The Orders and Rules of Racing

Penalties

THE FOLLOWING IS A SEARCHABLE AND COMPLETELY UP TO DATE VERSION OF THE RECOMMENDED PENALTIES FOR OFFENCES CONSIDERED BY BOTH THE RACECOURSE STEWARDS AND THE DISCIPLINARY PANEL.

Where reference is made to page numbers, please refer to the latest published version of the Guide to Procedures and Penalties for 2018> document (PDF format).

Offences considered by Racecourse Stewards

1) A Panel has the power at their discretion to impose any one or more of the following penalties:
  i) Fine - not exceeding £15,000.
  ii) Suspend a rider from riding for any period up to and including 42 days.
  iii) Suspend a horse from running for a period of 40 days if a finding of a breach of Rule (B)59.2 and Rule (C)45.4.3 is made.
  iv) Refer any possible breach to the BHA.
2) A list of common offences and the penalties recommended by the BHA are set out below. Penalties are shown in "Bands" indicating different levels of appropriate penalty.
    1st Offence 2nd Offence 3rd Offence 4th Offence
  BAND A £80 £160 £320 refer
  BAND B £140 £280 £560 refer
  BAND C £290 £580 £1,160 refer
  BAND D £650 £1,300 refer  
  BAND E £80 - £10,000 or refer
  Band E penalties are shown as either a single fixed sum or as an "Entry Point" within a "Range". A Panel should start their penalty deliberations at the "Entry Point" and, dependent on the circumstances, reduce the sanction to take account of mitigating factors or increase the sanction to take account of aggravating factors. For second offences in Band E the penalty or "Entry Point" should normally be doubled.
3) When determining whether an offence is a second or further offence a rolling 12 month period will apply, the relevant date being the date on which a finding of a breach was first made. The exceptions being Rules (A)32,(B)59.2, (B)59.4 (Sub: b))and (C)45, where a rolling 24 months will apply.
  When a second offence of the same description is committed within 12 months and no recommendation is made, the fine/suspension for the second offence should be at least double that of a first offence.
4) All previous offences within the previous 12 months, other than those involving Interference or Mis-use of the Whip, should be taken into account, notwithstanding that an offender may have been referred for a previous offence.
5) Amateur Riders and Apprentice/Conditional jockeys should be treated as full jockeys.

Offences Considered by the Disciplinary Panel

1) The Disciplinary Panel has the power at its discretion under Chapter (A) 2 of the Rules of Racing to impose any one or more of the following penalties:
  (a) a fine not exceeding £75,000;
  (b) declare a person disqualified;
  (c) Withdraw or suspend a licence or permit and to defer a suspension but not normally for more than 6 months;
  (d) make any person ineligible for any licence or permit or registration under the Rules of Racing for such period or periods as they may in their discretion think fit;
  (e) issue a caution;
  (f) in the case of a rider, order attendance at a course in remedial training at the British Racing School or Northern Racing College;
  (g) in the case of a trainer, to refuse to accept or to allow as the case may be for such period or periods as they think fit:
   
1. any entries for horses in the care of the trainer except for races that will be run outside that period;
2. any horse to run in the care of the trainer even if duly entered;
3. any horse that has left the care of the trainer and run in a race to return to the care of the trainer until such period has expired;
4. any horse to be declared to run under Rule (F)89 in the care of the trainer except for races that will be run outside that period
2) When deciding the appropriate penalty the Panel should normally start their deliberations at the "Entry Point" highlighted within the "Range" and, dependent on the circumstances, reduce the sanction to take account of mitigating factors or increase the sanction to take account of aggravating factors. The 'Entry Point' is therefore the normal penalty for a case with no aggravating or mitigating factors. In all cases the Panel has the discretion to impose a sanction which is outside the 'Range'. In respect of offences not referred to in the table, appropriate sanctions may be imposed at the discretion of the Panel by applying suggestions of similar sorts of offences or by referral to the recommendations given to the Stewards.
3) Having by this process determined the penalty within the 'Range' which the Panel would impose for the offence the Panel should then consider whether the penalty should be reduced in recognition of the conduct of the person concerned since first being on notice that his conduct was under investigation. The Panel may reduce the penalty by as much as one half where the person has co-operated fully with the investigation and, where applicable, provided information enabling action to be taken against other wrong doers. In a case where the person concerned admits the charge in the form sent to him in accordance with Schedule (A)6 7.2 the Panel may consider reducing the penalty by up to a third. The policy behind mitigating penalties in this way is to encourage persons who are guilty of an offence to make as early an admission as possible so as to release racing's limited resources for pursuing other matters; to facilitate action against others, and to save the time and expense of lengthy investigations and hearings. The reduction in penalty will therefore in all probability be smaller (and perhaps not applied at all) in straightforward cases where the evidence of breach is plain and compelling or video based, as will also be the case where admissions are not made until shortly before or at the hearing. Reduction of penalty will therefore also have no or limited application regarding standalone riding offences and cases of strict liability eg. prohibited substances.
4) The Panel will not normally consider a previous decision to be helpful or relevant when deciding the appropriate penalty to be applied in accordance with the principles set out in these guidelines.
5) The Panel should have regard to the current guideline at the date of its decision on penalty provided that it must not apply a penalty greater in its effect or different in kind from that which it would have the power to impose under the Rules of Racing in force at the time of the offence(s).
6) Where the Panel imposes a significant period of suspension or equivalent penalty it may be expected to make the person ineligible under Rule (A)57 for alternative involvment as a participant in horseracing in all licensed or permitted capacities and such other capacities as it may consider appropriate to the case for the same period.
7) The panel may order the trainer and/or owner,under Rule (A)46.4 to pay up to a total of £500 towards the costs of the counter analysis procedure set out in Schedule (C)7.
8) The protocol in relation to Guilty Pleas and Plea Bargaining can be found at Schedule (A)10.
Legend
RS = Racecourse Stewards
DP = Disciplinary Panel

Recommended penalties for offences considered by Racecourse Stewards and Disciplinary Panel.

