7 Pa. Code | Title 7 Pa. Code — Agriculture

Part I Bureau of Animal Health and Diagnostic Services

Chapter 10 Pseudorabies Disease

7 Pa. Code § 10.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Advisory Committee—The State Pseudorabies Advisory Committee. Animal—An equine or bovine animal, sheep, goat, pig, dog or cat and any wild animal under domestication and embryo, ova and semen. Animal market—A place approved by the Department other than the farm of origin where animals are offered for sale, barter or trade, on a public, private or commercial basis. Breeding swine—Sexually intact domestic swine 6 months of age or older, sexually intact feral swine of all ages, and sexually intact swine 5 months of age or younger selected for producing offspring. Common ground—The ground, areas, building or equipment communally shared by any specific group of livestock. Condemned—The status of a quarantined swine, swine product, conveyance or other quarantined article that has been determined by the Department as having been exposed to pseudorabies virus so that destruction of the swine, swine product, conveyance or other article is necessary to prevent the spread of pseudorabies. Cooperative agreement—A document signed by the animal owner, attending veterinarian and Department regarding participation in a specific disease control program. Department—The Department of Agriculture of the Commonwealth. Eradication Program—The Pseudorabies Eradication State-Federal-Industry Program developed by USDA-APHIS and set forth in the Eradication Program standards. Eradication Program standards—Those standards set forth in the USDA-APHIS publication bearing No. 91-55-018 and entitled ‘‘Pseudorabies Eradication State-Federal-Industry Program Standards, effective January 1, 1994,’’ or any applicable subsequent revision or codification thereof. Farm of origin—A farm where the swine were born or the farm of most recent residence for at least 90 consecutive days immediately before movement. Feeder swine—Domestic swine other than breeding swine. Garbage—Putrescible animal and vegetable waste resulting from the handling, preparation, cooking and consumption of foods, including animal carcasses and parts thereof. Herd—A group of livestock maintained on common ground for a purpose, or two or more groups of livestock between which members are interchanged regardless of separation. Indemnity—Payment to the owner for a portion of the appraised value of condemned swine, swine products and other condemned articles that are slaughtered or destroyed by order of the Department to eradicate or prevent the spread of pseudorabies virus. Licensed pseudorabies vaccine—A pseudorabies virus vaccine produced under license from the USDA-APHIS under the Virus, Serum and Toxin Act (21 U.S.C.A. § § 151—159). Official pseudorabies epidemiologist—A veterinarian employed by the Department or USDA-APHIS and designated by the Department and USDA-APHIS to investigate and diagnose suspected pseudorabies in animals. An official pseudorabies epidemiologist shall have special training in the diagnosis and epidemiology of pseudorabies, and shall otherwise meet the responsibilities of an ‘‘official pseudorabies epidemiologist,’’ as that term is defined in the Eradication Program standards. Official pseudorabies herd-cleanup plan—A written plan to eliminate pseudorabies from a swine herd. The plan shall:

(i) Be developed by an official pseudorabies epidemiologist in consultation with the herd owner and his veterinary practitioner, if applicable.

(ii) Be mutually acceptable to those parties.

(iii) Be approved by the Department.

(iv) Otherwise be in conformance with the definition of ‘‘official pseudorabies herd-cleanup plan,’’ as that term is defined in the Eradication Program standards. Owner-shipper statement—A statement signed by the owner or shipper of swine which states the following:

(i) The number of swine to be moved.

(ii) Official identification (complete eartag, tattoo or backtag number) of each swine.

(iii) The points of origin and destination.

(iv) The consignor and consignee.

(v) Additional information required by 9 CFR Part 85 (relating to pseudorabies). Permit—A document issued by the Department or USDA-APHIS authorizing and establishing conditions under which a quarantined animal may be moved interstate or intrastate. Pseudorabies—A contagious, infectious and communicable disease of animals caused by herpesvirus suis, also known as Aujeszky’s disease, mad itch or infectious bulbar paralysis, that has been declared by the Department to be a dangerous transmissible disease. Pseudorabies exposed animal—An animal that has been in contact with a pseudorabies infected animal. The term does not include an animal, other than swine, that has not been in contact for 10-consecutive days with an animal with symptoms of pseudorabies. Pseudorabies restricted animal market—A quarantined animal market designated by the Department to conduct sales of swine originating from premises under Pennsylvania pseudorabies quarantine. Pseudorabies test—A test for the diagnosis of pseudorabies approved by the Department that is conducted in a laboratory approved by the Department or USDA-APHIS to perform pseudorabies tests. Pseudorabies vaccine—A product containing pseudorabies virus antigens. Qualified pseudorabies negative herd—A swine herd enrolled in and in compliance with the qualified pseudorabies negative swine herd plan as defined in 9 CFR Part 85. Quarantined feedlot—Premises where pseudorabies infected or exposed swine are fed and from which swine are moved by permit or owner shipper statement directly to a recognized slaughter establishment or directly through no more than one pseudorabies restricted animal market and then directly to a recognized slaughter establishment. Quarantined herd—A herd in which pseudorabies infected or exposed swine are bred, reared or fed, and from which swine are moved only by permit directly to a recognized slaughter establishment or directly through no more than one pseudorabies restricted animal market and then directly to a recognized slaughter establishment. Recognized slaughter establishment—A slaughter establishment operated under the Federal Meat Inspection Act (21 U.S.C.A. § § 601—623, 641—645, 661, 671—680 and 691). Secretary—The Secretary of the Department. Stage I—The initial preparation stage of the Eradication Program, during which the basic procedures to control and eradicate pseudorabies are developed. This designation means that the Commonwealth has met the Stage I qualification standard set forth in the Eradication Program standards. Stage II—The control stage of the Eradication Program, during which the Department participates on a cooperative basis with the Veterinary Services branch of USDA-APHIS to determine which herds are infected with pseudorabies and to begin herd-cleanup. This designation means that the Commonwealth, or a particular county thereof if so designated, has met the Stage II qualification standard set forth in the Eradication Program standards. Stage III—The mandatory herd-cleanup stage of the Eradication Program, during which the cleanup of infected herds becomes mandatory and the Department, in consultation with the Advisory Committee, establishes time limits for developing and completing official pseudorabies herd-cleanup plans. This designation means that the Commonwealth, or a particular county thereof if so designated, has met the Stage III qualification standard set forth in the Eradication Program standards. Stage IV—The surveillance stage of the Eradication Program, during which the Department monitors the Commonwealth, or any county thereof bearing this designation, to determine that cleanup programs have been effective, that any pseudorabies cases are attributable to importation of swine from out-of-State and that these outbreaks are contained. This designation means that the Commonwealth, or a particular county thereof if so designated, has met the Stage IV qualification standard set forth in the Eradication Program standards. Stage V—The pseudorabies-free stage of the Eradication Program, during which the Commonwealth, or any county thereof bearing this designation, has been free of pseudorabies for at least 12 months and continues surveillance for cases of that disease. This designation means that the Commonwealth, or a particular county thereof if so designated, has met the Stage V qualification standard set forth in the Eradication Program standards. USDA-APHIS—The United States Department of Agriculture, Animal and Plant Health Inspection Services.

The provisions of this § 10.1 amended under sections 3 and 9 of the act of April 17, 1929 (P. L. 533, No. 236) (3 P. S. § § 343 and 349); sections 4 and 6 of the act of March 28, 1929 (P. L. 110, No. 117) (3 P. S. § § 374 and 376); section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430); and section 1702 of The Administrative Code of 1929 (71 P. S. § 442).

The provisions of this § 10.1 adopted March 19, 1982, effective May 19, 1982, 12 Pa.B. 979; amended August 16, 1991, effective August 17, 1991, 21 Pa.B. 3688; amended May 10, 1996, effective May 11, 1996, 26 Pa.B. 2184. Immediately preceding text appears at serial pages (160955) to (160957).

History

Authority: The provisions of this § 10.12 amended under section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430); and section 1702 of The Administrative Code of 1929 (71 P. S. § 442).
Source: The provisions of this § 10.13 adopted March 9, 1982, effective May 19, 1982, 12 Pa.B. 979.

7 Pa. Code § 10.4 Right of Department to test.

The Department reserves the right to blood test an animal for pseudorabies at any time. It is unlawful for a person to interfere or to refuse to present his animals for testing by an officer or agents of the Department in the performance of duties after reasonable notice of the proposed testing has been given.

The provisions of this § 10.4 amended under section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430); and section 1702 of The Administrative Code of 1929 (71 P. S. § 442).

The provisions of this § 10.4 adopted March 19, 1982, effective May 19, 1982, 12 Pa.B. 979; amended August 16, 1991, effective August 17, 1991, 21 Pa.B. 3688. Immediately preceding text appears at serial page (144262).

History

Authority: The provisions of this § 10.12 amended under section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430); and section 1702 of The Administrative Code of 1929 (71 P. S. § 442).
Source: The provisions of this § 10.13 adopted March 9, 1982, effective May 19, 1982, 12 Pa.B. 979.

7 Pa. Code § 10.5 Notification of suspected pseudorabies cases.

A veterinarian suspecting or diagnosing pseudorabies in an animal shall immediately report the case by telephone or other expeditious means to the Department.

The provisions of this § 10.5 amended under section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430); and section 1702 of The Administrative Code of 1929 (71 P. S. § 442).

The provisions of this § 10.5 adopted March 19, 1982, effective May 19, 1982, 12 Pa.B. 979; amended August 16, 1991, effective August 17, 1991, 21 Pa.B. 3688. Immediately preceding text appears at serial page (144263).

History

Authority: The provisions of this § 10.12 amended under section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430); and section 1702 of The Administrative Code of 1929 (71 P. S. § 442).
Source: The provisions of this § 10.13 adopted March 9, 1982, effective May 19, 1982, 12 Pa.B. 979.

7 Pa. Code § 10.6 Quarantine required.

(a) Animals exposed to a pseudorabies test positive animal or animal with symptoms of pseudorabies shall be immediately placed under quarantine.

(b) Swine not in compliance with importation requirements and swine on the premises shall be placed under quarantine.

(c) Swine transported intrastate not meeting pseudorabies test requirements in § 3.172(c) and (d) (relating to health requirements) and swine on the premises shall be quarantined.

The provisions of this § 10.6 amended under section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430); and section 1702 of The Administrative Code of 1929 (71 P. S. § 442).

The provisions of this § 10.6 adopted March 9, 1982, effective May 19, 1982, 12 Pa.B. 979; amended August 16, 1991, effective August 17, 1991, 21 Pa.B. 3688. Immediately preceding text appears at serial page (144263).

This section cited in 7 Pa. Code § 10.8 (relating to quarantine release).

History

Authority: The provisions of this § 10.12 amended under section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430); and section 1702 of The Administrative Code of 1929 (71 P. S. § 442).
Source: The provisions of this § 10.13 adopted March 9, 1982, effective May 19, 1982, 12 Pa.B. 979.

7 Pa. Code § 10.7 Permits and owner-shipper statements for movement of swine from quarantined herds.

A permit is required to move quarantined swine from a quarantined premise. A person who has a permit to move quarantined swine shall file an owner-shipper statement with the Department within 3 days of movement.

The provisions of this § 10.7 amended under section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430); and section 1702 of The Administrative Code of 1929 (71 P. S. § 442).

The provisions of this § 10.7 adopted March 9, 1982, effective May 19, 1982, 12 Pa.B. 979; amended August 16, 1991, effective August 17, 1991, 21 Pa.B. 3688. Immediately preceding text appears at serial page (144263).

History

Authority: The provisions of this § 10.12 amended under section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430); and section 1702 of The Administrative Code of 1929 (71 P. S. § 442).
Source: The provisions of this § 10.13 adopted March 9, 1982, effective May 19, 1982, 12 Pa.B. 979.

