---
kind: "section"
citation: "15 U.S.C. § 3057"
title: "15"
title_heading: "Commerce and Trade"
number: "3057"
heading: "Rule violations and civil sanctions"
release: "119-102"
date: "2026-07-12"
url: "https://uscodex.org/usc/15/3057"
units:
  - "Chapter 57A — Horseracing Integrity and Safety"
---

# §3057. Rule violations and civil sanctions

- (a) **Description of rule violations—**
  - (1) **In general—** The [Authority](/usc/15/3051.md?p=1) shall issue, by rule in accordance with [section 3053 of this title](/usc/15/3053.md), a description of safety, performance, and anti-doping and medication control rule violations applicable to [covered horses](/usc/15/3051.md?p=4) and [covered persons](/usc/15/3051.md?p=6).
  - (2) **Elements—** The description of rule violations established under [paragraph (1)](#a-1) may include the following:
    - (A) With respect to a [covered horse](/usc/15/3051.md?p=4), strict liability for covered [trainers](/usc/15/3051.md?p=19) for—
      - (i) the presence of a prohibited substance or method in a sample or the use of a prohibited substance or method;
      - (ii) the presence of a permitted substance in a sample in excess of the amount allowed by the [horseracing anti-doping and medication control program](/usc/15/3051.md?p=9); and
      - (iii) the use of a permitted method in violation of the applicable limitations established under the [horseracing anti-doping and medication control program](/usc/15/3051.md?p=9).
    - (B) Attempted use of a prohibited substance or method on a [covered horse](/usc/15/3051.md?p=4).
    - (C) Possession of any prohibited substance or method.
    - (D) Attempted possession of any prohibited substance or method.
    - (E) [Administration](/usc/15/636e.md?p=1) or attempted [administration](/usc/15/636e.md?p=1) of any prohibited substance or method on a [covered horse](/usc/15/3051.md?p=4).
    - (F) Refusal or failure, without compelling justification, to submit a [covered horse](/usc/15/3051.md?p=4) for sample collection.
    - (G) Failure to cooperate with the [Authority](/usc/15/3051.md?p=1) or an agent of the [Authority](/usc/15/3051.md?p=1) during any investigation.
    - (H) Failure to respond truthfully, to the best of a covered [person](/usc/15/7a.md?p=6)’s knowledge, to a question of the [Authority](/usc/15/3051.md?p=1) or an agent of the [Authority](/usc/15/3051.md?p=1) with respect to any matter under the jurisdiction of the [Authority](/usc/15/3051.md?p=1).
    - (I) Tampering or attempted tampering with the application of the safety, performance, or anti-doping and medication control rules or process adopted by the [Authority](/usc/15/3051.md?p=1), including—
      - (i) the intentional interference, or an attempt to interfere, with an official or agent of the [Authority](/usc/15/3051.md?p=1);
      - (ii) the procurement or the provision of fraudulent information to the [Authority](/usc/15/3051.md?p=1) 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, abetting, conspiring, covering up, or any other type of intentional complicity involving a safety, performance, or anti-doping and medication control rule violation or the violation of a period of suspension or eligibility.
    - (L) Threatening or seeking to intimidate a [person](/usc/15/7a.md?p=6) with the intent of discouraging the [person](/usc/15/7a.md?p=6) from the good faith reporting to the [Authority](/usc/15/3051.md?p=1), an agent of the [Authority](/usc/15/3051.md?p=1) or the [Commission](/usc/15/3051.md?p=3), or the anti-doping and medication control enforcement agency under [section 3054(e) of this title](/usc/15/3054.md?p=e), 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 medication control rule.
- (b) **Testing laboratories—**
  - (1) **Accreditation and standards—** Not later than 120 days before the [program effective date](/usc/15/3051.md?p=14), the [Authority](/usc/15/3051.md?p=1) shall, in consultation with the anti-doping and medication control enforcement agency, establish, by rule in accordance with [section 3053 of this title](/usc/15/3053.md)—
    - (A) standards of accreditation for laboratories involved in testing samples from [covered horses](/usc/15/3051.md?p=4);