TR CLASS="rs"> <
Manual Other Manuals related to Offence Band,Fine or Entry Point Range Enforced by
(A)15.1   Unlicensed rider rides in race Disqualify Horse
£150 or Suspend licence
2 days		 £100 - £1,000
1 - 5 days		 DP
(A)29   Entering not qualified horse £1,000 or Disqualify / Exclude
3 months		 £500 - £3,000
1 month - 3 years		 DP
(A)30   Prejudicial to the integrity, proper conduct or good reputation of horseracing £2,000 or Suspend / Withdraw / Disqualify
3 months		 £1,000 - £15,000
1 month - 3 years		 DP
(A)30.2 Schedule (A)4 Bloodstock code of practice £7,500 or Suspend / Withdraw / Disqualify / Exclude
6 months
or refuse to accept entries		 £5,000 - £15,000
3 months - 3 years		 DP
(A)30.3   Associating with a disqualified or excluded person under Rule (A)64 £1,000 or Suspend / Withdraw /Disqualify licence
2 months
or refuse to accept entries		 £500 - £2,500
1 month - 1 year		 DP
(A)31.1   Rider failing to attend seminar or training course 5 days 2 - 10 days DP
Breach of declaration of undertaking by licensed person i.e. Terms and Conditions of Employment £750 £500 - £5,000  
Failure to comply with requirement £750 £500 - £5,000  
Provide inaccurate information or omit any relevant information £250 £100 - £2,000 DP
(A)31.2   Misleading the Stewards £1,500 £500 - £5,000 or refer RS
(A)31.2   Giving deliberately misleading evidence at an enquiry*      
* Stewards should not hold enquiries concerning evidence given to them at an enquiry. If they suspect there has been an attempt deliberately to mislead them, they should formally express their concerns at the conclusion of the enquiry or refer the matter
(A)31.2   Forged signature £750 or Suspend / Withdraw / Disqualify
2 months		 £500 - £2,000
1 month - 1 year		 DP
Misleading or endeavouring to mislead the persons referred to in the Rule £2,000 or Suspend / Withdraw / Disqualify / Exclude
3 months		 £1,000 - £5,000
1 month - 3 years		  
Misleading or endeavouring to mislead an Investigating Officer £2,000 or Suspend / Withdraw / Disqualify / Exclude
3 months
or refuse to accept entries		 £1,000 - £5,000
1 month - 3 years
Rider giving deliberately misleading evidence at an enquiry 7 days 5 - 10 days  
Trainer giving deliberate misleading evidence at an enquiry £1,500 £500 - £5,000  
(A)32   a) Violent or Improper conduct towards Stewards or Officials     RS/DP
  i) Abusive behaviour
(verbal only)		 4 days (rider)
£1000 (trainer)		 1 - 21 days
£100 - £5,000		  
  ii) Threatening behaviour
(verbal, physical gestures)		 21 days (rider)
£5,000 (trainer)		 14 - 42 days
£2,500 - £10,000		 RS/DP
  iii) Violent conduct
(physical contact)		 refer   RS
Violent conduct
(physical contact)		 £5,000 or Suspend/ Disqualify / Exclude
3 months		 £2,500 - £12,000
1 month - 3 years		 DP
b) Violent or Improper conduct between riders/trainers 4 days (rider)
£500 (trainer)		 1 - 21 days
£100 - £5,000		  
(A)32.1   Misuse of badges     RS
a) Rider / trainer who allows an unauthorised person to use his badge on a racecourse C    
b) Person who uses a rider's / trainer's badge on the racecourse to which he is not entitled*. C    
* Can only be fined on racecourse if agrees to be bound by the Rules. If he does not he must be referred because only the Disciplinary Panel are empowered to deal with such persons. Furthermore, the only penalty that can be imposed is exclusion from all racecourses under Rule (A)64
(A)32.1   Ignoring veterinary surgeon's instructions and riding a lame horse back from the start 21 days 14 - 28 days
(A)33   Bribes Disqualify / Exclude 3
Years		 3 months - 10 years DP
(A)35.4   Service provider - lays any horse owned, trained or ridden by the person for whom he has provided a service etc Disqualify/Exclude
18 months		 3 months - 10 years  
(A)35.9   Failing to ensure that no other person uses an account in his name to lay any horse £10,000 £5,000 -
£20,000		 DP
(A)36   Information for reward etc     DP
Rider* Disqualify
3 years		 18 months - 5 years  
Trainer / owner / authorised rider's agent Disqualify
3 years		 18 months - 5 years  
Stable employee Disqualify
3 years		 18 months - 5 years  
Service provider/other person Disqualify/
Exclude 3 years		 18 months - 5 years  
(A)37   Assist or cause another person to be in breach For Penalty see Rule that was breached   DP
(A)38   Participation at unrecognised race meeting Disqualify
3 months		 1 month - 1 year DP
(A)39   Breaching owners', trainers' or riders' sponsorship controls £150   DP
(A)39   Deliberately breaching sponsorship controls £3,000 £1,000 - £25,000 DP
(A)39 (C)26 Failing to remove sponsorship branding when instructed £600 £500 - £5,000  
(A)39   Sponsorship on silk cap B   RS
(A)40   Criminal offence with regard to racing Disqualify / Exclude
1 year		 6 months - 10 years DP
    Running a "ringer" Disqualify / Exclude
20 years		 15 - 25 years  
(A) 41 Where the corrupt or fraudulent practice included the actual or intended breach(es) of any other Rule(s) by other individuals involved in such practice, see penalty for such Rule(s) if the corresponding penalty exceeds the entry point and range below.

