Cal. Code Regs. tit. 3 § 1280.11

Current through Register 2024 Notice Reg. No. 49, December 6, 2024

Section 1280.11 - Fines and Penalties

(a) Failure to comply with the provisions of this Chapter or Chapter 8 (commencing with section 24000) of Division 11 of the Food and Agricultural Code, and any regulations adopted pursuant to them, constitutes a violation punishable by a fine of not less than one hundred dollars ($100) or more than ten thousand dollars ($10,000). The Department shall use the provisions of this section to determine the violation class and amount of the penalty.

(b) For the purposes of this section, violation classes are designated as "serious," "moderate," and "minor" to establish maximum penalty amounts. Repeat violations may result in an escalation of violation class. Serious and moderate violations may be downgraded based upon the evidence, the factual circumstances, mitigating factors and the cooperation of the violator.

(1) "Serious." Violations that cause significant performance enhancement of the equine or deceptive business practices that include the second offense, third offense, and any subsequent offenses for failure to submit a horse for sample collection; the first offense, second offense, and any subsequent offenses for detection of a non-therapeutic prohibited substance; the second offense and any subsequent offenses for detection of therapeutic prohibited substances; the third offense and any subsequent offenses for detection of two Nonsteroidal Anti-inflammatory Drugs (NSAIDs) in a sample; the third offense and any subsequent offenses for detection of a permissible substance over the maximum detectable plasma level; and the second offense, third offense, and any subsequent offenses for administration of a prohibited injectable substance within 12 hours of competition. Serious violations also include the third offense and any subsequent offenses for failure of an event manager to register an event at least 60 days in advance of the event and the third offense and any subsequent offenses for failure of an event manager to submit fees within 15 days after the final day of the event.

(A) The suspended individual is not permitted entry to the grounds of any registered event in the state of California during the suspension period. Event managers may not permit participation of a suspended individual in the registered event and event managers must immediately notify the Department of a suspended individual's presence on the event grounds. Event managers who permit participation of a suspended individual are subject to a violation and civil penalty in accordance with Food and Agricultural Code sections 24007 and 24015(c).

(2) "Moderate." Violations in which there is a potential for intermediate level of competitive harm that include the first offense for failure to submit a horse for sample collection; the first offense for detection of a therapeutic prohibited substance; the second offense for detection of a permissible substance over the maximum detectable plasma level; the second offense for detection of two Nonsteroidal Anti-inflammatory Drugs (NSAIDs) in a sample; and the first offense for administration of a prohibited injectable substance within 12 hours of competition. Moderate violations also include the second offense for failure of an event manager to register an event at least 60 days in advance of the event and the second offense for failure of an event manager to submit fees within 15 days after the final day of the event.

(3) "Minor." Violations that are unintentional and have minimal performance enhancing action in the competition, including the first offense for detection of a permissible substance over the maximum detectable plasma level and the first offense for detection of two Nonsteroidal Anti-inflammatory Drugs (NSAIDs) in a sample. Minor violations also include the first offense for failure of an event manager to register an event at least 60 days in advance of the event and the first offense for failure of an event manager to submit fees within 15 days after the final day of the event. The Department may issue a notice of warning for minor violations.

(c) Table "A" Equine Medication Monitoring Program Violations Matrix is to be used to establish the level of severity of a particular violation and the corresponding penalty range for "serious," "moderate," and "minor" violation classes.