7 Pa. Code § 10.8 Quarantine release.

(a) Swine quarantined for noncompliance with importation health requirements shall be released from quarantine only when all importation requirements are met.

(b) Swine quarantined in accordance with § 10.6(c) (relating to quarantine required) may be released from quarantine when the swine are determined by the Department to be pseudorabies test negative.

(c) A quarantine imposed upon a pseudorabies infected swine herd may be released when one of the following conditions is met:

(1) The swine have been removed from the premises, the premises is thoroughly cleaned and disinfected with USDA-APHIS approved disinfection procedures in accordance with 9 CFR 85.12 and 85.13 (relating to cleaning and disinfecting means of conveyance; and cleaning and disinfecting livestock markets and other facilities) and swine have not been on the premises for 30 days or more.

(2) Swine positive to an official test for pseudorabies have been removed from the premises and exposed swine which remain in the herd are negative to two official pseudorabies tests. The first test may not be less than 30 days after the last positive swine has been removed from the premises and the second test not less than 60 days after the first test.

(3) Swine positive to an official test for pseudorabies have been removed from the premises and three successive random sample tests of the breeding herd and three successive random sample tests of other swine on the premises that are at least 4 months of age are negative for pseudorabies. The first test shall be done at least 30 days after removal of all positive swine; the second test shall be done at least 90 days after the first test and the third test shall be done at least 90 days after the second test. The number of swine composing a random sample for quarantine removal under this section is:

A random sample shall include all age groups including boars.

(4) An official pseudorabies epidemiologist has reviewed the herd history and determined the herd is free of pseudorabies and the swine herd meets quarantine release requirements in 9 CFR Part 85 (relating to pseudorabies).

(d) Animals, other than swine not exposed to an animal with symptoms of pseudorabies or a test positive animal for 10 days may be released from quarantine.

The provisions of this § 10.8 amended under sections 3 and 9 of the act of April 17, 1929 (P. L. 533, No. 236) (3 P. S. § § 343 and 349); sections 4 and 6 of the act of March 28, 1929 (P. L. 110, No. 117) (3 P. S. § § 374 and 376); section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430); and section 1702 of The Administrative Code of 1929 (71 P. S. § 442).

The provisions of this § 10.8 adopted March 9, 1982, effective May 19, 1982, 12 Pa.B. 979; amended August 16, 1991, effective August 17, 1991, 21 Pa.B. 3688; amended May 10, 1996, effective May 11, 1996, 26 Pa.B. 2184. Immediately preceding text appears at serial pages (160959) to (160960).

History

Authority: The provisions of this § 10.12 amended under section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430); and section 1702 of The Administrative Code of 1929 (71 P. S. § 442).
Source: The provisions of this § 10.13 adopted March 9, 1982, effective May 19, 1982, 12 Pa.B. 979.

7 Pa. Code § 10.9 Qualified pseudorabies negative herd.

Qualified pseudorabies negative herd status can be obtained and maintained by complying with the requirements as defined in 9 CFR Part 85 (relating to pseudorabies).

The provisions of this § 10.9 amended uner section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430); and section 1702 of The Administrative Code of 1929 (71 P. S. § 442).

The provisions of this § 10.9 adopted March 9, 1982, effective May 19, 1982, 12 Pa.B. 979; amended August 16, 1991, effective August 17, 1991, 21 Pa.B. 3688. Immediately preceding text appears at serial page (144265).

History

Authority: The provisions of this § 10.12 amended under section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430); and section 1702 of The Administrative Code of 1929 (71 P. S. § 442).
Source: The provisions of this § 10.13 adopted March 9, 1982, effective May 19, 1982, 12 Pa.B. 979.

7 Pa. Code § 10.10 Pseudorabies vaccine.

(a) The use, importation, sale or possession of pseudorabies vaccine is prohibited except upon the specific written approval of the Department.

(b) Pseudorabies vaccinated swine having pseudorabies antibodies that cannot be distinguished from antibodies produced by pseudorabies virus are not permitted entry into this Commonwealth except by specific written approval of the Department.

(c) Pseudorabies vaccinated swine in this Commonwealth with antibodies that cannot be distinguished from antibodies produced by pseudorabies virus shall be immediately quarantined and permitted to be moved only to a recognized slaughter establishment or pseudorabies restricted animal market or to a premise quarantined for pseudorabies or in case of imported swine be returned to the state of origin.

(d) Permission to use licensed pseudorabies vaccine to achieve control of the disease in infected herds and to prevent infection in noninfected herds located in high pseudorabies risk areas may be granted by the Department if a cooperative agreement for use of pseudorabies vaccine is established between the Department, the swine herd owner and a Pennsylvania licensed veterinarian.

The provisions of this § 10.10 amended under section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430); and section 1702 of The Administrative Code of 1929 (71 P. S. § 442).

The provisions of this § 10.10 adopted March 9, 1982, effective May 19, 1982, 12 Pa.B. 979; amended August 16, 1991, effective August 17, 1991, 21 Pa.B. 3688. Immediately preceding text appears at serial page (144265).

History

Authority: The provisions of this § 10.12 amended under section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430); and section 1702 of The Administrative Code of 1929 (71 P. S. § 442).
Source: The provisions of this § 10.13 adopted March 9, 1982, effective May 19, 1982, 12 Pa.B. 979.

7 Pa. Code § 10.12 Quarantine, cleaning and disinfection of conveyances and animal facilities.

Conveyances and animal market and related facilities, except those swine facilities at recognized slaughter establishments, used in movement or housing of pseudorabies infected or exposed animal shall be quarantined and will be released from quarantine only after being cleaned and disinfected in accordance with the USDA-APHIS approved disinfection procedures in 9 CFR 85.12 and 85.13 (relating to cleaning and disinfecting means of conveyance; and cleaning and disinfecting livestock markets and other facilities).

The provisions of this § 10.12 amended under section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430); and section 1702 of The Administrative Code of 1929 (71 P. S. § 442).

The provisions of this § 10.12 adopted March 9, 1982, effective May 19, 1982, 12 Pa.B. 979; amended August 16, 1991, effective August 17, 1991, 21 Pa.B. 3688. Immediately preceding text appears at serial page (144265).

History

Authority: The provisions of this § 10.12 amended under section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430); and section 1702 of The Administrative Code of 1929 (71 P. S. § 442).
Source: The provisions of this § 10.13 adopted March 9, 1982, effective May 19, 1982, 12 Pa.B. 979.

7 Pa. Code § 10.13 Embryo and semen donors.

Embryo and semen donors shall be pseudorabies test negative within 30 days of donation or be a member of a qualified pseudorabies negative herd.

The provisions of this § 10.13 adopted March 9, 1982, effective May 19, 1982, 12 Pa.B. 979.

The provisions of these § § 10.21—10.27 issued under section 1702 of The Administrative Code of 1929 (71 P. S. § 442); sections 3 and 9 of the act of April 17, 1929 (P. L. 533, No. 236) (3 P. S. § § 343 and 349); and sections 4 and 6 of the act of March 28, 1929 (P. L. 110, No. 117) (3 P. S. § § 374 and 376), unless otherwise noted.

The provisions of these § § 10.21—10.27 adopted May 10, 1996, effective May 11, 1996, 26 Pa.B. 2184, unless otherwise noted.

History

Authority: The provisions of this § 10.12 amended under section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430); and section 1702 of The Administrative Code of 1929 (71 P. S. § 442).
Source: The provisions of this § 10.13 adopted March 9, 1982, effective May 19, 1982, 12 Pa.B. 979.

7 Pa. Code § 10.21 Plan requirements.

(a) Development and implementation. The Department will provide the owner of a pseudorabies swine herd with written notice of the time period within which an official pseudorabies herd-cleanup shall be developed and put into effect. This notice shall set forth the identity, address and telephone number of the official pseudorabies epidemiologist who shall consult with the herd owner in the development of the official herd-cleanup plan. The period within which the official pseudorabies herd-cleanup plan shall be developed and put into effect may be no longer than 60 days from the date upon which the owner receives the written notice. The herd owner shall promptly submit a proposed herd-cleanup plan to the Department.

(b) Subject matter. The Department may require that an official pseudorabies herd-cleanup plan address any activity relevant to the detection, containment or eradication of pseudorabies within the infected swine herd, as well as the surveillance and testing of the herd once it appears to be pseudorabies-free, regardless of whether the area of the Commonwealth within which the herd is located has been designated Stage I, Stage II, Stage III, Stage IV or Stage V.

(1) An official pseudorabies herd-cleanup plan shall be approved by the Department prior to being put into effect.

(2) The Department will conduct its review of a proposed herd-cleanup plan within 15 days of receiving it, and will mail the Department’s written approval, disapproval or request for additional information to the herd owner within that 15-day period.

(3) A written request by the Department for additional information shall toll the running of the 15-day period described in paragraph (2).

(4) Subsection (a) notwithstanding, if the Department fails to meet the 15-day deadline described in paragraphs (2) and (3), the development and implementation period described in subsection (a) will be extended by the number of days by which the Department exceeded its 15-day deadline.

(5) The Department may require that an official pseudorabies herd-cleanup plan be modified, and will provide the affected herd owner with advance notice of any required modifications in the manner set forth in this section.

This section cited in 7 Pa. Code § 10.25 (relating to consequences of noncompliance by herd owner).

History

Authority: The provisions of this § 10.12 amended under section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430); and section 1702 of The Administrative Code of 1929 (71 P. S. § 442).
Source: The provisions of this § 10.13 adopted March 9, 1982, effective May 19, 1982, 12 Pa.B. 979.

7 Pa. Code § 10.22 Objectives of plan.

(a) General objective. The general objective of an official pseudorabies herd-cleanup plan shall be to qualify all quarantined animals, premises and articles for release from quarantine.

(b) Specific objectives.

(1) The objective of an official pseudorabies herd-cleanup plan for a herd that is in an area of the Commonwealth designated Stage II shall be to prevent the further spread of pseudorabies within the herd and to take surveillance, sanitation and other measures toward eliminating pseudorabies from the herd.

(2) The objective of an official pseudorabies herd-cleanup plan for a herd that is in an area of this Commonwealth designated Stage III shall be to eliminate pseudorabies virus within the herd no later than 36 months after the Department approves the plan.

(3) The objective of an official pseudorabies herd-cleanup plan for a herd that is in an area of the Commonwealth designated Stage IV or Stage V shall be to eliminate pseudorabies virus in the herd no later than 6 months after the Department approves the plan.

This section cited in 7 Pa. Code § 10.26 (relating to indemnity).

History

Authority: The provisions of this § 10.12 amended under section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430); and section 1702 of The Administrative Code of 1929 (71 P. S. § 442).
Source: The provisions of this § 10.13 adopted March 9, 1982, effective May 19, 1982, 12 Pa.B. 979.

7 Pa. Code § 10.23 Monitoring the plan.

The Department will monitor the progress of an official pseudorabies herd-cleanup plan. This monitoring will be conducted at the Department’s expense.

History

Authority: The provisions of this § 10.12 amended under section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430); and section 1702 of The Administrative Code of 1929 (71 P. S. § 442).
Source: The provisions of this § 10.13 adopted March 9, 1982, effective May 19, 1982, 12 Pa.B. 979.

7 Pa. Code § 10.24 Progress report.

The owner of a pseudorabies infected swine herd that is subject to an official pseudorabies herd-cleanup plan shall cooperate with the Department in the preparation by the Department of periodic progress reports. This cooperation includes making herd records available for inspection and presenting herd animals for physical inspection and testing by the Department or its authorized representatives during daylight hours or at some mutually-agreeable time.