Where there is no such associated Rule(s):

Entry Point: disqualify / exclude 3 years.

Range: 6 months to 10 years .
(A)42   Causing a licensed/registered person to breach the betting restriction Rules Disqualify / Exclude
6 months		 3 months - 10 years DP
(A)42A   Failure to disclose unacceptable behaviour £2,000 or Suspend / Withdraw Disqualify 3 months £1,000 - £5,000
or Suspend / Withdraw Disqualify
1 month - 3 years		 DP
(A)45.1.1 Schedule (A)6 Failure to return schedule (A)6 7.2 form £250 £200 - £5,000 DP
(A)45.1.2 Schedule (A)6 Failure to attend an enquiry / appeal £1000 or Suspend licence
5 days		 £200 - £2,000
or Suspend licence for
2-10 days		 DP
(A)45.1.3   Failure to produce information or records for enquiry / appeal £2,500 £500 - £10,000 DP
(A)45.2.1   Failure to attend an enquiry £1,000 or Suspend licence for
5 days		 £200 - £2,000
or suspend licence
for 2-10 days		 DP
(A)45.2.2   Failure to produce information or records for enquiry £2,500 £500 - £10,000 DP
(A)49   Failure to co-operate with any authorised person £2,000 or Suspend / Withdraw / Disqualify
3 months		 £1,000 - £5,000
1 month - 3 years		 DP
(A)49.4   Hinders or obstructs £2,000 or Suspend / Withdraw / Disqualify
3 months		 £1,000 - £5,000
1 month - 3 years		 DP
(A)50.2   Records not produced     DP
Rider / trainer / owner / valet / authorised rider's agent Disqualify
18 months		 1 - 3 years  
Late production of records      
    Rider Suspend / Withdraw / Disqualify
2 months		 1 month - 1 year  
    Trainer / owner / valet / authorised rider's agent £2,000 or Suspend / Withdraw / Disqualify
2 months		 £1,000 - £5,000
1 month - 1 year		  
Tampering with records - rider / trainer / owner / valet / authorised rider's agent Suspend / Withdraw / Disqualify
9 months		 6 - 18 months  
(A)50.2   Fails to agree a time or place for an interview £2,000 or Suspend / Withdraw / Disqualify
3 months		 £1,000 - £5,000
1 month - 3 years		 DP
(A)71.1   Attending a meeting whilst a disqualified person £2,000 or increase period of disqualfication £1,000 - £10,000 DP
(A)74
Ground 8		   Failure to lodge a transfer of engagements £200 £150 - £500 DP
(A)74   Failure to register the appropriate document £200 £150 - £500 DP
(A)77.1 Schedule (A)6 Failure to attend an appeal £1,000 or Suspend licence
5 days		 £200 - £2,000
or Suspend licence for
2-10 days		 DP
(A)100.7   Failure to notify Racing Calendar Office no longer registered for VAT £100   DP
(B)6.1.7   Refusal to allow horse to be examined £5,000 or Suspend / Withdraw licence 3 months £2,500 - £12,000
1 month - 1 year		 DP
(B)23.5   Failure to declare correct information on declaration sheet A   RS
(B)25.6   Declared rider not present on instructions of trainer/owner C   RS
(B)27.3   Saddling - not in appointed place B   RS
(B)27.5   Horse late in parade ring     RS
    a) Group/Grade 1 £1000 £500 - £5000 RS
    b) All Other Races B   RS
(B)28   Failure to comply with parade ring protocol A   RS
(B)28.1   Late arrival of rider in parade ring B   RS
(B)29.1   Failure to ride past the stands B   RS
(B)29.3   Taking incorrect route to start B   RS
(B)30   Parades     RS
    Group / Grade 1 £1,000 £750 - £1,500  
    Other Races £500 £300 - £1,000  
(B)33.6   Jumping a preliminary jump B   RS
(B)34.3 (B)42.4 Using a whip at the start B   RS
(B)36.1   Rider late to the start     RS
    1st - 4th Offence (same penalty) 1 day
    