TABLE A: EQUINE MEDICATION MONITORING PROGRAM VIOLATIONS MATRIX

Title 3, CCR Section	Description of the Violation	Minor	Moderate	Serious	Penalty
1280.1(b)	Failure of Event Manager to Register Event at least 60 days in advance of the event - First Offense	X			Violations may be assessed at a minimum of $100 up to $500.
1280.1(b)	Failure of Event Manager to Register Event at least 60 days in advance of the event - Second Offense		X		Violations may be assessed at a minimum of $500 up to $2,000.
1280.1(b)	Failure of Event Manager to Register Event at least 60 days in advance of the event - Third Offense and any subsequent offenses			X	Violations may be assessed at a minimum of $2,000 up to $10,000
1280.2(c)	Failure of Event Manager to Submit Fees within 15 days after the final day of the event - First Offense	X			Violations may be assessed at a minimum of $100 up to $500 plus civil penalties of 10% of the amount due plus interest rate of 1.5% per month.
1280.2(c)	Failure of Event Manager to Submit Fees within 15 days after the final day of the event - Second Offense		X		Violations may be assessed at a minimum of $500 up to $2,000 plus civil penalties of 10% of the amount due plus interest rate of 1.5% per month.
1280.2(c)	Failure of Event Manager to Submit Fees within 15 days after the final day of the event - Third Offense and any subsequent offenses			X	Violations may be assessed at a minimum of $2,000 up to $10,000 plus civil penalties of 10% of the amount due plus interest rate of 1.5% per month.
1280.7(b)	Failure to Submit Horse for Sample Collection - First Offense		X		Violations may be assessed at a minimum of $1,000 to $2,000.
1280.7(b)	Failure to Submit Horse for Sample Collection - Second Offense			X	Violations may be assessed at a minimum of $5,000 to $10,000.
1280.7(b)	Failure to Submit Horse for Sample Collection - Third Offense and any subsequent offenses			X	Violations may be assessed at $10,000 and possible suspension of the owner, trainer or both from competition for 90 days to one year.
1280.8(b)	Detection of a Non-Therapeutic Prohibited Substance - First Offense			X	Violations may be assessed at a minimum of $2,000 up to $5,000 and possible suspension of the owner, trainer or both from competition for 90 days to one year.
1280.8(b)	Detection of a Non-Therapeutic Prohibited Substance - Second Offense and any subsequent offenses			X	Violations may be assessed at a minimum of $5,000 up to $10,000 and possible suspension of the owner, trainer or both from competition for 90 days to one year.
1280.8(c)(1)	Detection of a Therapeutic Prohibited Substance - First Offense		X		Violations may be assessed at a minimum of $1,000 up to $2,000.
1280.8(c)(1)	Detection of a Therapeutic Prohibited Substance - Second Offense and any subsequent offenses			X	Violations may be assessed at a minimum of $2,000 up to 10,000 and possible suspension of the owner, trainer or both from competition for 90 days to one year.
1280.8(c)(3)	Detection of two Nonsteroidal Anti-inflammatory Drugs (NSAIDs) in a sample - First Offense	X			Violations may be assessed at $500.
1280.8(c)(3)	Detection of two Nonsteroidal Anti-inflammatory Drugs (NSAIDs) in a sample - Second Offense			X	Violations may be assessed at a minimum of $1,000 up to $2,000.
1280.8(c)(3)	Detection of two Nonsteroidal Anti-inflammatory Drugs (NSAIDs) in a sample - Third Offense and any subsequent offenses			X	Violations may be assessed at a minimum of $2,000 up to $10,000.
1280.8(c)(4)	Detection of a permissible substance over the maximum detectable plasma level - First Offense	X			Violations may be assessed at $500.
1280.8(c)(4)	Detection of a permissible substance over the maximum detectable plasma level - Second Offense		X		Violations may be assessed at a minimum of $1,000 up to $2,000.
1280.8(c)(4)	Detection of a permissible substance over the maximum detectable plasma level - Third Offense and any subsequent offenses			X	Violations may be assessed at a minimum of $2,000 up to $10,000.
1280.8(d)	Administration of a prohibited injectable substance within 12 hours of competition - First Offense		X		Violations may be assessed at a minimum of $1,000 up to $2,000.
1280.8(d)	Administration of a prohibited injectable substance within 12 hours of competition - Second Offense			X	Violations may be assessed at a minimum of $2,000 up to $5,000.
1280.8(d)	Administration of a prohibited injectable substance within 12 hours of competition - Third Offense and any subsequent offenses			X	Violations may be assessed at a minimum of $5,000 up to $10,000 and possible suspension of the owner, trainer or both from competition for 90 days to one year.

Cal. Code Regs. Tit. 3, § 1280.11

1. New section filed 10-22-2015; operative 1-1-2016 (Register 2015, No. 43). For prior history, see Register 81, No. 26.
2. Amendment of subsections (b)(1) and (b)(2)-(3) and Table A within subsection (c) filed 6-18-2018; operative 6-18-2018 pursuant to Government Code section 11343.4(b)(3) (Register 2018, No. 25).
3. Amendment of Table A within subsection (c) filed 1-7-2021; operative 4-1-2021 (Register 2021, No. 2). (OAL review extended 60 calendar days pursuant to Executive Order N-40-20.)

Note: Authority cited: Sections 407 and 24013, Food and Agricultural Code. Reference: Sections 24002, 24003, 24004, 24005, 24006, 24007, 24008, 24009, 24010, 24011, 24011.6, 24012 and 24015, Food and Agricultural Code.

1. New section filed 10-22-2015; operative 1/1/2016 (Register 2015, No. 43). For prior history, see Register 81, No. 26.
2. Amendment of subsections (b)(1) and (b)(2)-(3) and Table A within subsection (c) filed 6-18-2018; operative 6/18/2018 pursuant to Government Code section 11343.4(b)(3) (Register 2018, No. 25).
3. Amendment of Table A within subsection (c) filed 1-7-2021; operative 4/1/2021 (Register 2021, No. 2). (OAL review extended 60 calendar days pursuant to Executive Order N-40-20.)