GUIDELINES FOR THE PENALTY

GUIDELINES FOR THE PENALTIES

Guidelines for the Penalty Ranges regarding Contraventions of the Rules of The National Horseracing Authority

Preamble

The purpose of this document is to provide clarity and act as a guideline regarding ranges for penalties which may be imposed for contraventions of the Rules below.

When determining whether an offence is a second or further offence the period stipulated under “Period for Consideration” shall apply, with the relevant date being the date on which a finding of the contravention was first made.

However, without derogating from the above purpose, this document shall not limit the discretion of a board in imposing a penalty and under circumstances, which it deems exceptional, the board shall be entitled to deviate from the penalty range below.

Any penalties imposed regarding Rules which are not stipulated below shall remain at the discretion of the relevant Board.

(Effective 1/06/2023)

RULE	DESCRIPTION	FIRST OFFENCE	2^ND OFFENCE	3^RD OFFENCE	4^TH OFFENCE
8.3.1	Club Colours	Warning	R250	R350	R600
10.5.6.1	Gelding: Failing to Notify SB within 2 Days while under the care of Trainer and/or prior to acceptance. Notification not provided before race day	R250 (prior to 09:00) R500 (after 09:00)	R500 (prior to 09:00) R1000 (no notification)	Minimum R1000	Minimum R1000
10.5.6.3	Gelding. Failing to notify within 2 days of entering Training Establishment.	R250 (prior to 09:00) R500 (after 09:00)	R500 (prior to 09:00) R1000 (no notification)	Minimum R1000	Minimum R1000
10.5.9.	Horses presented to race with infectious or contagious diseases/conditions that are reasonably detectable.	Discretionary / Inquiry	Discretionary / Inquiry	Discretionary / Inquiry	Discretionary / Inquiry
10.5.10	Letter of Delegation	R300	R500	R1000	R2000

RULE		DESCRIPTION		FIRST OFFENCE	2^ND OFFENCE	3^RD OFFENCE		4^TH OFFENCE
10.5.12	Failing to notify SB of circumstances which could lead to scratching.	R2500	R5000 / Inquiry		Inquiry		Inquiry
10.5.16	Confiscation of Drugs / Racecourse Drugs which are labelled prescribed – out of 30 days Not prescribed and unlabelled.	Warning Inquiry	Inquiry/R3000 minimum Inquiry		Inquiry/R4500 minimum Inquiry		Inquiry Inquiry
11.2.8	Incorrectly equipped in the parade ring.	Warning R2500 (shoes)	R500 R3000 (shoes)		R1000 R4000 (shoes)		R1500 R5000 (shoes)
21.7	Jockey double engagement	R1000 (more severe penalty for graded/listed races)	R1500 (more severe penalty for graded/listed races)		R2500 (more severe penalty for graded/listed races)		R3500 (more severe penalty for graded/listed races)
21.13	Jockey failing to fulfill riding engagement.	R1000	R2000		R3000		R5000
25.3	Jockey failing to present medical book	Warning	R250		R500		R750
26	Failing to register Jockeys’ Agent	R2500	R3500		R5000		Inquiry
38.3	Passport to be available at any time	R500	R1000		R2000		R3000
38.4	Failing to update Passport	R250	R500		R1000		R1500
38.5	Unauthorised change and/or amendment to passport	R2500 / Inquiry	R5000 / Inquiry		R7500 / Inquiry		R10 000 / Inquiry
39	Late Vaccinations	R1000 (minimum)	R1000 (Minimum)		R2000 (Minimum)		R2000 (Minimum)
49.1	Failing to comply with the Rules under the ROR conditions including the Training Track Conditions	R500	R1 000 (Minimum)		Inquiry / R2000 (Minimum)		Inquiry / R3000 (Minimum)
53.1	Failing to attend to declarations/ scratchings by close of declarations	R500	R1500 (Minimum)		R2500 (Minimum)		R3000 (Minimum)

RULE

DESCRIPTION

FIRST OFFENCE

2^ND OFFENCE

3^RD OFFENCE

4^TH OFFENCE

55.1

Failing to declare a Rider/Declaration of rider without consent

R1000

(Minimum)

R1500

(Minimum)

R2500

(Minimum)

R3500

(Minimum)

55.4

Failing to weigh out at carded weight

R1000

(Minimum)

R2000

(Minimum)