    5th Offence refer    
(B)36.1   Rider late to the start:
5th Offence		 7 days 5 - 10 days DP
(B)39.5 (B)39.6 Failure to obey recall flag 10 days   RS
(B)41.1 Schedule (B)5 Unruly behaviour of horse     RS
1st occasion before Stewards Warning (FSB)    
2nd occasion refer    
(B)41.2 Schedule (C)5 3.5 Starting Stalls - report by Starter     RS
1st Occasion Starting Stalls test required    
2nd Occasion within 12 months Starting Stalls test required and warned,will be prevented from taking further test for 6 months if reoffends.    
3rd Occasion within 12 months - 6 month restriction unless Schedule (C)5 3.8 applies    
4th Occasion within 12 months refer    
(B)42.4 Schedule (B)5 Part 4 Misconduct by trainer/representative at start B   RS
(B)45   Failure to ride to their draw     RS
a) 1st - 4th Offence (same penalty) 1 day    
b) 5th Offence refer    
(B)45.2   Rider not keeping straight at start (x5) 7 days 5 - 10 days DP
(B)45.6   On trainer's instructions C    
(B)46.2   Remounting 4 days   RS
(B)46.4   Complete the course with other runners having pulled up A   RS
(B)48.1   Rider ignores stop race procedure (yellow flag) 10 days   RS
(B)49.1 (B)51 Rider ignores the direction markers Disqualify Horse
10 days		   RS
(B)51.1 (B)51.3 Rider fails to pull up having knowingly taken the wrong course Disqualify Horse
3 days
(Additional penalty for taking wrong course)		 1-10 days RS
(B)53 Schedule (B)6 Interference (Dangerous Riding) See page 20   RS
(B)54 Schedule (B)6 Interference (Careless or Improper) See pages - 20 & 21   RS
(B)54   Whip - Improper Riding     RS
a) Misuse of the Whip See page 26    
b) Hitting another rider deliberately with the whip See Page 27    
(B)57.1   Rider makes a manoeuvre to allow another horse a clear run     RS
(i) but causes no interference 7 days 5-10 days  
(ii) and fails to achieve his best possible placing 14 days 7-21 days  
(B)57.1   Rider intentionally interferes with a horse to assist another horse in the race 21 days 10-28 days RS
Rider causes interference as a result of moving off his racing line to assist another horse in the race 10 days 7-14 days  
(B)57.3   Trainer instructs rider to breach Rule (B)57.1 £10,000 £5,000 - £15,000 RS
(B)58 (D)45 Horse not running on its merits ("PLACING" means any placing from and including first to last) See pages 8 - 12   RS
(B)59 (D)45 Horse not running on its merits ("PLACING" means any placing from and including first to last) See pages 8 - 12   RS
(B)59.2   Deliberately not riding a horse to obtain the best possible placing for personal reward or where horse has been layed to lose See pages 8-12 - Running and Riding   DP
    Stopping probable winner See pages 8-12 - Running and Riding    
(B)59.3   Taking the wrong course See page 9   RS
(B)59.4   Rider pulls up after the chequered flag. 7 days   RS
(B)67.4.2 (B)14.2
(D)47.1		 Failure to weigh in Mandatory
Disqualification		   RS
(i) Winner 21 days    
(ii) Second / Third 7 days    
(iii) Fourth (or any other placing for which there is prize money) 3 days    
(iv) Any other placing 2 days    
(B)67.4.3   Weighing in at 2lbs or more overweight     RS
  (i)First four placings 3 days RS
  (ii)Any other placing 1 day RS
(B)67.4.4 (B)14.2
(C)43.3		 Failure to draw the weight at which the rider weighed out by more than 1lb Mandatory Disqualification   RS
    Rider or Trainer in breach
 		  
    (i) Winner
5 days (rider) or £1500 (trainer)		  
    (ii) Second/Third
4 days (rider) or £1000 (trainer) 		 
    (iii) Any other placing
3 days(rider) or £750 (trainer) 		 
    Cause not established - joint penalty
 		  
