC 7-5-1(4) Disorderly conduct – offensive language $500 71 IAC 7-5-1(5) Disorderly conduct – disturbing the peace $500 71 IAC 7-5-2 Using improper language $500 71 IAC 7.5-1-15(b) Trainer listing changes to horses entered and drawn $250 71 IAC 7.5-1-15(c) Improper listing of trainer for horse $2,500 71 IAC 7.5-2-2(g) Improper racing after horse is scratched $500 71 IAC 7.5-4-4 Track training or workout during prohibited hours $250 71 IAC 7.5-5-1(a)(1) Thoroughbred horse not on grounds at established time $250 71 IAC 7.5-5-1(a)(2) Quarter horse not on grounds at established time $250 71 IAC 7.5-5-1(a)(3) Improper tattoo or microchip on horse $250 71 IAC 7.5-5-1(a)(4) Horse improperly registered under proper breed $250 71 IAC 7.5-5-1(a)(5) Fraudulent entry with altered registration $1,000 71 IAC 7.5-5-1(a)(6); 71 IAC 7.5-5-1(a)(7) Using paper trainer instead of disqualified person under Indiana rules $2,500 71 IAC 7.5-5-1(a)(8) Horse scratched due to unpaid entry fees $250 71 IAC 7.5-5-1(a)(9) Horse scratched is on starter's, steward's, or veterinarian's list $250 71 IAC 7.5-5-1(a)(10) Horse scratched due to being first time starter and not approved to start $250 71 IAC 7.5-5-1(a)(11) Horse owned by undisclosed person or interest $250 71 IAC 7.5-5-1(a)(12) Horse scratched due to insufficient workout publication $250 71 IAC 7.5-5-1(a)(13) Horse scratched due to stakes entry and later transferred without informing racing secretary $250 71 IAC 7.5-5-1(a)(15) Horse scratched due to being subject to lease not filed with stewards $250 71 IAC 7.5-5-1(a)(17) Horse was denerved without approval by official veterinarian $1,000 71 IAC 7.5-5-1(a)(18) Horse scratched and has been trachea tubed to artificially assist breathing $1,000 71 IAC 7.5-5-1(a)(19) Horse scratched due to denerving above the ankle $5,000 71 IAC 7.5-5-1(a)(20) Horse scratched due to impairment in both eyes $1,000 71 IAC 7.5-5-1(a)(21) Horse scratched due to being barred or suspended in any jurisdiction $1,000 71 IAC 7.5-5-1(a)(22) Horse scratched for not meeting eligibility of race $250 71 IAC 7.5-5-1(a)(23) Horse scratched due to owner or lessor being in arrears for any stake fees, unless approved by racing secretary $250 71 IAC 7.5-5-1(a)(24) Horse scratched due to owner or trainer not completing commission licensing procedures $250 71 IAC 7.5-5-1(a)(26) Horse scratched due to failure to file negative certificate for equine infectious anemia $250 71 IAC 7.5-5-1(a)(27); 71 IAC 7.5-5-1(a)(28) Horse scratched due to improper shodding $250 71 IAC 7.5-5-1(a)(29) Horse scratched due to exceeding 12 year age limit $250 71 IAC 7.5-5-1(a)(30) Horse scratched due to being a maiden that has reached the age of at least 6 years with less than 6 starts $250 71 IAC 7.5-5-1(a)(31) Horse scratched due to race date within 10 days after shock wave or radial pulse therapy $500 71 IAC 7.5-5-1(a)(32) Horse scratched due to not making an official start in the previous 240 days, being first time starter older than the age of 4 years, or not fulfilling requirements of 71 IAC 7.5-4-1(b) $250 71 IAC 7.5-5-2(i) Falsifying, refusing, or concealing information for entrant $2,500 71 IAC 7.5-6-1 Equipment violation $100 71 IAC 7.5-6-3(f) Jockey safety vest violation $100 71 IAC 7.5-6-3(i) Jockey race day readmittance violation $100 71 IAC 7.5-6-5(e) Jockey fails to ride out each race and not let up $500 71 IAC 7.5-6-5(f) Misusing whip/electrical device $250/$5,000 71 IAC 7.5-7-3 Fraudulent practices $1,000 71 IAC 7.5-9-1 Disorderly conduct violations $250 71 IAC 7.5-9-2 Using improper language $250 71 IAC 8-1-1.5(a) Horse carrying foreign substance during race ARCI penalty 71 IAC 8-1-1.5(b) through 71 IAC 8-1-1.5(e) Administering prohibited substance within 24 hours of race $1,000 71 IAC 8-1-2 Foreign substance in horses ARCI penalty 71 IAC 8-1-2.1(a) Prohibited