History

Authority: The provisions of this § 10.12 amended under section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430); and section 1702 of The Administrative Code of 1929 (71 P. S. § 442).
Source: The provisions of this § 10.13 adopted March 9, 1982, effective May 19, 1982, 12 Pa.B. 979.

7 Pa. Code § 10.25 Consequences of noncompliance by herd owner.

If an owner of a pseudorabies infected swine herd has received the written notice described in § 10.21 (relating to plan requirements), yet fails to develop and put into effect an official pseudorabies herd-cleanup plan within the time period in that written notice, the Department may order mandatory depopulation of the herd, and may revoke or deny permits to move quarantined animals. The determination that an owner has failed to develop and put into effect an official pseudorabies herd-cleanup plan shall be made by the Department, which will consult with the Advisory Committee in accordance with § 10.27(f) (relating to Advisory Committee), in making this determination.

This section cited in 7 Pa. Code § 10.27 (relating to Advisory Committee).

History

Authority: The provisions of this § 10.12 amended under section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430); and section 1702 of The Administrative Code of 1929 (71 P. S. § 442).
Source: The provisions of this § 10.13 adopted March 9, 1982, effective May 19, 1982, 12 Pa.B. 979.

7 Pa. Code § 10.26 Indemnity.

(a) The Department may offer indemnity if funds for indemnity are available, and may require the depopulation of a herd if it determines that one or more of the following apply:

(1) The herd owner has made a concerted effort to implement an official pseudorabies herd-cleanup plan, but has been unable to eliminate the pseudorabies virus from the herd within the applicable objective time in § 10.22(b) (relating to objectives of plan).

(2) Failure to depopulate the herd would unreasonably impede the progress or jeopardize the pseudorabies status of the Commonwealth under the Eradication Program.

(b) An indemnity payment need not equal and may not exceed the appraised value of the animal or article condemned by the Department.

History

Authority: The provisions of this § 10.12 amended under section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430); and section 1702 of The Administrative Code of 1929 (71 P. S. § 442).
Source: The provisions of this § 10.13 adopted March 9, 1982, effective May 19, 1982, 12 Pa.B. 979.

7 Pa. Code § 10.27 Advisory Committee.

(a) Establishment. The Secretary will appoint an Advisory Committee.

(b) Duties. It is the responsibility of the Advisory Committee to do the following:

(1) Inform and educate all segments of the Commonwealth’s swine industry regarding pseudorabies eradication activities.

(2) Review the Eradication Program and make recommendations to the Department and to USDA-APHIS officials.

(3) Consult with the Department, as appropriate, on the subjects of Eradication Program budgeting, regulations, the use of vaccine and the Commonwealth’s progress through the various stages of the Eradication Program.

(4) Maintain a liaison with other states and the National Pseudorabies Eradication Program through the National Pork Producers Council, the United States Animal Health Association, the Livestock Conservation Institute and USDA-APHIS.

(5) Perform the duties of a ‘‘State pseudorabies committee,’’ as that term is defined in the Eradication Program standards.

(c) Membership. The Secretary or a designee will be a member of the Advisory Committee. The Secretary will consider nominations for the Advisory Committee and will appoint the following:

(1) At least two but no more than four USDA-APHIS personnel from among nominees submitted by USDA- APHIS.

(2) At least six but no more than eight representatives of the Commonwealth’s swine industry from among nominees submitted by persons engaged in the Commonwealth’s swine industry or groups representing that industry.

(3) Two representatives of the Pennsylvania State University Extension Service.

(4) At least one but not more than two veterinary practitioners from among nominees submitted by the Pennsylvania Veterinary Medical Association.

(d) Terms. Appointed members of the Advisory Committee shall serve 2-year terms, and may be appointed to successive terms.

(e) Chairperson; meetings. At its first meeting of each calendar year, the Advisory Committee shall elect a chairperson, who shall serve in that capacity until the first meeting of the following calendar year or until his membership on the Advisory Committee ends, whichever occurs first. The Secretary or the chairperson may call meetings of the Advisory Committee, when appropriate.

(f) Consultation.

(1) If practicable, the Secretary will call and conduct a meeting of the Advisory Committee to consult that body on matters relating to the discharge of the Advisory Committee’s duties under § 10.25 (relating to consequences of noncompliance by herd owner) and subsection (b).

(2) The presence of a majority of the Advisory Committee members shall constitute a quorum of the Advisory Committee. The majority vote of a quorum shall be considered the advice of the Advisory Committee.

(3) If the Department, in its discretion, determines a need for immediate action without first consulting the Advisory Committee, it will take action and, within 30 days thereof, the Secretary will call a meeting of the Advisory Committee or inform and poll that body regarding the action taken.

(g) Disbanding the Advisory Committee. The Secretary may disband the Advisory Committee if the EradicationProgram standards no longer require such a body as a condition of participation in the Eradication Program.

This section cited in 7 Pa. Code § 10.25 (relating to consequences of noncompliance by herd owner).

History

Authority: The provisions of this § 10.12 amended under section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430); and section 1702 of The Administrative Code of 1929 (71 P. S. § 442).
Source: The provisions of this § 10.13 adopted March 9, 1982, effective May 19, 1982, 12 Pa.B. 979.

Chapter 13 Poultry Hygiene

7 Pa. Code § 13.1 Adoption of Federal regulations.

Except as otherwise provided in this chapter, 7 CFR 81 (relating to regulations governing the inspection of poultry and poultry products) is hereby adopted by the Department as governing poultry hygiene in this Commonwealth.

The provisions of this § 13.1 adopted January 1, 1970.

History

Authority: The provisions of this Chapter 13 issued under the Pennsylvania Meat and Poultry Hygiene Law of 1968 (31 P. S. § § 483.1—483.24), unless otherwise noted.
Source: The provisions of this § 13.3 adopted January 1, 1970.

7 Pa. Code § 13.2 Definitions.

The following words and terms, when used in 7 CFR 81 (relating to regulations governing the inspection of poultry and poultry products) and applied to this chapter, have the following meanings, unless the context clearly indicates otherwise: Act—The Pennsylvania Meat and Poultry Hygiene Law of 1968 (31 P. S. § § 483.1—483.24). Administrator—Director, Pennsylvania Bureau of Animal Industry. Commerce—Intrastate commerce. Department—The Department of Agriculture of the Commonwealth. Inspector—An employe of the Meat Hygiene Division, Bureau of Animal Industry, Department of Agriculture. Reporting forms (Federal)—Like forms (Pennsylvania). United States—The Commonwealth of Pennsylvania. The United States Department of Agriculture—The Department of Agriculture of the Commonwealth.

The provisions of this § 13.2 adopted January 1, 1970.

History

Authority: The provisions of this Chapter 13 issued under the Pennsylvania Meat and Poultry Hygiene Law of 1968 (31 P. S. § § 483.1—483.24), unless otherwise noted.
Source: The provisions of this § 13.3 adopted January 1, 1970.

7 Pa. Code § 13.3 Exclusions and revisions.

(a) The following sections of 7 CFR 81 (relating to regulations governing the inspection of poultry and poultry products) are not applicable in this Commonwealth:

(1) Sections 81.11—81.13.

(2) Sections 81.118—81.124.

(3) Sections 81.151—81.153.

(4) Section 81.156.

(5) Sections 81.171—81.173.

(6) Sections 81.300—81.314.

(7) Sections 81.400 and 81.401.

(b) The following revisions shall be made to 7 CFR 81 for application in this Commonwealth:

(1) Section 81.14—The first paragraph does not apply.

(2) Section 81.15—The title shall be changed to ‘‘Rejection for Inspection’’.

(3) Figure 1—Substitute Pennsylvania mark of inspection.

(4) Section 81.135—‘‘Shipment in Commerce’’ does not apply.

(5) Section 81.170—The last paragraph does not apply.

The provisions of this § 13.3 adopted January 1, 1970.

History

Authority: The provisions of this Chapter 13 issued under the Pennsylvania Meat and Poultry Hygiene Law of 1968 (31 P. S. § § 483.1—483.24), unless otherwise noted.
Source: The provisions of this § 13.3 adopted January 1, 1970.

Chapter 15 Control and Eradication of Pullorum Disease

7 Pa. Code § 15.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Breeding flock—A program bird kept on the premises that is intended for the production of hatching eggs or that is maintained for the purpose of establishing, continuing or improving parent lines. Bureau—The Bureau of Animal Industry of the Department. Department—The Department of Agriculture of the Commonwealth. Fowl typhoid—An acute, subacute or chronic infectious disease of poultry and other birds caused by the bacteria, Salmonella Gallinarum. Fowl typhoid is a dangerous, transmissible, reportable disease and it shall be subject to the act of April 17, 1929 (P. L. 533, No. 236) (3 P. S. § § 341—351). Hatchery—Hatchery equipment on one premises operated or controlled by a person for the incubation of eggs from breeding flocks. Official test—The standard tube agglutination test performed by a laboratory approved by the Department. Program—The Commonwealth program for the eradication of pullorum disease and fowl typhoid. The program is based on sanitary principles and includes repeated official blood testing of the flock, elimination of reactors and correction of unsanitary conditions under the supervision of the Bureau. Program birds—A chicken, turkey, waterfowl and guinea and game fowl. Pullorum disease—An acute, subacute or chronic infectious disease of poultry and other birds caused by the bacteria, Salmonella Pullorum. Pullorum disease is a dangerous, transmissible, reportable disease and it shall be subject to the act of April 17, 1929 (P. L. 533, No. 236) (3 P. S. § § 341—351).

The provisions of this § 15.1 amended January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (38139).

History

Authority: The provisions of this Chapter 15 issued under the Pennsylvania Meat and Poultry Hygiene Law of 1968 (31 P. S. § § 483.1—483.24); and section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430), unless otherwise noted.
Source: The provisions of this § 15.63 adopted January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26025).

7 Pa. Code § 15.2 Flock and participation.

(a) Participation in the program shall be required for program bird breeding flocks within this Commonwealth.

(b) Only program birds and hatching eggs originating from breeding flocks or hatcheries participating in the program or an equivalent official pullorum-typhoid eradication program may be bought, sold, added to flocks, transported within or imported into this Commonwealth, except those to be immediately slaughtered.

(i) Blood tests of breeding flocks.

(ii) Blood tests of other avian species kept with or near the breeding flocks as deemed necessary by the Department.

(iii) Achievement and maintenance of a pullorum-typhoid free flock status under the requirements of § § 15.21—15.23 (relating to testing).

(d) The owner shall place his flock under the supervision and inspection of the Department in order to participate in the program and shall confine the birds to enable collection of blood samples.

(e) Both open and closed breeding flocks shall participate.

The provisions of this § 15.2 amended January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended July 16, 1976, effective July 17, 1976, 6 Pa.B. 1665; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (38139) to (38140).

This section cited in 7 Pa. Code § 15.10 (relating to importation and intrastate transportation of program birds and their hatching eggs).

History

Authority: The provisions of this Chapter 15 issued under the Pennsylvania Meat and Poultry Hygiene Law of 1968 (31 P. S. § § 483.1—483.24); and section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430), unless otherwise noted.
Source: The provisions of this § 15.63 adopted January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26025).

7 Pa. Code § 15.4 Official bacteriological monitoring program.

The Bureau may allow the official bacteriological monitoring program for maintenance of pullorum-typhoid free flock status. The official monitoring program shall consist of:

(1) Monitoring of hatching eggs and their environment for salmonella pullorum and salmonella gallinarum by Bureau-approved bacteriological sampling tests.

(2) Blood tests of the breeding flock as specified in § 15.21 (relating to testing requirements for pullorum-typhoid free flock status), as related to numbers, percentages, and species tested.