    (i) Winner
3 days (rider) or £750 (trainer)		  
    (ii) Second
2 days (rider) or £500 (trainer) 		 
    (iii) Any other placing
1 day (rider) or £250 (trainer) 		 
(B)75.5   No good or reasonable grounds for objection A   RS
    - frivolous or vexatious C    
(B)83   Failure to obey Stewards 2 days (rider)
£500 (trainer)		 1 - 28 days
£100 - £10,000		 RS
(B)83 (B)6.1.7
(B)6.1.8		 Refusal to allow horse to be examined Pre race: Horse withdrawn refer RS
Post race:£2000 £1000 - £7,500 or refer RS
(B)83   Refusal to attend an enquiry £3,000 £1000 - £10,000 RS
Schedule (B)3 7.1 (C)33
(A)74
Ground 4		 Substance administered on day of race (after 12 midnight) without dispensation either on racecourse premises or prior to the race      
    a) Pre race:
Unallowable substance
Withdraw
or refer		    
    Allowable substance Horse can run
C		    
    b) Post race:
Unallowable substance		 refer    
    Allowable substance C    
    Normal feed not offered by mouth C    
Note: If it is found post race that any substance was given pre-race, the horse should normally be sampled and the matter referred so that consideration can be given to the horse's possible disqualification and a penalty for the trainer.
Fines for breaches of Schedule (B)3 7.1 should be imposed first and foremost for the substance which is found and then reflect whether it was a failure to request dispensation. Fines imposed on the racecourse should not be increased just because the substance was is also in a syringe or a syringe is present in order to administer a substance.
Schedule (B)3 7.1 (C)36.5.3.3 Substance given on day of race and before it runs for which permission would not be granted Horse must not run - refer    
Schedule (B)3 7.1 (A)29 (C)37 Substance given on day of race and before horse runs £1,000
Suspend horse for 20 days		 £750 - £2,000 DP
Schedule (B)3 11.1 (A)29 (C)37 Running a horse that has had a neurectomy Disqualify
2 Years		 Disqualify
6months -3 years		 DP
Schedule (B)3 Para 11.A (A)29 (C)37 Horse administered intra-articular corticosteroid on the day of the race or on any of the 14 days before the race. Entry Point: Disqualify
£1,000		 Range: £750-£2,000 DP
Schedule (B)3 Para 22 and 23   Horse not in care of licensed trainer (A)29 (C)37   DP
    - mistake £500 £400 - £1,000  
    - deliberate £5,000 £2,500 - £10,000  
Schedule (B)4 5.5   Loss of blinkers, hood, visor, eyecover, eyeshield or sheepskin cheek pieces     RS
    i) Accidental No penalty    
    i) Deliberate to affect performance refer    
Schedule (B)4 5.5   a) In paddock     RS
- time to add declared garment or remove non-declared garment No fine    
- if garment cannot be added B
Horse withdrawn		    
b) At start      
- without declared garment / with non-declared garment B
Horse withdrawn		    
Schedule (B)4 4.4   Modification of visors     RS
    1st Offence Draw trainer's attention    
    2nd Offence B    
Schedule (B)4 5.2   Declared tongue strap not fitted in error or not shown to Veterinary Officer / Surgeon B   RS
Schedule (B)4 5.6   Substitution of incorrectly declared garment B   RS
Schedule (B)4 5.7   Tongue-strap declared in error B
Horse can run		   RS
Schedule (B)4 6.2   Undeclared tongue strap worn prior to or in a race C
Horse can run		   RS
Schedule (B)4 7.1 (C)36.1 Oversize calkins / nailheads     RS
    a) Horse withdrawn or problem resolved B    
    b) Horse runs in oversize calkins / nailheads C    
Schedule (B)4 8   Nasal dilators or Supports C   RS
Schedule (B)4 8   Bells on bridle B    
(C)4.5   Failure to produce evidence of ownership of horses under the care or control of a Permitted Trainer £2000 or Withdraw/Disqualify 3 months £1000 - £5000 1month - 3years DP
(C)12.1   Failure to check identity of horse - incorrect horses £750 £450 - £1,500 DP
    Failure to check identity of horse - correct horse but marking errors £300 £200 - £500 DP
(C)13   Inadequate medication records £500 £250 - £2000 DP
(C)15.2   Failure to correct / return Stable Employees' Register Return £200 £150 - £1,000 DP
(C)16.3   Failure to correct / return Horses in Training Return £200 £150 - £500 DP
(C)17.1   Failure to notify horse has been gelded £200 £100 - £500 DP
(C)18.2   Notification of overseas performances (new horse arrives from abroad) £300 £200 - £500 DP
(C)19.2   Notification of overseas performances (by GB trained horse) £300 £200 - £500 DP
(C)20 Schedule (C)4 Part 1 Failure to enter into training agreement £100 - DP
    Failure to comply with Schedule (C)4 Part 2 (Code of Conduct for Trainers) £2,000 or Suspend / Withdraw / Disqualify 3 months £1,000 - £10,000 1 month - 3 years  
(C)20A.1   Failure to notify change in employment status £300 £200 - £500 DP
(C)22 &(C)27; Trainer in breach of Rule regarding horse(s) in his charge     DP
    a) Below acceptable standard £2,000 £1,000 - £3,000  
    b) Neglect over a period of time - very poor husbandry Withdraw licence 9 months 6 months - 3 years  
    c) Wilful cruelty Disqualify
8 years		 5 - 25 years  
(C)25   Failure to wear protective clothing or head gear £250 £100 - £2,000 DP
(C)30.1   Failure by trainer to report communicable disease £1,500 £1,000 - £10,000 DP
(C)31.1   Any form of ringworm     RS
    Failure to produce a certificate B    
(C)31.4   Certificate not produced and scrapings positive £750    
(C)32.2   Failure to use racecourse stable B    
    Failure to vacate racecourse stable B    
Note: If it is found post race that any substance was given pre-race, the horse should normally be sampled and the matter referred so that consideration can be given to the horse's possible disqualification and a plenty for the trainer.
(C)33.3   Substance administered on racecourse premises the day before the race      
    Allowable substance Horse can run
C		    
    Unallowable substance
a) If trainer runs horse

b)If trainer withdraws horse
Refer
Sample horse



Refer		    
Fines for breaches of Rule (C)33.3 should be imposed first and foremost for the substance which is found and then reflect whether it was a failure to request dispensation. Fines imposed on the racecourse should not be increased just because the substance is also in a syringe or a syringe is present in order to administer a substance.
(C)33.3   Substance given on racecourse premises the day before the race £1,000
Suspend horse for 20 days		 £750 - £2,000 DP
(C)33.7   Use of physiotherapy machine without permission A   RS
(C)34.1   Failure of trainer to report reason for poor performance* C   RS
    * Horse wins, rating having dropped D   RS
(C)34.3 Schedule (B)4
5.1		 Trainer fails to report that horse lost tongue strap during race B   RS
(C)36.1.2   Reins not correctly attached to bridle A   RS
(C)36.1.3 (C)44.1 Other equipment worn by horse B   RS;
(C)37.1   Entering or Running a horse not qualified to race £1000 or Disqualify/Exclude 3 months £500 - £3,000 1month - 3years DP
(C)37.2   Running wrong horse in race £800 £500 - £2,000 DP
(C)38   Failure to lodge foreign racecourse performances (Horse trained outside GB) £350 £250 - £1,000 DP
(C)39.3   Identity card offence - trainer A   RS
(C)40.5   Identity card offence - employee A   RS
(C)42.1.1   Failure to reserve overnight accommodation - staff A   RS
(C)42.1.2   Failure to reserve overnight stabling A    
(C)43.1   Leading horses incorrectly A   RS
(C)43.2   Incorrect weight or colours in racecard not declared:     RS
    a) Colours A    
    b) Incorrect weight B    
(C)43.3   Wrong weight carried Disqualify Horse
£500		 £250 - £1,500 DP
(C)43.3.1   Number cloth not carried B   RS
(C)43.3.3   Saddling errors B   RS
(C)43.4   Removal of speed sensing device C   RS
    Removal of speed sensing device (x4) £5,000
Obtain undertaking from trainer
not to run horses without SSD		 £4,000 - £8,000 DP
(C)43.5.2   Removal of lead B   RS
(C)43.5.3   Add, remove or change equipment B   RS
    Results in rider 2lb or more overweight C   RS
(C)44.1 (C)36.1.3 Fit condition of saddle - trainer B    
(C)44.6   Late arrival of apprentice or conditional B
Impose on employer		   RS
(C)45 (D)45 Horse not running on its merits ("PLACING" means any placing from and including first to last) See pages 8 - 12   RS
(C)45 Schedule (B)6 Part 2 Whip - Instructions by trainer     RS
when rider IN breach      
a) Inadequate D    
b) Unacceptable £2,500 £2,000- £10,000  
c) Failure to give any to apprentice / conditional D    
when rider NOT IN breach      
d) Failure to give any to apprentice / conditional C;    
       