thyroid supplementation ARCI penalty 71 IAC 8-1-2.1(f) Possessing thyroxine, thyroid hormone, or thyroid hormone analog $2,500 71 IAC 8-1-4.1 NSAID violation ARCI penalty 71 IAC 8-1-4.2 Threshold drug violations ARCI penalty 71 IAC 8-1-5 Furosemide violation ARCI penalty 71 IAC 8-1-7 Drug classification and penalties ARCI penalty 71 IAC 8-1-8 AAS medication violations ARCI penalty 71 IAC 8-1-9 Regulatory threshold drug violations ARCI penalty 71 IAC 8-2-2.5(c) Excess TCO2 violation ARCI penalty 71 IAC 8-2-7 Horse in paddock time requirement $200 71 IAC 8-2-8 Trainer or designee in paddock $200 71 IAC 8-3-5(f) Presence of prohibited substances in out of competition testing ARCI penalty 71 IAC 8-3-5(g) Trainer or owner cooperation with out of competition investigations $1,000 71 IAC 8-3-5(j) Trainer responsibility for horse during out of competition testing on licensed facility $1,000 71 IAC 8-5-1 Veterinarian practicing while ineligible $2,500 71 IAC 8-5-2(b) Veterinarian wagering $1,000 71 IAC 8-5-2(c) Veterinarian furnishing injection devices $5,000 71 IAC 8-5-3 Veterinarian using nonapproved injection devices $1,000 71 IAC 8-5-5 Veterinarian fails to maintain sufficient records of treatment $250 71 IAC 8-5-6 Veterinarian fails to report horse illness $500 71 IAC 8-5-10 Veterinarian predrawn injection requirements $1,000 71 IAC 8-5-12 Veterinarian pre-race contact with horse violation $2,500 71 IAC 8-6-1 Possessing drug without a prescription $1,000 71 IAC 8-6-2(a) Possessing or using prohibited substances $5,000 71 IAC 8-6-2(b)(1) Racing or breezing within 10 days after shockwave treatment $500 71 IAC 8-6-2(b)(2) List of horses given shockwave during the last 10 days not accessible $250 71 IAC 8-6-2(b)(3) Shockwave therapy administered by any person other than nonpracticing veterinarian $2,500 71 IAC 8-6-2(b)(4) Using unregistered/unapproved shockwave machines $1,000 71 IAC 8-6-2(b)(5) Shockwave treatment administered and not reported to official veterinarian and judges $500 71 IAC 8-6-2(b)(6) Trainer fails to report shockwave treatments to official veterinarian and stewards within 24 hours after treatment $500 71 IAC 8-6-2(b)(8) Participating in administering shockwave ARCI penalty 71 IAC 8-6-2(c) Possessing or using certain drugs, substances, or medication not approved by FDA and commission $1,000 71 IAC 8-6-2(d) Veterinarian possessing approved drugs exceeding amount needed $1,000 71 IAC 8-6-2(f) Possessing or using certain drugs, substances, or medication not approved by FDA and commission $1,000 71 IAC 8-6-2(g) Extra-label use of medication $1,000 71 IAC 8-6-2(h) through 71 IAC 8-6-2(j) Mislabeling or failing to label equine medication $1,000 71 IAC 8-6-2(k) Labeling requirements for prescription medication $1,000 71 IAC 8-6-2(l) Practicing, administering, and applying treatments or procedures on entered horse adversely affecting integrity of racing or endangering human or equine participants $5,000 71 IAC 8-6-3(c) Using bisphosphonates ARCI penalty 71 IAC 8-7-1 Possessing contraband by nonveterinarian $1,000 71 IAC 8-8-2 Failure to report horse death $1,000 71 IAC 8-11-3 Positive intoxicated test results $250 71 IAC 8-13-1(d) Altering test results $2,500 71 IAC 8.5-1-1.5(a) Horse carrying foreign substance during race ARCI penalty 71 IAC 8.5-1-1.5(b) through 71 IAC 8.5-1-1.5(e) Administering prohibited substance within 24 hours of race $1,000 71 IAC 8.5-1-2 Foreign substance in horse ARCI penalty 71 IAC 8.5-1-2.1 Clenbuterol prohibition ARCI penalty 71 IAC 8.5-1-2.2 Albuterol prohibition ARCI penalty 71 IAC 8.5-1-2.3 Beta-agonist prohibition ARCI penalty 71 IAC 8.5-1-2.5 Thyroxine prohibition $2,500 71 IAC 8.5-1-4.1 NSAID violation ARCI penalty 71 IAC 8.5-1-4.2 Threshold drug violations ARCI penalty 71 IAC 8.5-1-4.5(a) Violating ARCI corticosteroid standards ARCI penalty 71 IAC 