(3) Prompt reporting of abnormal hatching egg fertility, hatchability or abnormal mortality in chicks or other baby fowl.

(4) Compliance with § 15.9 (relating to records of movement and reports of official tests).

The provisions of this § 15.4 amended January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; reserved November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361; amended September 7, 1979, effective September 8, 1979, 9 Pa.B. 2999. Immediately preceding text appears at serial page (38140).

History

Authority: The provisions of this Chapter 15 issued under the Pennsylvania Meat and Poultry Hygiene Law of 1968 (31 P. S. § § 483.1—483.24); and section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430), unless otherwise noted.
Source: The provisions of this § 15.63 adopted January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26025).

7 Pa. Code § 15.5 Collection of blood samples.

Blood samples of breeding flocks shall be collected by any of the following under the supervision of the Bureau:

(1) An accredited veterinarian.

(2) A licensed poultry technician.

(3) An agent of the Bureau or APHIS-USDA.

The provisions of this § 15.5 amended January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (32362).

History

Authority: The provisions of this Chapter 15 issued under the Pennsylvania Meat and Poultry Hygiene Law of 1968 (31 P. S. § § 483.1—483.24); and section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430), unless otherwise noted.
Source: The provisions of this § 15.63 adopted January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26025).

7 Pa. Code § 15.6 Commercial flocks.

Breeding flock owners wishing to maintain a separate nonparticipating flock for commercial egg or meat production shall submit a written request, prior to purchase of the chicks, to the Bureau, 2301 North Cameron Street, Harrisburg, Pennsylvania 17120, requesting permission to raise a commercial flock in conjunction with a breeding flock. Permission will be contingent upon on-the-premises inspection of existing facilities and conditions and the determination of safe operational policies by Department inspectors.

The provisions of this § 15.6 amended January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (32362).

History

Authority: The provisions of this Chapter 15 issued under the Pennsylvania Meat and Poultry Hygiene Law of 1968 (31 P. S. § § 483.1—483.24); and section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430), unless otherwise noted.
Source: The provisions of this § 15.63 adopted January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26025).

7 Pa. Code § 15.7 Identification of the flock.

(a) Birds in the flock bled for tests shall be identified with an official band approved by the Department.

(b) Information on large and small leg bands and band sealing pliers for identification of poultry can be obtained from the Bureau, 2301 North Cameron Street, Harrisburg, Pennsylvania 17120.

(c) The flock and band numbers of birds bled for official tests shall be identified by completion of the official blood testing report slip (AAI-29), which shall accompany blood samples submitted for official tests.

The provisions of this § 15.7 amended January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (32363).

History

Authority: The provisions of this Chapter 15 issued under the Pennsylvania Meat and Poultry Hygiene Law of 1968 (31 P. S. § § 483.1—483.24); and section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430), unless otherwise noted.
Source: The provisions of this § 15.63 adopted January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26025).

7 Pa. Code § 15.8 Hatcheries.

(a) Hatcheries shall be handled in the same manner as a single flock. Each unit shall comply with all of the requirements of the program.

(b) Hatcheries shall accept eggs only from flocks participating in the program.

The provisions of this § 15.8 amended January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (32363).

History

Authority: The provisions of this Chapter 15 issued under the Pennsylvania Meat and Poultry Hygiene Law of 1968 (31 P. S. § § 483.1—483.24); and section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430), unless otherwise noted.
Source: The provisions of this § 15.63 adopted January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26025).

7 Pa. Code § 15.9 Records of movement and reports of official tests.

Records and reports of official tests shall be maintained and made available for inspection by an authorized agent of the Bureau at any reasonable time as follows:

(1) Records of movement. Managers of flocks and hatcheries shall maintain a complete record for a 12-month period of names and addresses of sources and destinations of program birds or hatching eggs transported or otherwise moved to or from their premises. The records shall also include the date of movement and indicate the species, breed and strain moved.

(2) Reports of official tests. It is recommended by the Bureau that managers of breeding flocks and hatcheries should maintain a file for at least 2 years, as of November 30, 1977, and thereafter, of reports of official tests on their birds and on each of the flocks from which hatching eggs are procured. Waterfowl and quail breeding flocks and hatcheries should maintain the aforementioned reports for 6 years if maintaining pullorum-free flock status by repeat testing every 5 years as described in § 15.21(c)(iii) (relating to testing requirements for pullorum-typhoid free flock status). Properly completed NPIP Forms 15 may be used in lieu of reports of official tests. Use of this procedure will facilitate verification of compliance with testing requirements.

The provisions of this § 15.9 amended January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (32363).

This section cited in 7 Pa. Code § 15.4 (relating to official bacteriological monitoring program).

History

Authority: The provisions of this Chapter 15 issued under the Pennsylvania Meat and Poultry Hygiene Law of 1968 (31 P. S. § § 483.1—483.24); and section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430), unless otherwise noted.
Source: The provisions of this § 15.63 adopted January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26025).

7 Pa. Code § 15.10 Importation and intrastate transportation of program birds and their hatching eggs.

Program birds and their hatching eggs imported into or transported within this Commonwealth shall meet provisions of § 15.2(b) (relating to flock and participation) and shall move in full compliance with Chapter 3 Subchapters E and L (relating to importation of all types of poultry, birds, water and game fowl and their hatching eggs; and intrastate transportation for all types of poultry, birds, water and game fowl and their hatching eggs).

The provisions of this § 15.10 amended January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (32363).

History

Authority: The provisions of this Chapter 15 issued under the Pennsylvania Meat and Poultry Hygiene Law of 1968 (31 P. S. § § 483.1—483.24); and section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430), unless otherwise noted.
Source: The provisions of this § 15.63 adopted January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26025).

7 Pa. Code § 15.11 Exhibition of program birds.

(a) Program birds for exhibition in this Commonwealth shall be from flocks participating in an official pullorum-typhoid eradication program.

(b) Participation in an official pullorum eradication program shall be verified in a manner acceptable to the Bureau at time of entrance to the show premises.

The provisions of this § 15.11 amended January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (32364).

History

Authority: The provisions of this Chapter 15 issued under the Pennsylvania Meat and Poultry Hygiene Law of 1968 (31 P. S. § § 483.1—483.24); and section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430), unless otherwise noted.
Source: The provisions of this § 15.63 adopted January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26025).

7 Pa. Code § 15.12 National poultry improvement plan.

A person or firm who meets the requirements of Pennsylvania pullorum-typhoid free flock program may obtain a U.S. pullorum-typhoid clean classification by submitting an application form to the Bureau. The Bureau will approve United States ratings under the authority and guidelines of the memorandum of understanding with USDA for this purpose.

The provisions of this § 15.12 amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361; amended January 27, 1978, effective January 28, 1978, 8 Pa.B. 246. Immediately preceding text appears at serial page (32364).

History

Authority: The provisions of this Chapter 15 issued under the Pennsylvania Meat and Poultry Hygiene Law of 1968 (31 P. S. § § 483.1—483.24); and section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430), unless otherwise noted.
Source: The provisions of this § 15.63 adopted January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26025).

7 Pa. Code § 15.13 Fowl typhoid.

This chapter applies to fowl typhoid since fowl typhoid is serologically identical with pullorum disease.

History

Authority: The provisions of this Chapter 15 issued under the Pennsylvania Meat and Poultry Hygiene Law of 1968 (31 P. S. § § 483.1—483.24); and section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430), unless otherwise noted.
Source: The provisions of this § 15.63 adopted January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26025).

7 Pa. Code § 15.15 Flock medication.

Medication of the flock with antibiotics or chemotherapeutic agents, within the 4 weeks prior to collection of official blood test samples, shall be reported to the Bureau on the reverse side of an official blood testing report slip (Form AAI-29). Medication may be detrimental to the test and should be given only when absolutely necessary.

The provisions of this § 15.15 adopted January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (28551).

History

Authority: The provisions of this Chapter 15 issued under the Pennsylvania Meat and Poultry Hygiene Law of 1968 (31 P. S. § § 483.1—483.24); and section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430), unless otherwise noted.
Source: The provisions of this § 15.63 adopted January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26025).

7 Pa. Code § 15.21 Testing requirements for pullorum-typhoid free flock status.

(a) At least one official negative flock test shall be achieved as of January 1, 1975, or thereafter, by any breeding flock in order to achieve a pullorum-typhoid free flock status.

(b) If the Commonwealth is not a United States pullorum-typhoid clean state, breeding flocks shall maintain pullorum-typhoid status by repeat testing in accordance with minimum requirements for the classification of the Commonwealth as either a United States Pullorum-Typhoid Clean State or a Pullorum-Typhoid Free State by the United States Department of Agriculture.

(c) If the Commonwealth is a United States Pullorum-Typhoid Clean State, all breeding flocks shall maintain pullorum-typhoid free flock status by repeat testing as follows:

(1) Chickens. Pullorum-typhoid free primary breeding flocks shall either officially test a representative sample of 300 birds from flocks of more than 300 and each bird in flocks of 300 or less every three years in conjunction with the official bacteriological monitoring program or officially test a representative sample of 300 birds from flocks of more than 300 and each bird in flocks of 300 or less annually. Pullorum-typhoid free multiplier breeding flocks shall either officially test a representative sample of 200 birds from flocks of more than 200 and each bird in flocks of 200 or less every three years in conjunction with the official bacteriological monitoring program or officially test a representative sample of 200 birds from flocks of more than 200 and each bird in flocks of 200 or less annually.

(2) Turkeys. Pullorum-typhoid free breeding flocks shall either participate in the official bacteriological monitoring program or officially test a representative sample of 200 birds from flocks of more than 200 and each bird in flocks of 200 or less annually.

(3) Waterfowl. Pullorum-typhoid free breeding flocks shall either officially test a representative sample of 300 birds from flocks of more than 300 and each bird in flocks of 300 or less every 5 years in conjunction with the official bacteriological monitoring program or officially test a representative sample of 300 birds from flocks of more than 300 and each bird in flocks of 300 or less annually.

(4) Guinea and game fowl. Pullorum-typhoid free breeding flocks shall either officially test each bird in flocks of 40 birds or less, or a representative sample of 40 birds in flocks of 40 to 200, or a representative sample of at least 20% of flocks larger than 200 with a maximum of 300 samples annually in conjunction with the official bacteriological monitoring program or officially test a representative sample of 300 birds from flocks of more than 300 and each bird in flocks of 300 or less annually. Pullorum-typhoid free quail breeders may test under the requirements of paragraph (3) for waterfowl.

(d) A breeding flocks that have been infected with or exposed to or are suspected of infection with or exposure to pullorum disease or fowl typhoid shall meet requirements specified in § 15.23 (relating to testing requirements for inspection) before qualifying for pullorum-typhoid free flock status.

The provisions of this § 15.21 amended January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361; amended September 7, 1979, effective September 8, 1979, 9 Pa.B. 2999. Immediately preceding text appears at serial page (38143).

This section cited in 7 Pa. Code § 15.2 (relating to flock and participation); 7 Pa. Code § 15.4 (relating to official bacteriological monitoring program); 7 Pa. Code § 15.9 (relating to records of movement and reports of official tests); and 7 Pa. Code § 15.22 (relating to volumes, breeds and ages for testing).

History

Authority: The provisions of this Chapter 15 issued under the Pennsylvania Meat and Poultry Hygiene Law of 1968 (31 P. S. § § 483.1—483.24); and section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430), unless otherwise noted.
Source: The provisions of this § 15.63 adopted January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26025).

7 Pa. Code § 15.22 Volumes, breeds and ages for testing.

(a) The numbers, percentages and species tested shall be as stated in § 15.21 (relating to testing requirements for pullorum-typhoid free flock status).