    - (B) the process for achieving and maintaining 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](/usc/15/3051.md?p=1) rules shall be administered by the anti-doping and medication control enforcement agency. The anti-doping and medication control enforcement agency shall have the [authority](/usc/15/3051.md?p=1) 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 accreditation—** The [Authority](/usc/15/3051.md?p=1) may, by rule in accordance with [section 3053 of this title](/usc/15/3053.md), extend provisional or interim accreditation to a laboratory accredited by the Racing Medication and Testing Consortium, Inc., on a date before the [program effective date](/usc/15/3051.md?p=14).
  - (4) **Selection of laboratories—**
    - (A) **In general—** Except as provided in [paragraph (2)](#b-2), a [State racing commission](/usc/15/3051.md?p=18) may select a laboratory accredited in accordance with the standards established under [paragraph (1)](#b-1) to test samples taken in the applicable [State](/usc/15/15g.md?p=2).
    - (B) **Selection by the authority—** If a [State racing commission](/usc/15/3051.md?p=18) does not select an accredited laboratory under [subparagraph (A)](#b-4-A), the [Authority](/usc/15/3051.md?p=1) shall select such a laboratory to test samples taken in the [State](/usc/15/15g.md?p=2) concerned.
- (c) **Results management and disciplinary process—**
  - (1) **In general—** Not later than 120 days before the [program effective date](/usc/15/3051.md?p=14), the [Authority](/usc/15/3051.md?p=1) shall establish in accordance with [section 3053 of this title](/usc/15/3053.md)—
    - (A) rules for safety, performance, and anti-doping and medication control results management; and
    - (B) the disciplinary process for safety, performance, and anti-doping and medication control rule violations.
  - (2) **Elements—** The rules and process established under [paragraph (1)](#c-1) shall include the following:
    - (A) Provisions for notification of safety, performance, and anti-doping and medication control rule violations.
    - (B) Hearing procedures.
    - (C) Standards for burden of proof.
    - (D) Presumptions.
    - (E) Evidentiary rules.
    - (F) Appeals.
    - (G) Guidelines for confidentiality and public reporting of decisions.
  - (3) **Due process—** The rules established under [paragraph (1)](#c-1) shall provide for adequate due process, including impartial hearing officers or tribunals commensurate with the seriousness of the alleged safety, performance, or anti-doping and medication control rule violation and the possible civil sanctions for such violation.
- (d) **Civil sanctions—**
  - (1) **In general—** The [Authority](/usc/15/3051.md?p=1) shall establish uniform rules, in accordance with [section 3053 of this title](/usc/15/3053.md), imposing civil sanctions against [covered persons](/usc/15/3051.md?p=6) or [covered horses](/usc/15/3051.md?p=4) for safety, performance, and anti-doping and medication control rule violations.
  - (2) **Requirements—** The rules established under [paragraph (1)](#d-1) shall—
    - (A) take into account the unique aspects of horseracing;
    - (B) be designed to ensure fair and transparent horseraces; and
    - (C) deter safety, performance, and anti-doping and medication control rule violations.
  - (3) **Severity—** The civil sanctions under [paragraph (1)](#d-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 medication control rule violators, an opportunity to reduce the applicable civil sanctions that is comparable to the opportunity provided by the Protocol for Olympic Movement Testing of the United States Anti-Doping Agency.
- (e) **Modifications—** The [Authority](/usc/15/3051.md?p=1) may propose a modification to any rule established under this section as the [Authority](/usc/15/3051.md?p=1) considers appropriate, and the proposed modification shall be submitted to and considered by the [Commission](/usc/15/3051.md?p=3) in accordance with [section 3053 of this title](/usc/15/3053.md).

## Source credit

(Pub. L. 116–260, div. FF, title XII, § 1208, Dec. 27, 2020, 134 Stat. 3269.)