8.5-1-4.5(b)(2) Intra-articular injection violation by nonlicensed veterinarians $500 71 IAC 8.5-1-4.5(b)(3) Failure to report intra-articular injection violation $500 71 IAC 8.5-1-4.5(b)(4) Trainer responsibility for reporting corticosteroid treatment $500 71 IAC 8.5-1-5 Furosemide used outside allowed parameters ARCI penalty 71 IAC 8.5-1-7 Failure to consider ARCI when penalizing medication violations ARCI penalty 71 IAC 8.5-1-8 AAS violations ARCI penalty 71 IAC 8.5-1-9 Regulatory threshold drug ARCI penalty 71 IAC 8.5-2-5(f) Presence of prohibited substances in out of competition testing ARCI penalty 71 IAC 8.5-2-5(g) Out of competition testing cooperation requirements $250 each horse 71 IAC 8.5-4-1 Veterinarian practicing while ineligible $2,500 71 IAC 8.5-4-2(a) Veterinarian prohibition on horse ownership $500 71 IAC 8.5-4-2(b) Veterinarian wagering $1,000 71 IAC 8.5-4-2(c) Veterinarian furnishing injection devices $5,000 71 IAC 8.5-4-3 Veterinarian using nonapproved injection devices $1,000 71 IAC 8.5-4-5 Veterinarian fails to maintain sufficient records of treatment $250 71 IAC 8.5-4-6 Veterinarian fails to report horse illness $500 71 IAC 8.5-4-7 Improper storage of medical supplies and drugs $500 71 IAC 8.5-4-9 Veterinarian vehicle occupied in stable area $100 71 IAC 8.5-4-10 Veterinarian predrawn injection requirements $1,000 71 IAC 8.5-4-12 Veterinarian pre-race contact with horse violation $2,500 71 IAC 8.5-5-1 Possessing drug without prescription $1,000 71 IAC 8.5-5-2(a) Possessing or using prohibited substances $5,000 71 IAC 8.5-5-2(b)(1) Racing or breezing within 10 days after shockwave treatment $500 71 IAC 8.5-5-2(b)(2) List of horses given shockwave during the last 10 days not accessible $250 71 IAC 8.5-5-2(b)(3) Shockwave therapy administered by any person other than nonpracticing veterinarian $2,500 71 IAC 8.5-5-2(b)(4) Using unregistered/unapproved shockwave machines $1,000 71 IAC 8.5-5-2(b)(5) Shockwave treatment administered and not reported to official veterinarian and stewards $500 71 IAC 8.5-5-2(b)(6) Trainer fails to report shockwave treatments to official veterinarian and stewards within 24 hours after treatment $500 71 IAC 8.5-5-2(b)(8) Participating in administering shockwave ARCI penalty 71 IAC 8.5-5-2(c) Possessing or using certain drugs, substances, or medication not approved by FDA and commission $1,000 71 IAC 8.5-5-2(d) Veterinarian possessing approved drugs exceeding amount needed $1,000 71 IAC 8.5-5-2(f) Possessing or using shockwave machine in violation of 71 IAC 8.5 $2,500 71 IAC 8.5-5-2(g) Extra-label use of medication $1,000 71 IAC 8.5-5-2(h) through 71 IAC 8.5-5-2(j) Mislabeling or failing to label equine medication $1,000 71 IAC 8.5-5-2(k) Labeling requirements for prescription medication $1,000 71 IAC 8.5-5-2(l) Practicing, administering, and applying treatments or procedures on entered horse adversely affecting the integrity of racing or endangering human or equine participants $5,000 71 IAC 8.5-5-3 Using bisphosphonates ARCI penalty 71 IAC 8.5-6-1 Possessing contraband by nonveterinarian $1,000 71 IAC 8.5-7-2 Requirements for postmortem examination and disposal $2,500 71 IAC 8.5-10-1 Possessing controlled substances $100 71 IAC 8.5-10-6 Positive drug test $100 71 IAC 8.5-11-3 Failure to pass alcohol breath test $100 71 IAC 8.5-13-6 Penalties for TCO2 violation ARCI penalty 71 IAC 8.5-13-7 Presence of horse in ship-in barn $100 71 IAC 8.5-13-8 Presence of caretaker with horse $100 71 IAC 12-2-2 Satellite facility or simulcasting violations listed in 71 IAC 12 $5,000 71 IAC 13-1-10 Breach of obligations for horsemen's associations listed in 71 IAC 13 $5,000 (b) The general descriptions in the table in subsection (a) are for reference only. Rule references under the legal citations in the table in subsection (a) must be referenced for violation details.