15 U.S.C. § 3057 — Rule violations and civil sanctions

Page 1983 TITLE 15—COMMERCE AND TRADE § 3057 with section 3053 of this title, the Authority, in consultation with the Commission, shall develop and maintain a nationwide database of racehorse safety, performance, health, and injury information for the purpose of conducting an epidemiological study. (B) Collection of information In accordance with the registration of cov- ered persons under section 3054(d) of this title, the Authority may require covered persons to collect and submit to the data- base described in subparagraph (A) such in- formation as the Authority may require to further the goal of increased racehorse wel- fare. (Pub. L. 116–260, div. FF, title XII, § 1207, Dec. 27, 2020, 134 Stat. 3267.) § 3057. Rule violations and civil sanctions (a) Description of rule violations (1) In general The Authority shall issue, by rule in accord- ance with section 3053 of this title, a descrip- tion of safety, performance, and anti-doping and medication control rule violations appli- cable to covered horses and covered persons. (2) Elements The description of rule violations estab- lished under paragraph (1) may include the fol- lowing: (A) With respect to a covered horse, strict liability for covered trainers for— (i) the presence of a prohibited substance or method in a sample or the use of a pro- hibited substance or method; (ii) the presence of a permitted sub- stance in a sample in excess of the amount allowed by the horseracing anti-doping and medication control program; and (iii) the use of a permitted method in violation of the applicable limitations es- tablished under the horseracing anti- doping and medication control program. (B) Attempted use of a prohibited sub- stance or method on a covered horse. (C) Possession of any prohibited substance or method. (D) Attempted possession of any prohib- ited substance or method. (E) Administration or attempted adminis- tration of any prohibited substance or meth- od on a covered horse. (F) Refusal or failure, without compelling justification, to submit a covered horse for sample collection. (G) Failure to cooperate with the Author- ity or an agent of the Authority during any investigation. (H) Failure to respond truthfully, to the best of a covered person’s knowledge, to a question of the Authority or an agent of the Authority with respect to any matter under the jurisdiction of the Authority. (I) Tampering or attempted tampering with the application of the safety, perform- ance, or anti-doping and medication control rules or process adopted by the Authority, including— (i) the intentional interference, or an at- tempt to interfere, with an official or agent of the Authority; (ii) the procurement or the provision of fraudulent information to the Authority or agent; and (iii) the intimidation of, or an attempt to intimidate, a potential witness. (J) Trafficking or attempted trafficking in any prohibited substance or method. (K) Assisting, encouraging, aiding, abet- ting, conspiring, covering up, or any other type of intentional complicity involving a safety, performance, or anti-doping and medication control rule violation or the vio- lation of a period of suspension or eligi- bility. (L) Threatening or seeking to intimidate a person with the intent of discouraging the person from the good faith reporting to the Authority, an agent of the Authority or the Commission, or the anti-doping and medica- tion control enforcement agency under sec- tion 3054(e) of this title, of information that relates to— (i) an alleged safety, performance, or anti-doping and medication control rule violation; or (ii) alleged noncompliance with a safety, performance, or anti-doping and medica- tion control rule. (b) Testing laboratories (1) Accreditation and standards Not later than 120 days before the program effective date, the Authority shall, in con- sultation with the anti-doping and medication control enforcement agency, establish, by rule in accordance with section 3053 of this title— (A) standards of accreditation for labora- tories involved in testing samples from cov- ered horses; (B) the process for achieving and main- taining accreditation; and (C) the standards and protocols for testing such samples. (2) Administration The accreditation of laboratories and the conduct of audits of accredited laboratories to ensure compliance with Authority rules shall be administered by the anti-doping and medi- cation control enforcement agency. The anti- doping and medication control enforcement agency shall have the authority to require specific test samples to be directed to and tested by laboratories having special expertise in the required tests. (3) Extension of provisional or interim accredi- tation The Authority may, by rule in accordance with section 3053 of this title, extend provi- sional or interim accreditation to a laboratory accredited by the