(b) The Department may increase volume or species requirements as deemed necessary to eradicate pullorum disease and fowl typhoid in this Commonwealth.

(c) Breeding chickens shall be tested after 5 months of age. Breeding turkeys, waterfowl, guinea and game fowl shall be tested after they are more than 4 months of age requirements as deemed necessary to eradicate pullorum disease.

The provisions of this § 15.22 amended January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26021).

This section cited in 7 Pa. Code § 15.2 (relating to flock and participation).

History

Authority: The provisions of this Chapter 15 issued under the Pennsylvania Meat and Poultry Hygiene Law of 1968 (31 P. S. § § 483.1—483.24); and section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430), unless otherwise noted.
Source: The provisions of this § 15.63 adopted January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26025).

7 Pa. Code § 15.23 Testing requirements for infection.

(a) When one or more birds in a breeding flock has been infected with pullorum disease or fowl typhoid, the breeding flock shall have two negative, consecutive, official, 100% tests conducted at intervals of not less than 60 days and not more than 1 year apart, plus a third negative, consecutive, official 100% test 1 year after the aforementioned double-negative testing interval.

(b) Breeding flocks exposed or suspected of exposure to pullorum disease or fowl typhoid shall test as follows:

(1) Chickens, turkeys, guinea and game fowl. Two negative, consecutive, official tests conducted at intervals of not less than 60 days and not more than 1 year apart.

(2) Waterfowl. Two negative, consecutive, official tests conducted at intervals of not less than 1 year and not more than 2 years apart in conjunction with a bacteriological monitoring program approved by the Bureau.

The provisions of this § 15.23 amended January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26022).

This section cited in 7 Pa. Code § 15.2 (relating to flock and participation); and 7 Pa. Code § 15.21 (relating to testing requirements for pullorum-typhoid free flock status).

History

Authority: The provisions of this Chapter 15 issued under the Pennsylvania Meat and Poultry Hygiene Law of 1968 (31 P. S. § § 483.1—483.24); and section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430), unless otherwise noted.
Source: The provisions of this § 15.63 adopted January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26025).

7 Pa. Code § 15.41 General requirements.

Premises and equipment shall be kept in a sanitary condition.

History

Authority: The provisions of this Chapter 15 issued under the Pennsylvania Meat and Poultry Hygiene Law of 1968 (31 P. S. § § 483.1—483.24); and section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430), unless otherwise noted.
Source: The provisions of this § 15.63 adopted January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26025).

7 Pa. Code § 15.42 Free flying birds.

Provisions shall be made to prevent free flying birds from gaining entrance to breeding flock houses.

The provisions of this § 15.42 amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26023).

History

Authority: The provisions of this Chapter 15 issued under the Pennsylvania Meat and Poultry Hygiene Law of 1968 (31 P. S. § § 483.1—483.24); and section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430), unless otherwise noted.
Source: The provisions of this § 15.63 adopted January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26025).

7 Pa. Code § 15.43 Removal of reactors.

On request of Department agents and in accord with their directions, premises, equipment and houses shall be thoroughly cleaned and disinfected by the owner following the removal of reactors. Assistance in disinfection may be provided by the Bureau.

The provisions of this § 15.43 amended January 2, 1976, effective January 3, 1976, 6 Pa.B. 7. Immediately preceding text appears at serial page (26023).

History

Authority: The provisions of this Chapter 15 issued under the Pennsylvania Meat and Poultry Hygiene Law of 1968 (31 P. S. § § 483.1—483.24); and section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430), unless otherwise noted.
Source: The provisions of this § 15.63 adopted January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26025).

7 Pa. Code § 15.44 Incubators.

Incubators shall be thoroughly cleaned, disinfected and fumigated before the hatchery season and after each hatch.

History

Authority: The provisions of this Chapter 15 issued under the Pennsylvania Meat and Poultry Hygiene Law of 1968 (31 P. S. § § 483.1—483.24); and section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430), unless otherwise noted.
Source: The provisions of this § 15.63 adopted January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26025).

7 Pa. Code § 15.45 Hatching trays.

Hatching trays shall be thoroughly cleaned and disinfected between hatches.

History

Authority: The provisions of this Chapter 15 issued under the Pennsylvania Meat and Poultry Hygiene Law of 1968 (31 P. S. § § 483.1—483.24); and section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430), unless otherwise noted.
Source: The provisions of this § 15.63 adopted January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26025).

7 Pa. Code § 15.46 Shipping containers.

New, unused or clean and disinfected containers and crates shall be used for shipments. Reference should also be made to Chapter 3 Subchapters E and L (relating to importation of all types of poultry, birds, water and game fowl and their hatching eggs; and intrastate transportation for all types of poultry, birds, water and game fowl and their hatching eggs).

The provisions of this § 15.46 amended January 2, 1976, effective January 3, 1976, 6 Pa.B. 7. Immediately preceding text appears at serial page (26024).

History

Authority: The provisions of this Chapter 15 issued under the Pennsylvania Meat and Poultry Hygiene Law of 1968 (31 P. S. § § 483.1—483.24); and section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430), unless otherwise noted.
Source: The provisions of this § 15.63 adopted January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26025).

7 Pa. Code § 15.51 Advertising to be truthful.

Owners of flocks or hatcheries shall use only true statements when publishing advertising material pertaining to the status of their flocks.

The provisions of this § 15.51 amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26024).

History

Authority: The provisions of this Chapter 15 issued under the Pennsylvania Meat and Poultry Hygiene Law of 1968 (31 P. S. § § 483.1—483.24); and section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430), unless otherwise noted.
Source: The provisions of this § 15.63 adopted January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26025).

7 Pa. Code § 15.63 Indemnity.

For the provisions covering indemnity for pullorum disease refer to the act of June 22, 1931 (P. L. 682, No. 249) (3 P. S. § § 398—400) and Chapter 8 (relating to appraisal and indemnity for diseased animals).

The provisions of this § 15.63 adopted January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26025).

History

Authority: The provisions of this Chapter 15 issued under the Pennsylvania Meat and Poultry Hygiene Law of 1968 (31 P. S. § § 483.1—483.24); and section 40 of the act of July 22, 1913 (P. L. 928, No. 441) (3 P. S. § 430), unless otherwise noted.
Source: The provisions of this § 15.63 adopted January 2, 1976, effective January 3, 1976, 6 Pa.B. 7; amended November 18, 1977, effective November 19, 1977, 7 Pa.B. 3361. Immediately preceding text appears at serial page (26025).

Chapter 19 Poultry Haulers and Dealers

7 Pa. Code § 19.1 Scope.

This chapter governs the licensing and operations of poultry haulers and dealers.

History

Authority: The provisions of this Chapter 19 issued under section 1713 of The Administrative Code of 1929 (71 P. S. § 453), unless otherwise noted.
Source: The provisions of this Chapter 19 adopted May 25, 1990, effective May 26, 1990, 20 Pa.B. 2744, unless otherwise noted.

7 Pa. Code § 19.2 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Business of transporting poultry—Transporting live poultry for compensation. Cleaned and disinfected—Cleaned and disinfected under 9 CFR 71.7, 71.10 and 71.11 (relating to means of conveyance, facilities and premises; methods of cleaning and disinfecting; substances or materials allowed as permitted disinfectants; and cresylic disinfectant as permitted disinfectant; specifications). Conveyance—An automobile, truck, trailer, wagon or other vehicle used in the transportation of live poultry on the public highways of this Commonwealth. The term does not include a vehicle used by a producer exclusively on a farm or on contiguous farms operated as part of a single agricultural operation. Dealer or poultry dealer—A person engaged in the business of buying, receiving, selling, exchanging, negotiating or soliciting the sale, resale, exchange or transfer of live poultry. The term does not include a poultry producer or butcher or processor who receives live poultry solely for immediate slaughter. Department—The Department of Agriculture of the Commonwealth. Person—A natural person, corporation, partnership or association. Poultry—A chicken, duck, goose, turkey, pigeon, chukar, guinea, exotic fowl or game bird raised in captivity. Producer or poultry producer—A person engaged in the business of growing or keeping poultry for market. The term does not include a person who, by contract, employs another person to exclusively perform the actual breeding, growing or raising activities relating to the poultry, regardless of whether or not the employer has title in the poultry. Secretary—The Secretary of the Department.

History

Authority: The provisions of this Chapter 19 issued under section 1713 of The Administrative Code of 1929 (71 P. S. § 453), unless otherwise noted.
Source: The provisions of this Chapter 19 adopted May 25, 1990, effective May 26, 1990, 20 Pa.B. 2744, unless otherwise noted.

7 Pa. Code § 19.51 License requirements.

(a) A conveyance used in the business of transporting live poultry shall be licensed by the Department.

(b) A license will be issued on a calendar year basis and will expire on December 31.

(d) A license issued under this subchapter may not be transferred.

(e) The license decal shall be located in a clear and visible area on the rear of the conveyance on the driver’s side.

History

Authority: The provisions of this Chapter 19 issued under section 1713 of The Administrative Code of 1929 (71 P. S. § 453), unless otherwise noted.
Source: The provisions of this Chapter 19 adopted May 25, 1990, effective May 26, 1990, 20 Pa.B. 2744, unless otherwise noted.

7 Pa. Code § 19.52 Recordkeeping.

(a) An owner or lessee of a conveyance shall keep a record for each occasion it uses a licensed conveyance to transport live poultry. The record shall contain the following information:

(1) The name and address of the premises where receipt or delivery of the poultry was made.

(2) The quantity, type and species of poultry received or delivered.

(3) The nature, condition or apparent health of the poultry received or delivered.

(4) The date the poultry was received or delivered.

(b) A record required to be kept under this section shall be maintained for at least 1 year and shall be made immediately available to the Department upon request.

This section cited in 7 Pa. Code § 19.54 (relating to inspections); and 7 Pa. Code § 19.84 (relating to inspections).

History

Authority: The provisions of this Chapter 19 issued under section 1713 of The Administrative Code of 1929 (71 P. S. § 453), unless otherwise noted.
Source: The provisions of this Chapter 19 adopted May 25, 1990, effective May 26, 1990, 20 Pa.B. 2744, unless otherwise noted.

7 Pa. Code § 19.53 Sanitation.

(a) Unless never before used to transport or house poultry, a crate, coop, cage or other accessory used for the transportation of poultry shall be cleaned and disinfected prior to use and shall be free of visible accumulations of manure and feathers.

(b) A conveyance used for the transportation of poultry shall be cleaned and disinfected prior to use and shall be free of visible accumulations of manure and feathers.

History

Authority: The provisions of this Chapter 19 issued under section 1713 of The Administrative Code of 1929 (71 P. S. § 453), unless otherwise noted.
Source: The provisions of this Chapter 19 adopted May 25, 1990, effective May 26, 1990, 20 Pa.B. 2744, unless otherwise noted.

7 Pa. Code § 19.54 Inspections.

(a) Upon the request of an agent of the Department during regular and usual business hours, or at other times when a reasonable belief that a violation of this subchapter may exist, a licensee shall:

(1) Produce for inspection records maintained under § 19.52 (relating to recordkeeping).

(2) Permit the agent to examine a conveyance licensed under this subchapter including the crates located on the conveyance.

(b) The Department’s agent will advise the licensee that the inspection is being conducted under section 1713 of The Administrative Code of 1929 (71 P.S. § 453) and this chapter.

(c) The Department reserves the right to make inspections at least annually and at other times upon complaint or reasonable belief that a violation of this chapter may exist. The Department reserves the right to enter and conduct a special inspection as a follow up to a previous inspection that revealed noncompliance with this chapter.