R3000

(Minimum)

R5000

(Minimum)

56.2.2

Leaving jockey room without consent

R1500

(Minimum)

R3000

(Minimum)

R5000

(Minimum)

R10 000

(Minimum)

56.2.4

Communication Device in Jockey Room

R2500 (Phone Off)

R10 000 (Phone on) / Inquiry

R5000 (Phone off)

R15 000 (Phone on / Inquiry)

R10 000 (Phone off)

R20 000 (Phone on / Inquiry)

Inquiry

56.2.6

Smoking in the Jockey’s Room

Warning

R500

Discretion

56.4.1.1

Horses late to the Parade Ring

R500

(Minimum)

R1000

(Minimum)

R1500

(Minimum)

R2000

(Minimum)

56.4.1.3

Rider failing to proceed to the Parade Ring timeously

R500

(Minimum)

R1000

(Minimum)

R1500

(Minimum)

R2000

(Minimum)

57.1.1

Failing to present the Passport on race day

R1000

(Minimum)

R2000

(Minimum)

R4000

(Minimum)

R7500

(Minimum)

57.1.2

Horse late on course

R1000

(without valid reason)

Discretion

57.1.4

Saddling outside the designated area without permission

R1000

(Minimum)

R1500

(Minimum)

R2000

(Minimum)

R3000

(Minimum)

57.5.1

Failing to report to Clerk of Scales 60 minutes before 1^st Race

R1500

(Minimum)

R2000

(Minimum)

R2500

(Minimum)

R3500

(Minimum)

58.2

Defective Equipment

R5000

(Minimum)

R7500

(Minimum)

R10 000

(Minimum)

R15 000

(Minimum)

58.7

Incorrect Martingales, Reins and Bits

R2500

(Minimum)

R3500

(Minimum)

R5000

(Minimum)

R10 000

(Minimum)

58.8

Incorrectly Shod

R2500

(Minimum)

R3500

(Minimum)

R5000

(Minimum)

R7500

(Minimum)

RULE	DESCRIPTION	FIRST OFFENCE	2^ND OFFENCE	3^RD OFFENCE	4^TH OFFENCE
58.9.2	No Skull Cap – Riders Grooms (to discuss with Grooms’ Association)	Minimum R500	Discretion	Discretion	Discretion
58.9.3	No Chin Strap Grooms (to discuss with Grooms’ Association)	R500 for Riders	Discretion	Discretion	Discretion
58.10.2 Appendix E (excluding Guideline A, C and N)	Appendix E (excluding Guideline A, C and N) Crop Misuse – Moratorium until 01/12/18	R1000 – R5000 7 – 30 Days Suspension Inquiry	Inquiry R1000 – R7500 7 days – 60 days	Minimum of R1000 / Inquiry	Minimum of R1000 / Inquiry
58.10.2 Appendix E (Guideline C)	Consecutive	Fine R1000 – R25 000 and/or Suspension 7 – 30 Days (Depending on status of race)	R1000 – R30 000 7 days-60 days (Depending on status of race)	R1000 - R40 000 7 days-60 days (Depending on status of race)	R1000 – R50 000 7 days-60 days (Depending on status of race)
58.10.2 Appendix E – Guideline A	Injury to Horse	R2500 to R25 000 and/or 7 days - 30 days	R5000 to R50 000 and/or 7 days-30 days	R5000 to R55 000 and/or 7 days-30 days	R5000 to R75000 and/or 7 days- 30 days
58.10.2 Appendix E – Guideline N	Hitting Horse on Head	R10 000 – R15 000 and/or 7 days – 30 days	R15 000 – R50 000 and/or 7 days – 30 days	R20 000 – R55 000 and/or 7 days – 30 days	R25 000 – R75 000 and/or 7 days – 30 days
58.11	Failing to wear body protector	R2500	R5000	R10 000	R20 000
59.2	Failing to weigh out timeously	R1000	R1500	R2500	R3500
59.3	Failing to weigh out in accordance with the Rule	R1500 (Minimum)	R2500 (Minimum)	R5000 (Minimum)	R10 000 (Minimum)