Racing Medication and Test- ing Consortium, Inc., on a date before the pro- gram effective date. (4) Selection of laboratories (A) In general Except as provided in paragraph (2), a State racing commission may select a lab- Page 1984 TITLE 15—COMMERCE AND TRADE § 3058 oratory accredited in accordance with the standards established under paragraph (1) to test samples taken in the applicable State. (B) Selection by the authority If a State racing commission does not se- lect an accredited laboratory under subpara- graph (A), the Authority shall select such a laboratory to test samples taken in the State concerned. (c) Results management and disciplinary process (1) In general Not later than 120 days before the program effective date, the Authority shall establish in accordance with section 3053 of this title— (A) rules for safety, performance, and anti- doping and medication control results man- agement; and (B) the disciplinary process for safety, per- formance, and anti-doping and medication control rule violations. (2) Elements The rules and process established under paragraph (1) shall include the following: (A) Provisions for notification of safety, performance, and anti-doping and medica- tion control rule violations. (B) Hearing procedures. (C) Standards for burden of proof. (D) Presumptions. (E) Evidentiary rules. (F) Appeals. (G) Guidelines for confidentiality and pub- lic reporting of decisions. (3) Due process The rules established under paragraph (1) shall provide for adequate due process, includ- ing impartial hearing officers or tribunals commensurate with the seriousness of the al- leged safety, performance, or anti-doping and medication control rule violation and the pos- sible civil sanctions for such violation. (d) Civil sanctions (1) In general The Authority shall establish uniform rules, in accordance with section 3053 of this title, imposing civil sanctions against covered per- sons or covered horses for safety, performance, and anti-doping and medication control rule violations. (2) Requirements The rules established under paragraph (1) shall— (A) take into account the unique aspects of horseracing; (B) be designed to ensure fair and trans- parent horseraces; and (C) deter safety, performance, and anti- doping and medication control rule viola- tions. (3) Severity The civil sanctions under paragraph (1) may include— (A) lifetime bans from horseracing, disgorgement of purses, monetary fines and penalties, and changes to the order of finish in covered races; and (B) with respect to anti-doping and medi- cation control rule violators, an opportunity to reduce the applicable civil sanctions that is comparable to the opportunity provided by the Protocol for Olympic Movement Test- ing of the United States Anti-Doping Agen- cy. (e) Modifications The Authority may propose a modification to any rule established under this section as the Authority considers appropriate, and the pro- posed modification shall be submitted to and considered by the Commission in accordance with section 3053 of this title. (Pub. L. 116–260, div. FF, title XII, § 1208, Dec. 27, 2020, 134 Stat. 3269.) § 3058. Review of final decisions of the Authority (a) Notice of civil sanctions If the Authority imposes a final civil sanction for a violation committed by a covered person pursuant to the rules or standards of the Au- thority, the Authority shall promptly submit to the Commission notice of the civil sanction in such form as the Commission may require. (b) Review by administrative law judge (1) In general With respect to a final civil sanction im- posed by the Authority, on application by the Commission or a person aggrieved by the civil sanction filed not later than 30 days after the date on which notice under subsection (a) is submitted, the civil sanction shall be subject to de novo review by an administrative law judge. (2) Nature of review (A) In general In matters reviewed under this subsection, the administrative law judge shall deter- mine whether— (i) a person has engaged in such acts or practices, or has omitted such acts or practices, as the Authority has found the person to have engaged in or omitted; (ii) such acts, practices, or omissions are in violation of this chapter or the anti- doping and medication control or race- track safety rules approved by the Com- mission; or (iii) the final civil sanction of the Au- thority was arbitrary, capricious, an abuse of discretion, or otherwise not in accord- ance with law. (B) Conduct of hearing An administrative law judge shall conduct a hearing under this subsection in such a manner as the Commission may specify by rule, which shall conform to section 556 of title 5. (3) Decision by administrative law judge (A) In general With respect to a matter reviewed under this subsection, an administrative law judge— (i) shall render a decision not later than 60 days after the conclusion of the hearing;