       
(C)46   Running and riding enquiry     RS
    a) Trainer fails to authorise person to represent him C    
    b) Trainer's representative unaware of rider's instructions C    
(C)48.1   Trainer reported unschooled horse     RS
1st Occasion FSB    
2nd Occasion refer    
(C)64.1   Trainer - lays a horse under his care etc Disqualify
18 months		 3 months - 10 years DP
(C)64.2   Stable employee - lays a horse under the care of his employer etc Disqualify
18 months		 3 months - 10 years  
(C)66A.2   Failure to notify Racing Calendar Office of an arrangement with a Betting Organisation £100 £75 - £500 DP
Schedule (C)2 1.1   Failure to contact previous employer £150 £150 - £500 DP
Schedule (C)2 1.2   Failure to register new employee £300 £250 - £500 DP
Schedule (C)2 1.4   Failure to notify National Insurance number £100 £75 - £150 DP
Schedule (C)2 1.5   Failure to notify termination of employment £100 £75 - £150 DP
Schedule (C)4 5.4   Trainer submits unjustified or frivolous report £300 £150 - £1,000 DP
(C)5 3.3 (C) 48.8 a)Starting Stalls test failure following 1st report within 12 months     RS
within 7 days of report £650    
between 8 - 14 days £290    
(C)5 3.4 (C) 48.8 b)Starting Stalls test failure following 2nd starters report within 12 months     RS
within 14 days of report £1300    
between 15 - 28 days £290    
Schedule (C)5 3.5   Horse receiving report from starter (x4) Indefinite restriction   DP
Schedule (C)5 3.7   Failing two consecutive stalls tests 6 months restriction on taking further test   RS
Third consecutive failure refer    
Schedule (C)5 3.7   Three consecutive stalls test failures by horse Indefinite restriction   DP
(D)13   Failure to report any injury or illness £250 £150 - £1000 DP
(D)14.1   Jockey is owner or part owner of a horse Suspend / Withdraw licence
3 months		 1 month - 3 years DP
(D)24.1   Failure to bring Medical Record Book     RS
1st and 2nd offence A
By Clerk of the Scales		    
3rd Offence C    
(D)31.1   Rider fails to notify Clerk of Course when unable to ride B   RS
(D)31.2   Rider substitution procedure B   RS
(D)32 (D)74 Rider or valet leaves racecourse and returns without permission C   RS
    - unless of the opinion he left for suspicious reason, in which case refer   RS
(D)33   Mobile telephones (Rider)     RS
    a) Oversight C    
    b) Deliberate refer    
(D)33   Mobile phones (Rider) £500 or Suspend/Withdraw licence 1 month £350 - £2,000
7 days - 1 year		 DP
(D)34.3   Request for telephone records £300
10 days		 £250 - £5,000
5 days - 28 days		 DP
(D)36.1 (C)25
Schedule (D)2 Part 1 		Skull cap / safety vest
- to be worn when mounted		 B   RS
(D)36.1 Schedule (C)25
(D)2 Part 1		 Skull cap/Safety Vest
- unserviceable/
modified		     RS
    a) Accidental B    
    b) Deliberate D    
(D)36.2   Modified Safety Vest
on racecourse		 C   RS
(D)36.4 (C)44.1 Fit condition of saddle B   RS
(D)37 Schedule (D)2 Part 2 Whip more severe than provided for in the specifications*     RS
* Stewards must prohibit the use of the whip and submit report along with confiscated whip.
(D)37.1   Failure to carry a whip A   RS
(D)37.1 Schedule (D)2 Part 2 Whip not complying with specifications B   RS
(D)37.2   Modified approved whip B   RS
(D)38.7   Failure to remove the blindfold B   RS
(D)38.8   Ear Plugs removed     RS
    a) By rider 1 day    
    b) On instruction of trainer / owner D    
(D)40.1 (C)44.6 Rider fails to acquaint himself with course 4 days 3-7 days RS
(D)41.1 (B)22 Late arrival or failure of rider to weigh out B   RS
(D)41.1   Failure of rider to weigh out because declared to ride two horses in same race B    
(D)41.1   Refusal to ride before weighing out C    
(D)42.6 Schedule (D) 2 Part 1 Safety Vest - Weighing Out     RS
a) Accidental B    
b) Deliberate failure to wear D    
(D)43.1   Leaving saddle unattended A   RS
(D)43.1   Equipment or clothing (inc Safety Vest) changes after weighing out     RS
a) Accidental B    
b) Deliberate D    
(D)43.3   Failure to ride after weighing out £800 £650 - £2,500 RS
(D)44.2 (D)40.2 Rider goes into wrong stall     RS
1st offence Caution    
2nd offence £80    
3rd offence £140    
4th offence 1 Day    
If deliberate, 1st offence 7 Days    
    Rider starts from wrong stall      
a) accidental 1 day    
b) deliberate 7 days    
(D)44.2   Flip start - rider starts from wrong position      
a) accidental 1 day    
b) deliberate 7 days    
(D)44.4 Schedule (B)5 Misconduct by rider at the start   1-5 days RS
Disregarded the marker poles 1 day    
Disregarded the marker poles and allowed his horses head to be in contact/over the starting tape 2 days    
Attempted to line up/lined up for start before being instructed to do so 1 day    
Did not walk in or jig jog/broke the starting tape 1 day    
Ignored the Starter's/Assistant's instructions 1 day    
Deliberately faced his horse backwards 2 days    
Abusive comments directed at Starter/Assistant 2 days    
(D)45.3   Continuing on an exhausted horse 8 days 5-12 days
or refer		 RS
(D)45.4   Failure to dismount from a lame or injured horse 10 days 7-14 days
or refer		 RS
(D)46.1   Dismount before appropriate place B   RS
(D)46.5.1   Removal of saddle 1 day    
(D)46.5.2 (D)47.3 Procedures prior to Weighing In     RS
  - accidental 1 day    
  - deliberate 3 days    
(D)47.1   Failure to present himself to Clerk of Scales A   RS
(D)47.5   Rider not remaining within the vicinity of the weighing room for 5 minutes after the announcement of "Weighed In" C   RS
(D)48 (C)35 Failure of rider to report that horse has gurgled B   RS
(D)49   Failure of rider to report reason for poor performance B   RS
(D)50   Failure to report to RMO B   RS
(D)51   Not passed fit by RMO     RS
  a) attempts to weigh out B    
  b) rides in a race 14 days    
(D)52   Late arrival at Stewards' Room B   RS
(D)53
and(D)55		   Jockey - bets, lays or accepts the proceeds etc Disqualify
18 months		 3 months - 10 years DP
(D)54   Amateur rider - bets, lays or accepts the proceeds etc Disqualify
18 months		 3 months - 10 years DP
(D)74   Mobile telephones (Valet)     RS
    a) Oversight C    
    b) Deliberate refer    
(D)74   Mobile phones (Valet) £500 or Suspend/Withdraw licence 1 month £350 - £2,000
7 days - 1 year		 DP
(D)74.1.1 (D)32 Valet leaves racecourse and returns without permission C   RS
    - unless of the opinion he left for suspicious reason, in which case refer   RS
(D)75   Valets - bets, lays or accepts the proceeds Disqualify
18 months		 3 months - 10 years DP
(D)78.1   Authorised rider's agent - lays any horse ridden by a rider for whom he acts etc Disqualify
18 months		 3 months - 10 years  
(D)79.2   Failure to notify Racing Calendar Office of an arrangement with a Betting Organisation £100 £75 - £500 DP
(D) Part 6   Positive Sample (Rider) See Testing for Banned Substances Pages 58-59   DP
(E) 15   Horse subject to ID check     RS
(C)24
(E)15.3
(E)16.3		 i) Passport not produced C
inc NR penalty
Horse must not run		    
  (E)15
(E)16		 ii) Cannot be identified from markings refer
Horse must not run		    
  (C)24
(E)18
(E)19		 iii) Vaccination section of passport not completed correctly B
As it can be identified allow horse to run		    
(E)15.3 (C)56.5
(E)16.3		 Horse subject to vaccination check but passport not available B
Ask trainer to sign declaration		   RS
(E)15.5   Failure to present correct horse to veterinary officer £750 £450 - £1,500 DP
(E)18   Vaccinations section of passport not completed correctly - other than alteration or a re-check B   RS
(E)18   Vaccination offence (x4) £1,000 £750 - £1,500 DP
(E)18   Re-check reveals vaccination record still out of order D   RS
(E)18.2   Horse never vaccinated D
inc NR penalty
Horse must not run		   RS
(E)18.6   Horse vaccinated within previous seven days C
inc NR penalty
Horse must not run		   RS
(E)18   Vaccinations section of passport not completed correctly - other than alteration or a re-check B   RS
(E)19.5 (E)19 Alteration to vaccination record - other than in a re-check A   RS
(E)19.5   Recheck reveals alteration to vaccination record still out of order C   RS
(E)24   RCN not received £150 £150 - £500 DP
(E)26A Schedule (B)3 Failure to notify neurectomy £1000 or Withdraw/
Disqualify
6 months		 £250 - £5,000
1 month - 2 years		 DP
(E)26D Schedule (B)3 Failure to notify the Racing Calendar Office no later than 7 days after the horse has undergone a Suprachoroidal Cyclosporine Implant £1000 £250 - £2,000 DP
(E)82.6   Failure to register colours £110 - DP
(E)82.1   Runs in colours other than those registered A   RS
(E)82.7   Not as description / not registered colours A   RS
(E)89 Schedule (B)6 Part 2 Whip - Instructions by owner     RS
when rider IN breach      
a) Inadequate D    
b) Unacceptable £2,500 £2,000-£10,000  
c) Failure to give any to apprentice / conditional D    
when rider NOT IN breach      
d) Failure to give any to apprentice / conditional C    
       