RULE	DESCRIPTION	FIRST OFFENCE	2^ND OFFENCE	3^RD OFFENCE	4^TH OFFENCE
61.3.4 and/or 61.3.7	Fail to Canter and/or maintaining feet in Stirrups (without permission)	Warning	R500	R1000	R1500
61.5.17	Misdemeanour at Start	R1000 (minimum)	R2000	Inquiry / R5000	Inquiry / R10 000
62.2.1	Full opportunity to win or obtain the best possible placing	Suspension/Inquiry (Minimum 90 days)	Inquiry (Minimum 120 days)	Inquiry (Minimum 180 days)	Inquiry (Minimum 1 year suspension)
62.2.2	Competent and Professional – (Minor offences) Dropping crop/reins (Serious offences)	Warning Inquiry	Warning Inquiry	R750 Inquiry	R1000 Inquiry
62.2.3	Failing to ride out to the end of the Race: Unplaced First (Prejudiced) Second (Prejudiced) Third (Prejudiced) Fourth (Prejudiced) Stake from Fifth Stake Onwards	Fine R1000 – R2500 60 Days – 180 Days 30 Days – 45 Days 21 Days – 30 Days 14 Days – 21 Days Fine Equivalent to place stake Or R2500 – R15 000 And/or Suspension: 7 Days – 14 Days	Inquiry Inquiry Inquiry Inquiry Inquiry Inquiry	Inquiry Inquiry Inquiry Inquiry Inquiry Inquiry	Inquiry Inquiry Inquiry Inquiry Inquiry Inquiry

RULE

DESCRIPTION

FIRST OFFENCE

2^ND OFFENCE

3^RD OFFENCE

4^TH OFFENCE

61.3.4 and/or

61.3.7

Fail to Canter

and/or maintaining feet in Stirrups (without permission)

Warning

R500

R1000

R1500

61.5.17

Misdemeanour at Start

R1000

(minimum)

R2000

Inquiry / R5000

Inquiry /

R10 000

62.2.1

Full opportunity to win or obtain the best possible placing

Suspension/Inquiry

(Minimum 90 days)

Inquiry

(Minimum 120 days)

Inquiry

(Minimum 180 days)

Inquiry

(Minimum 1 year suspension)

62.2.2

Competent and Professional – (Minor offences)

Dropping crop/reins

(Serious offences)

Warning

Inquiry

Warning

Inquiry

R750

Inquiry

R1000

Inquiry

62.2.3

Failing to ride out to the end of the Race:

Unplaced

First (Prejudiced)

Second (Prejudiced)

Third (Prejudiced)

Fourth (Prejudiced)

Stake from Fifth Stake Onwards

Fine R1000 – R2500

60 Days – 180 Days

30 Days – 45 Days

21 Days – 30 Days

14 Days – 21 Days

Fine Equivalent to place stake

R2500 – R15 000

And/or

Suspension:

7 Days – 14 Days

Inquiry

RULE	DESCRIPTION	FIRST OFFENCE	2^ND OFFENCE	3^RD OFFENCE	4^TH OFFENCE
62.2.4	Ride in a careless or negligent manner	Fine R5000 or Inquiry Suspension: 7 Days – 45 Days	Inquiry	Inquiry	Inquiry
62.2.5	Horse crossing another	Fine R5000 or Inquiry Suspension: 7 Days – 45 Days	Inquiry	Inquiry	Inquiry
62.2.6	Interfere or Jostle	Fine R5000 or Inquiry Suspension: 7 Days – 45 Days	Inquiry	Inquiry	Inquiry
62.2.7	Interference	7 Days – 45 Days or Inquiry	Inquiry/Discretion	Inquiry/Discretion	Inquiry/Discretion
62.2.9	Blatant failing to ride to instructions	Inquiry / R5000 (minimum)	Inquiry	Inquiry	Inquiry
62.2.10	Celebratory Gesture deemed to be unprofessional	R1000 Minimum - R10 000	R2500 (Minimum)	R5000 (Minimum)	R7500 (Minimum)
66.4	Overweight or Underweight when weighing in	Inquiry R1000 (Minimum) if horse is disqualified a minimum of R15000/21 days Suspension if no valid reason	Inquiry	Inquiry	Inquiry
67	Objection Fee	R5140	R5140	R5140	R5140
70	Failing to report circumstances	Fine R1000-R5000	R2500-R7500	R5000-R10 000	Inquiry
72	Prohibited Practices	Inquiry	Inquiry	Inquiry	Inquiry
77	Banned Substances (Rider)	Inquiry	Inquiry	Inquiry	Inquiry