(d) Failure of a licensee to produce records for inspection or to permit examination of its conveyance or the crates located on its conveyance may be grounds for suspension, revocation or denial of a license issued under this chapter. An action taken by the Department under this subsection is subject to section 1713(i) of The Administrative Code of 1929.

History

Authority: The provisions of this Chapter 19 issued under section 1713 of The Administrative Code of 1929 (71 P. S. § 453), unless otherwise noted.
Source: The provisions of this Chapter 19 adopted May 25, 1990, effective May 26, 1990, 20 Pa.B. 2744, unless otherwise noted.

7 Pa. Code § 19.81 Licensing requirements.

(a) A poultry dealer buying or selling poultry within this Commonwealth shall be licensed by the Department.

(b) A dealer’s license will be issued upon application to the Department and submission of a fee of $25.

History

Authority: The provisions of this Chapter 19 issued under section 1713 of The Administrative Code of 1929 (71 P. S. § 453), unless otherwise noted.
Source: The provisions of this Chapter 19 adopted May 25, 1990, effective May 26, 1990, 20 Pa.B. 2744, unless otherwise noted.

7 Pa. Code § 19.82 Recordkeeping.

(a) A poultry dealer shall keep a record for each sale or purchase of poultry. The record shall contain the following information:

(1) The name and address of the buyer and seller.

(2) The quantity, type and species of poultry bought or sold.

(3) The nature, condition or apparent health of the poultry bought or sold.

(4) The date of the transaction.

(b) A record required to be kept under this section shall be maintained for at least 1 year and shall be made immediately available to the Department upon request.

History

Authority: The provisions of this Chapter 19 issued under section 1713 of The Administrative Code of 1929 (71 P. S. § 453), unless otherwise noted.
Source: The provisions of this Chapter 19 adopted May 25, 1990, effective May 26, 1990, 20 Pa.B. 2744, unless otherwise noted.

7 Pa. Code § 19.83 Sanitation.

(a) Unless never before used to transport or house poultry, a crate, coop, cage or other accessory used for the housing or transportation of poultry shall be cleaned and disinfected prior to use, and shall be free of visible accumulations of manure and feathers.

(b) A conveyance used for the transportation of poultry shall be cleaned and disinfected prior to use and shall be free of visible accumulations of manure and feathers.

(c) A building or pen used to house poultry on the dealer’s premises shall be kept in a sanitary condition and shall be cleaned and disinfected after removal of each group of poultry.

History

Authority: The provisions of this Chapter 19 issued under section 1713 of The Administrative Code of 1929 (71 P. S. § 453), unless otherwise noted.
Source: The provisions of this Chapter 19 adopted May 25, 1990, effective May 26, 1990, 20 Pa.B. 2744, unless otherwise noted.

7 Pa. Code § 19.84 Inspections.

(a) Upon the request of an agent of the Department during regular and usual business hours, or at other times when a reasonable belief that a violation of this chapter may exist, a licensee shall:

(1) Produce for inspection records maintained under § 19.52 (relating to recordkeeping).

(2) Permit the agent to examine the pens, conveyances and accessories used in the dealer’s poultry operation licensed under this chapter.

(b) The Department’s agent will advise the licensee that the inspection is being conducted under section 1713 of The Administrative Code of 1929 (71 P. S. § 453) and this chapter.

(c) The Department reserves the right to make inspections at least annually, and at other times upon complaint or reasonable belief that a violation of this chapter may exist. The Department reserves the right to enter and conduct a special inspection as a follow-up to a previous inspection that revealed noncompliance with this chapter.

(d) Failure of a licensee to produce records for inspection or to permit examination of its pens, conveyances or accessories may be grounds for suspension, revocation or denial of a license issued under this chapter. An action taken by the Department under this subsection is subject to section 1713(i) of The Administrative Code of 1929.

History

Authority: The provisions of this Chapter 19 issued under section 1713 of The Administrative Code of 1929 (71 P. S. § 453), unless otherwise noted.
Source: The provisions of this Chapter 19 adopted May 25, 1990, effective May 26, 1990, 20 Pa.B. 2744, unless otherwise noted.

Chapter 20 Conditions and Requirements Under Which Domestic Animals May be Offered as Prizes

7 Pa. Code § 20.1 Purpose.

This chapter, which is authorized under 18 Pa.C.S. § 5511.1(b)(2) (relating to live animals as prizes prohibited), establishes the conditions under which an agricultural, educational or vocational program may conduct a game at which a domestic animal may be offered or given away as a prize. It also establishes requirements governing how a game shall be conducted.

History

Authority: The provisions of this Chapter 20 issued under the Crimes Code, 18 Pa.C.S. § 5511.1, unless otherwise noted.
Source: The provisions of this Chapter 20 adopted August 30, 1996, effective August 31, 1996, 26 Pa.B. 4218, unless otherwise noted.

7 Pa. Code § 20.2 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Act—The act of April 29, 1994 (P. L. 142, No. 24), which amended 18 Pa.C.S. § 5511(j) (relating to cruelty to animals) and established 18 Pa.C.S. § 5511.1 (relating to live animals as prizes prohibited). Agricultural program—A program having the cultivation of soil or water, the production of plants, the production of domestic animals or the production of some agricultural product as its primary purpose. Department—The Department of Agriculture of the Commonwealth. Domestic animal—A dog, cat, equine animal, bovine animal, sheep, goat or porcine animal. Educational program—A program having the instruction of its participants in agriculture, subjects related to agriculture, the sciences or rural community leadership as its primary purpose. Fish—A live animal member of the superclass Pisces. Game—A drawing, lottery, contest, sweepstakes or similar activity engaged in for diversion, amusement or profit, regardless of whether its outcome is determined by the skill of the participant, random chance or some combination of the two. The term does not include an exhibition or competition of agricultural animals for agricultural vocational purposes. Person—An individual, partnership, sole proprietorship, corporation or business entity. Prize—An article or other consideration, such as a coupon or discount, awarded to a game contestant or any other person as a result of a contestant’s participation in a particular game, regardless of whether the awarding of the prize is contingent upon achieving some level of success in the game or upon mere participation in the game. Sanction—The action taken by the Department when the Secretary or a designee issues a written notice that a particular program is an agricultural, educational or vocational program to which the exception in 18 Pa.C.S. § 5511.1(b)(1) applies. Secretary—The Secretary of the Department. Sponsor—The relationship of the Department to an entity to which it awards grants under authority of the Agricultural and Rural Youth Development Act (3 P. S. § § 1601—1609), the Pennsylvania Agricultural Fair Act (3 P. S. § § 1501—1508) or other statutory authority by which the Department may award grants or extend loans to agricultural, educational or vocational programs. Vocational program—A program having the preparation of its participants for careers in agriculture or the agricultural sciences as its primary purpose.

History

Authority: The provisions of this Chapter 20 issued under the Crimes Code, 18 Pa.C.S. § 5511.1, unless otherwise noted.
Source: The provisions of this Chapter 20 adopted August 30, 1996, effective August 31, 1996, 26 Pa.B. 4218, unless otherwise noted.

7 Pa. Code § 20.3 Requirement of sponsorship or sanction.

A person may not give or offer to give away any live animal, except fish, as a prize in a game unless the animal is a domestic animal and is offered or given away in connection with an agricultural, educational or vocational program sponsored or sanctioned by the Department.

History

Authority: The provisions of this Chapter 20 issued under the Crimes Code, 18 Pa.C.S. § 5511.1, unless otherwise noted.
Source: The provisions of this Chapter 20 adopted August 30, 1996, effective August 31, 1996, 26 Pa.B. 4218, unless otherwise noted.

7 Pa. Code § 20.4 Obtaining status as a program sponsored by the Department.

An agricultural, educational or vocational program shall be considered sponsored by the Department for purposes of the act, without the requirement that it obtain written confirmation of this status from the Department in advance of conducting a game at which a domestic animal is to be offered or given away as a prize, if the following apply:

(1) The program has been sponsored by the Department at any time during the year preceding the date upon which the domestic animal is to be offered or given away as a prize in a game.

(2) The program is the entity that actually conducts the game and offers or gives away the live domestic animal.

History

Authority: The provisions of this Chapter 20 issued under the Crimes Code, 18 Pa.C.S. § 5511.1, unless otherwise noted.
Source: The provisions of this Chapter 20 adopted August 30, 1996, effective August 31, 1996, 26 Pa.B. 4218, unless otherwise noted.

7 Pa. Code § 20.5 Circumstances under which sanction is required.

An agricultural, educational or vocational program that is not sponsored by the Department may apply for and obtain written confirmation that it is sanctioned by the Department for purposes of the act prior to conducting any game at which a domestic animal is to be offered or given away as a prize.

History

Authority: The provisions of this Chapter 20 issued under the Crimes Code, 18 Pa.C.S. § 5511.1, unless otherwise noted.
Source: The provisions of this Chapter 20 adopted August 30, 1996, effective August 31, 1996, 26 Pa.B. 4218, unless otherwise noted.

7 Pa. Code § 20.6 Applying for designation as a program sanctioned by the Department.

(a) Application required. An agricultural, educational or vocational program seeking the designation that it is sanctioned by the Department for purposes of the act shall submit a written application for the designation to the Department.

(b) Obtaining an application. A person may obtain an application form by mailing a written request to the address in subsection (d).

(1) The name and address of the person who proposes to offer or give away a domestic animal as a prize in a game to be held in connection with an agricultural, educational or vocational program.

(2) A description of the agricultural, educational or vocational activities conducted or promoted by the program described in paragraph (1).

(3) A statement identifying any entity that shall receive any portion of the proceeds of the game and setting forth the percentage of the proceeds that the entity shall receive.

(4) A statement setting forth the date, time and location of both the agricultural, educational or vocational program and the game at which it is proposed that any domestic animal be offered or given away as a prize.

(5) A description of the species and number of domestic animals that will be offered or given away as a prize.

(6) A copy of the written instructions for proper care of the domestic animal that would be issued to any person to whom the domestic animal is given.

(d) Delivery of application. The application form shall be mailed or delivered to the following address:

Bureau of Animal Industry Division of Regulation and Compliance Agriculture Building, Room 403 2301 North Cameron Street Harrisburg, PA 17110

(e) Completeness review. The Department will review each application for completeness. If the application is incomplete, or if additional information is required, the Department will, within 10 days of receiving the application, notify the applicant of this deficiency. The notification may be accomplished by telephone or by mailing a written notice.

(f) Determination. Within 20 days of receiving a complete application, the Department will issue to the applicant written notice of whether the agricultural, educational or vocational program described in the application is sanctioned by the Department for purposes of the act. If the written notice states that the program is sanctioned by the Department, it shall also set forth an expiration date for this sanction.

(g) Reconsideration. An applicant may request that the Secretary conduct a hearing to review and reconsider any decision issued under subsection (f). The hearing request shall be in writing, and be delivered to the Department within 25 days from the date the Department’s decision was mailed to the applicant. Upon receipt of a timely hearing request, the Secretary will designate a hearing examiner to take testimony, consider evidence and submit a proposed adjudication for the Secretary’s consideration on the issue of whether a modification of the original decision is warranted. The Secretary will then issue a final adjudication.

History

Authority: The provisions of this Chapter 20 issued under the Crimes Code, 18 Pa.C.S. § 5511.1, unless otherwise noted.
Source: The provisions of this Chapter 20 adopted August 30, 1996, effective August 31, 1996, 26 Pa.B. 4218, unless otherwise noted.

7 Pa. Code § 20.7 Circumstances under which a game is conducted by a program sanctioned by the Department.

A game may be conducted by a program sanctioned by the Department if one of the following applies:

(1) The game is conducted by the agricultural, educational program sanctioned by the Department and the program receives the proceeds of the game.