       
(E)89A   Owner compensates rider or instructs another to do so £12,500 or Disqualify
6 months		 £5,000 - £30,000
or 1 months - 3 years		 DP
(E)92.2   Owner - lays a horse he owns etc. Disqualify 18 months 9 months - 10 years DP
(F)12   Non payment of fixture fee £2,000 £1,000 - £3,000 DP
(F)15   Breach of BHAGI's by Managing Executives £3,500 £1,000 - £15,000 DP
Breach of BHAGI 11.1 para 13(c) - medical services incomplete £5,000 £3,500 - £15,000  
Breach of BHAGI 11.2 para 3 - Annex B form signed when arrangements incomplete £7,500 £5,000 - £15,000  
  Minor technical breach of the Medical arrangments   Caution  
(F)51 Schedule (F)4 Failure to comply with the Protocol for Claimants £400 or Disqualify / Exclude
3 months		 £200 - £2,000
1 month - 3 years		 DP
(F)56   Multiple claims £800 £250 - £2,000 DP
(F)57   Claim not paid or secured within 2 days £400 £250 - £2,000 DP
(F)57   Not honour claim within 12 days £400 £250 - £2,000 DP
    Dishonour claim Disqualify/Exclude 2 years 1 - 5 years  
(F)59.1   Claimant sells horse before paying for it £400 £250 - £1,000 DP
(F)59.4   Horse entered or run contrary to Rule (F)59.3 £800
(Suspend Horse)		 £250 - £2,000(Suspend Horse) DP
(F)63.1   Failure to lodge passport A   RS
(F)92.6   Failure to declare a rider B   RS
(F)92.6   Unavailable rider declared to ride A   RS
(F)95   Delay in making a scratching £500 £250 - £2,000 DP
(F)96.1 Schedule (F) 7 Horse does not run B   RS
(F)96.2   Double declarations-     RS
circumstances not exempted by Rules (F)98 and (F)99 D
inc NR penalty		    
runs at non-preferred meeting contrary to Rules (F)98.5 and (F)99.5 £1,200
inc NR penalty		    
Examples:      
a) Horse is declared to run in one race at Ayr and one race at Bath but runs at Bath D    
b) Horse is declared to run in two races at Ayr and runs in the first D    
c) Horse is declared to run two races at Ayr but runs in neither D
second NR penalty may be imposed		    
d) Horse is declared to run in one race at Ayr and one at Bath and runs in neither D
Second meeting may also impose NR penalty		    
   