(2) The game is conducted by some other entity, such as a vendor or subcontractor, and the agricultural, educational or vocational program sanctioned by the Department receives at least 90% of the proceeds of the game.

History

Authority: The provisions of this Chapter 20 issued under the Crimes Code, 18 Pa.C.S. § 5511.1, unless otherwise noted.
Source: The provisions of this Chapter 20 adopted August 30, 1996, effective August 31, 1996, 26 Pa.B. 4218, unless otherwise noted.

7 Pa. Code § 20.8 Conditions and requirements of domestic animal offerings.

(a) General. A person who offers or gives away a domestic animal as a prize in a game conducted in connection with an agricultural, educational or vocational program sponsored or sanctioned by the Department shall adhere to the following conditions and requirements:

(1) Unweaned animals. A domestic animal may not be offered or given away unless it is weaned. An animal is weaned if it accepts sufficient food and water to meet its nutritional needs from a source other than a parent.

(2) Veterinarian’s certification. A domestic animal may not be offered or given away unless it is accompanied by written certification from a licensed veterinarian that it has been examined and found free of evidence of disease or physical defect no more than 10 days prior to the offering or giving away. The person offering or giving away the domestic animal shall retain a copy of this veterinarian certification for 2 years from the date the domestic animal was offered or given away.

(3) Instructions for handling and care. A domestic animal may not be offered or given away unless it is accompanied by a written statement setting forth its origin, age, sex and instructions for its proper care. The person offering or giving away the domestic animal shall retain a copy of this statement for 2 years from the date the domestic animal was offered or given away.

(4) Persons under 18 years of age. A domestic animal may not be given away to a person under 18 years of age unless the person giving away the animal first obtains the written consent of a parent or guardian of the prospective recipient of the animal. The person offering or giving away the domestic animal shall retain a copy of this written consent for 2 years from the date the domestic animal was given away.

(b) Violation of conditions and requirements. If the Department has sponsored or sanctioned an agricultural, educational or vocational program, that sponsorship or sanction will be considered void if the person offering or giving away a domestic animal as a prize in a game held in connection with the program violates a condition in subsection (a). If a person violates a condition in subsection (a), the statutory exception in 18 Pa.C.S. § 5511.1(b) (relating to live animals as prizes prohibited) does not apply, and the person offering or giving away the domestic animal shall be subject to prosecution under the act. The violation will be prosecuted as a summary criminal offense punishable by a fine of not more than $250.

(c) Dog Law. The requirements of this chapter do not supersede or supplant duties or responsibilities imposed under authority of the Dog Law (3 P. S. § § 459-101—459-1205).

History

Authority: The provisions of this Chapter 20 issued under the Crimes Code, 18 Pa.C.S. § 5511.1, unless otherwise noted.
Source: The provisions of this Chapter 20 adopted August 30, 1996, effective August 31, 1996, 26 Pa.B. 4218, unless otherwise noted.

7 Pa. Code § 20.9 Liability.

The Department will not be liable or otherwise responsible for the condition of a domestic animal offered or given away in accordance with the act and this chapter.

History

Authority: The provisions of this Chapter 20 issued under the Crimes Code, 18 Pa.C.S. § 5511.1, unless otherwise noted.
Source: The provisions of this Chapter 20 adopted August 30, 1996, effective August 31, 1996, 26 Pa.B. 4218, unless otherwise noted.

Part II Dog Law Enforcement Bureau

Chapter 21 General Provisions; Kennels; Licensure; Dog-Caused Damages

7 Pa. Code § 21.1 Definitions.

The following words and terms, when used in this part, have the following meanings, unless the context clearly indicates otherwise: Account—The Dog Law Restricted Account under section 1001 of the act (3 P. S. § 459-1001). Act—The Dog Law (3 P. S. § § 459-101—459-1205). Agent—A district justice or other person within the county authorized by the county treasurer or the Department to process and issue dog license certificates and tags, as set forth under section 200(a) of the act (3 P. S. § 459-200(a)). Attending veterinarian—A person who has graduated from a veterinary school accredited by the American Veterinary Medical Association’s Council on Education or has a Certificate issued by the American Veterinary Medical Association’s Education Commission for Foreign Veterinary Graduates, and who is either a licensed doctor of veterinary medicine in accordance with the Veterinary Medicine Practice Act (63 P. S. § § 485.1—485.33) or the holder of a valid temporary permit to practice veterinary medicine issued under authority of that act, and who has received training or experience in the care and management of dogs, and who is familiar with the relevant aspects of the kennel or kennel procedures with respect to which that person renders an opinion. Department—The Department of Agriculture of the Commonwealth. Domestic fowl—Chickens, turkeys, ducks, geese and guinea fowl. Employee of the Department—An employee of the Department who is assigned responsibility in regard to enforcement of the act, including a State dog warden. Housing facility—Any land, premises, shed, barn, building, trailer or other structure or area housing or intended to house dogs. Licensed veterinarian—A licensed doctor of veterinary medicine as defined in section 901-A of the act (3 P. S. § 459-901-A). Microchip—A passive transducer encapsulated in a biocompatible material activated by a 125-kilohertz scanner, or any similar device approved by the Department. Primary conveyance—The main method of transportation used to convey dogs from origin to destination, such as a motor vehicle. Primary enclosure—A structure used to immediately restrict a dog to a limited amount of space, such as a room, pen, run, cage, crate or compartment. Rest board—A waterproof or water resistant platform that dogs may use to recline on, positioned off the floor of the kennel. Sanitize—To make physically clean and to remove and destroy, to a practical minimum, agents injurious to the health of a dog. Secretary—The Secretary of the Department or a person to whom authority has been delegated by the Secretary. Veterinary Medicine Practice Act—63 P. S. § § 485.1—485.35.

The provisions of this § 21.1 amended under sections 101 and 201 of the Dog Law (3 P. S. § § 459-101 and 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-801, 459-802, 459-901—459-907 and 459-901-A—459-911-A).

The provisions of this § 21.1 amended through November 1, 1985, effective November 2, 1985, 15 Pa.B. 3928; amended January 12, 1996, effective April 12, 1996, 26 Pa.B. 161; amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329; amended November 5, 2004, effective November 6, 2004, 34 Pa.B. 6031. Immediately preceding text appears at serial pages (296103) to (296104).

This section cited in 7 Pa. Code § 21.51 (relating to lifetime dog license issuance).

History

Authority: The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).
Source: The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

7 Pa. Code § 21.2 Scope.

The standards for operation of all classes of kennels in this Commonwealth are detailed in this chapter. These standards are in addition to requirements for kennels detailed in the act. Each type of kennel and the restrictive licensing fee are set forth in section 206 of the act (3 P. S. § 459-206).

The provisions of this § 21.2 amended January 12, 1996, effective April 12, 1996, 26 Pa.B. 161. Immediately preceding text appears at serial page (103173).

History

Authority: The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).
Source: The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

7 Pa. Code § 21.3 Enforcement and compliance.

Unless otherwise stated, only employes of the Department shall be authorized to enforce this chapter. Noncompliance with any section of the act or of this chapter or the conviction for violation of any statute relating to cruelty to animals may result in prosecution, revocation of the kennel license or nonapproval of the kennel license application.

History

Authority: The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).
Source: The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

7 Pa. Code § 21.4 Penalties.

The act establishes penalties for violations of the various articles of the act and this part. The Department may impose the following penalties individually or in combination. Section 903 of the act (3 P. S. § 459-903) provides the penalty for illegal or unlawful activities enumerated in the act or violations of the act for which specific criminal penalty provisions have not been enumerated. It may be applied in addition to civil penalties provided for in the act.

(1) Article II penalty provisions. Article II of the act (3 P. S. § § 459-200—459-219) contains provisions regarding licensure of dogs and kennels and provides the following penalties:

(i) Agent violation. Consistent with section 200(j) of the act (3 P. S. § 459-200(j)), an agent who violates section 200 of the act commits a summary offense and upon conviction shall be sentenced to pay a fine of not less than $300 nor more than $500 and in addition may have his agency recalled at the discretion of the Secretary. Each day of violation or each illegal act constitutes a separate offense.

(ii) Failure of an individual to comply with licensure provisions. Consistent with section 201(c) of the act (3 P. S. § 459-201(c)), an individual who violates section 201 of the act commits a summary offense and, upon conviction, shall be sentenced to pay a fine of not less than $25 nor more than $300 for each unlicensed dog.

(iii) Failure of a kennel to comply with licensure provisions. Consistent with section 207(a.1) of the act (3 P. S. § 459-207(a.1)), it is unlawful for a kennel to operate without first obtaining a license. The Secretary may file suit in Commonwealth Court to enjoin the operation of a kennel that violates any of the provisions of the act or this part and may seek the imposition of a fine of not less than $100 nor more than $500 for every day the kennel has operated in violation of the act or regulations.

(iv) Revocation, suspension or denial of a kennel license. Consistent with section 211 of the act (3 P. S. § 459-211), the Secretary may revoke, suspend or refuse to issue a kennel license or an out-of-State dealer license if the person holding or applying for a license has done any of the following:

(A) Made a material misstatement or misrepresentation in the license application.

(B) Made a material misstatement or misrepresentation to the Department or its personnel regarding a matter relevant to the license.

(D) Failed to comply with any regulation promulgated under the act.

(E) Been convicted of any law relating to cruelty to animals.

(v) Seizure of dogs. Consistent with section 211(c) of the act (3 P. S. § 459-211(c)), the Department may seize and impound, and direct forfeiture of ownership of a dog for the following reasons:

(A) Upon revocation, suspension or denial of a kennel license or an out-of-State dealer license, the Department may seize and impound any dog in the possession, custody or care of the person whose license is revoked, suspended or denied if there are reasonable grounds to believe that the dog’s health, safety or welfare is endangered. The person from whom the dog was seized and impounded shall pay for reasonable costs of transportation, care and feeding of the dog.

(B) The Department will not take physical possession or custody of the dog when there are no reasonable grounds to support the belief that the health, safety or welfare of the dog is endangered or when the person whose license is revoked, suspended or denied has provided satisfactory evidence or assurances the dog will receive adequate care.

(C) Upon proper notice and opportunity for an administrative hearing, as set forth in section 211(c)(5) of the act (3 P. S. § 459-211(c)(5)), the Secretary may direct the forfeiture of ownership of a dog which has been seized and impounded.

(2) Article V and V-A penalty provisions. Articles V and V-A of the act (3 P. S. § § 459-501—459-507-A) contains provisions regarding offenses of dogs and provides the following penalties:

(i) Harboring a dangerous dog. A person found guilty of harboring a dangerous dog, as set forth in section 502-A of the act (3 P. S. § 459-502-A), shall be guilty of a summary offense.

(ii) Control of dog during dangerous dog court proceedings. A person that violates section 502-A(d) of the act, regarding disposition of a dog during court proceedings, shall be guilty of a summary offense and shall pay a fine of at least $200.

(iii) Failure to register and restrain a dangerous dog. Consistent with section 505-A(a) of the act (3 P. S. § 459-505-A(a)), a person that fails to properly register a dangerous dog, secure and maintain the liability insurance coverage required under section 503-A of the act (3 P. S. § 450-503-A), maintain the dog in the proper enclosure or fails to have the dog under proper physical restraint when the dog is outside the enclosure or dwelling of the owner shall be guilty of a misdemeanor of the third degree. In addition, a State dog warden or a police officer shall immediately confiscate a dangerous dog upon the occurrence of any of these violations.

(iv) Attacks by a dangerous dog. Consistent with section 505-A(b) of the act, when it is found that a dangerous dog, through the intentional, reckless or negligent conduct of the dog’s owner, attacked a human or a domestic animal, the dog’s owner shall be guilty of a misdemeanor of the second degree and the dangerous dog shall be immediately confiscated by a State dog warden or police officer, placed in quarantine for the proper length of time and thereafter humanely killed. The costs of quarantine and destruction shall be borne by the dog’s owner.