(F)96.2   Double declaration (x3) £2000 £1,500 - £3,000 DP
(F)96.4.2   Wilful disregard of interest of racegoers - taking account of nature of offence and importance of race £500 £250 - £1,500 RS
(F)98.5   Double declarations runs at non-preferred meeting contrary to rules (F)98.5 and (F)99.5 £1200
inc NR penalty		   RS
(F)100 Schedule (F)7 Non-runner - failure to notify Racing Calendar Office or Clerk of the Course B   RS
(F)101   Failure to notify death of a horse £100   DP
(F)114.1   Failure by racecourse to pay prize money to stakeholders £2,000 £1,000 - £3,000 DP
(F)119   Incorrect payment of stable percentage money (administrative) £100 £75 - £500 DP
    Failure to display return and / or criteria for payment £100 £75 - £500  
    Retention of stable percentage money by trainer £2,000 or Suspend / Withdraw licence 3 months £1,000 - £5,000
1 month - 3 years		  
(F)143.3   Failure to claim correct riding allowance £250 £150 - £1,000 DP
(G)2.1 (G)2.1 Presence of Prohibited Substance in Horses sample     DP
    (a) Stalls test £1,000 £750 - £2,000  
    (b) Raceday substance Disqualify Horse £1,000
Disqualify 2 Years		 £750 - £10,000
  
    (c) Substance prohibited at all times Disqualify Horse
Disqualify 2 Years		 1 - 10 years  
(G)2.2 (G)2.2 Use or Attempted Use of a Prohibited Substance or a Prohibited Method     DP
    (a) Stalls test £1,000 £750 - £2,000  
    (b) Raceday substance Disqualify Horse £1,000
Disqualify 2 Years		 £750 - £10,000
1 - 10 years		  
    (c) Substance or method prohibited at all times Disqualify Horse
Disqualify 2 Years		 1 - 10 years  
(G)2.3 (G)2.3 Evading, Refusing or Failing to Submit a Sample Collection     DP
    (a)Evasion or Refusing Disqualify Horse
Disqualify 2 Years 		1 to 10 years  
    (b) Failing -intentional conduct Disqualify Horse
Disqualify 2 Years 		1 to 10 years  
    (c) Failing - negligent conduct Disqualify Horse
Disqualify 1 Year		 6 months to 5 years  
(G)2.4 (G)2.4 Tampering, or attempted tampering Disqualify Horse
Disqualify 2 Years 		1-10 Years DP
(G)2.5   Administration or attempted administration (a) Raceday substance or method Disqualify Horse £2,000
Disqualify 2 Years 		£1,000 to £12,000
6 months to 10 Years		 DP
(G)2.7 (G)2.7 Trafficking or attempted trafficking Disqualify Horse
Disqualify 4 Years 		2-12 Years DP
(G)2.8 (G)2.8 Whereabouts Failures     DP
    Filing Failures (2.8) £2,000
Disqualify 6 months		 £1,000 - £5,000
1 month - 3 years		  
    Complicity For penalty see the breach that complicity was relevant    
Schedule(G)2.6.1   Possession on racecourse premises of a prohibited substance or prohibited method in circumstances where dispensation would have been given if requested. C   DP
Schedule(G)3.1.5 (E)15.3 Passport not available for inspection in the sampling unit B   DP
Legend
RS = Racecourse Stewards
DP = Disciplinary Panel