(v) Attacks by a dangerous dog causing severe injury or death. Consistent with section 505-A(c) of the act, when it is found that a dangerous dog, through the intentional, reckless or negligent conduct of the dog’s owner, aggressively attacked and caused severe injury to or death of a human, the dog’s owner shall be guilty of a misdemeanor of the first degree. The dangerous dog shall be immediately confiscated by a State dog warden or a police officer, placed in quarantine for the proper length of time and thereafter humanely killed. The costs of quarantine and destruction shall be borne by the dog’s owner.

(3) Article VI penalty provisions. Article VI of the act (3 P. S. § § 459-601—459-603) contains provisions regarding injury to dogs and provides the following penalties:

(i) Poisoning of a dog. Consistent with section 601(b) of the act (3 P. S. § 459-601(b)), a person convicted of placing poison or a harmful substance of any description in any place, on his own premises or elsewhere, where it may be easily found and eaten by a dog, shall be guilty of a summary offense.

(ii) Intentional poisoning of a dog. Consistent with section 601(b.1) of the act, a person convicted of placing poison or a harmful substance of any description in any place, on his own premises or elsewhere, with the intent that the poison or substance be eaten by a dog, shall be guilty of a misdemeanor of the second degree and shall be sentenced to pay a fine of not less than $1,000 nor more than $2,000 or imprisonment for not more than 2 years, or both. A subsequent conviction under this subsection shall constitute a felony of the third degree.

(iii) Abandonment of a dog. Consistent with section 601(c) of the act, a person convicted of abandoning or attempting to abandon a dog within this Commonwealth shall pay a fine of not less than $300 dollars and not more than $1,000, plus costs.

(iv) Taunting law enforcement dogs. Consistent with section 602(a) of the act (3 P. S. § 459-602(a)), it is unlawful for a person to willfully and maliciously taunt, torment, tease, beat, kick or strike any dog, including a search and rescue or accelerant detection dog, used by any municipal, county or State police or sheriff’s department or agency, fire department or agency or handler under the supervision of the department or agency, in the performance of the functions or duties of the department or agency or to commit any of the stated acts in the course of interfering with a dog used by the department or agency or any member or supervised handler thereof in the performance of the functions or duties of the department or agency or the officer or member or supervised handler. A person convicted of violating any of the provisions of this subsection shall be guilty of a felony of the third degree.

(v) Torturing certain dogs. Consistent with section 602(b) of the act, it is unlawful for a person to willfully and maliciously torture, mutilate, injure, disable, poison or kill any dog, including a search and rescue or accelerant detection dog used by any municipal, county or State police or sheriff’s department or agency, fire department or agency or handler under the supervision of the department or agency, in the performance of the functions or duties of the department or agency or to commit any of the stated acts in the course of interfering with a dog used by the department or agency or any member or supervised handler thereof in the performance of the functions or duties of the department or agency or the officer or member or supervised handler. A person convicted of violating any of the provisions of this subsection shall be guilty of a felony of the third degree.

(vi) Denial of facilities or service due to police dog use. Consistent with section 602(c) of the act, it is unlawful for the proprietor, manager or employee of a theatre, hotel, motel, restaurant or other place of entertainment, amusement or accommodation to, either directly or indirectly, refuse, withhold from or deny, any of the accommodations, advantages, facilities or privileges of those places to a person due to the use of a working police dog used by any State or county or municipal police or sheriff’s department or agency. A person convicted of violating any of the provisions of this subsection shall be guilty of a misdemeanor of the third degree.

(4) Article VII penalty provisions. Article VII of the act (3 P. S. § § 459-701—459-706) contains provisions regarding dog caused damages. Section 704 of the act (3 P. S. § 459-704) provides that the owner or keeper of a dog found to be causing damages and which is the subject of an order from the Secretary shall have 10 days to comply with the order. Failure of the owner or keeper to comply with the order, upon summary conviction, shall result in a fine of not less than $100 and not more than $500.

(5) Article IX penalty provisions. Article IX of the act (3 P. S. § § 459-901—459-907) contains general enforcement and penalty provisions and provides the following penalties:

(i) Catch all criminal penalty provision. Consistent with section 903 of the act (3 P. S. § 459-903), unless specifically provided for, a person found to be in violation of any provision of Article II—Article VIII of the act (3 P. S. § § 459-201—459-802), or this chapter shall be guilty of a summary offense for the first violation and for a second and subsequent violation, of any provision, which occurs within 1 year of sentencing for the first violation shall be guilty of a misdemeanor of the third degree.

(ii) Alteration of permanent identification. Consistent with section 904 of the act (3 P. S. § 904), a person convicted of defacing or altering any form of permanent identification of a dog shall be guilty of a summary offense and upon conviction thereof shall be sentenced to pay a fine of $300 or to imprisonment for not less than 90 days, or both.

(b) Article IX-A penalty provisions. Article IX-A of the act (3 P. S. § § 459-901-A—459-911-A) relates to the sterilization of dogs and cats. Failure to comply with Article IX-A or the related regulations shall, consistent with section 911-A of the act (3 P. S. § 459-911-A), constitute a summary offense.

The provisions of this § 21.4 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-801, 459-802, 459-901—459-907 and 459-901-A—459-911-A).

The provisions of this § 21.4 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (209434).

History

Authority: The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).
Source: The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

7 Pa. Code § 21.21 Dog quarters.

(a) Indoor and outdoor housing facilities for dogs shall be maintained in a manner to protect the dogs from injury and to contain the dogs.

(b) The interior building surfaces of housing facilities shall be constructed and maintained so that they are water resistant and may be readily sanitized.

The provisions of this § 21.21 amended January 12, 1996, effective April 12, 1996, 26 Pa.B. 161. Immediately preceding text appears at serial page (103174).

History

Authority: The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).
Source: The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

7 Pa. Code § 21.22 Housing.

(a) Dogs that display ferocious or aggressive behavior shall be kept inaccessible to other dogs.

(b) Dogs under quarantine shall be maintained separately from susceptible species of animals and humans according to conditions described in the quarantine notice.

(d) Dogs that are not acclimated to the outdoor temperatures prevalent in the area or region where they are maintained, breeds of dogs that cannot tolerate the prevalent outdoor temperatures without stress or discomfort (such as short-haired breeds in cold climates), and sick, infirm, aged or young dogs may not be kept in outdoor facilities unless that practice is specifically approved by the attending veterinarian.

The provisions of this § 21.22 amended January 12, 1996, effective April 12, 1996, 26 Pa.B. 161. Immediately preceding text appears at serial page (103174).

History

Authority: The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).
Source: The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

7 Pa. Code § 21.23 Space.

(a) Primary enclosures shall be constructed and maintained to provide sufficient space to allow each dog to turn about freely and to stand erect, sit and lie down in a comfortable, normal position.

(b) Each dog housed in a primary enclosure shall be provided with a minimum amount of floor space, which shall be calculated according to the following procedure:

(1) Measure the length of the dog, in inches, from the tip of its nose to the base of its tail.

(2) Add 6 inches to that number.

(3) Square that sum.

(4) Divide that product by 144.

(5) That quotient equals the minimum required floor space for that dog, in square feet.

Example: A dog measures 24 inches from the tip of its nose to the base of its tail (Step 1). Adding 6 inches to that number (Step 2) gives a sum of 30 inches. Squaring that sum (Step 3) gives a product of 900 square inches. Dividing that product by 144 (Step 4) gives a quotient of 6.25. 6.25 square feet is the minimum amount of floor space which must be provided to that particular dog.

(c) Each bitch with nursing puppies shall be provided with an additional amount of floor space, based on her breed and behavioral characteristics, and in accordance with generally accepted husbandry practices as determined by the attending veterinarian. If the additional amount of floor space for each nursing puppy is less than 5% of the minimum requirement for the bitch, the housing shall be approved by the attending veterinarian.

(d) The interior height of a primary enclosure shall be at least 6 inches higher than the head of the tallest dog in the primary enclosure when it is in normal standing position.

(e) Subsections (b) and (c) do not apply if all of the following conditions are met:

(1) The dog is located in a kennel that is licensed under the act solely as a pet shop-kennel Class I, II, III or IV.

(2) The dog is being offered for sale on a retail basis, or has been sold and is awaiting physical transfer to its new owner.

(3) The dog is maintained in a primary enclosure that keeps the dog on display to patrons of the pet shop-kennel during its normal business hours.

(4) The primary enclosure meets one of the following conditions:

(i) Affords each dog sheltered therein at least 5 square feet for a dog weighing 25 pounds or less, 8 square feet for a dog weighing more than 25 pounds but not more than 45 pounds, and 12 square feet for a dog weighing more than 45 pounds.

(ii) Has been approved by the attending veterinarian, in advance and in writing, as being of adequate size to protect the health and well-being of the particular dog or dogs sheltered therein.

The provisions of this § 21.23 amended January 12, 1996, effective April 12, 1996, 26 Pa.B. 161. Immediately preceding text appears at serial page (140185).

History

Authority: The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).
Source: The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

7 Pa. Code § 21.24 Shelters.

(a) Dogs shall be provided access to shelter which protects them against inclement weather, preserves their body heat and keeps them dry. Housing facilities for dogs shall be constructed to provide for the health and comfort of the animals.

(b) Shelter shall be provided for dogs kept outdoors. Sufficient clean bedding material or other means of protection from the weather shall be provided.

(c) If dog houses with tethers are used as primary enclosures for dogs kept outdoors, the tethers used shall be placed or attached so that they cannot become entangled with other objects or come into physical contact with other dogs in the housing facility, and to allow the dog to roam to the full range of the tether. The tether shall be of a type commonly used for the size dog involved and shall be attached to the dog by means of a well-fitted collar that will not cause trauma or injury to the dog. The tether shall be at least three times the length of the dog as measured from the tip of its nose to the base of its tail and allow the dog convenient access to the dog house and food or water container.

(d) A dog may be sheltered in a primary enclosure having metal strand flooring provided the following conditions are met:

(1) The metal strand flooring is coated with a vinyl type coating.

(2) The coated metal strand flooring shall be kept in good repair.

(3) The coated metal strand flooring shall be made of mesh construction that does not allow the dog’s feet to pass through any opening in the floor and does not otherwise cause injury to the dog.

(4) The coated metal strand flooring shall be constructed of sufficient diameter (gauge) to provide a completely rigid floor area sufficient to support the weight of dogs housed in the enclosure so that the metal strand floor does not bend or sag from the weight of the dogs.

(5) The dogs shall be provided with a draft free area that protects the dogs from inclement weather and is large enough to hold all the occupants of the primary enclosure at the same time comfortably.

(e) Coated metal strand flooring shall be installed by June 29, 2001. Coated metal strand flooring shall be installed prior to the removal of a solid resting surface. If a solid resting surface is provided, the solid resting surface shall be constructed of material that is impervious to water or moisture and shall be kept in a sanitary condition in accordance with § 21.29 (relating to sanitation).

(f) A dog may not be housed on a temporary or permanent basis in a drum or barrel dog house, regard-less of the material of which the drum or barrel is constructed.

The provisions of this § 21.24 amended January 12, 1996, effective April 12, 1996, 26 Pa.B. 161; amended March 30, 2001, effective March 31, 2001, 31 Pa.B. 1682. Immediately preceding text appears at serial page (209437).

History

Authority: The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).
Source: The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

7 Pa. Code § 21.25 Temperature control.

(a) The kennel temperature shall be maintained at a level to protect the health and comfort of the type of dogs housed.

(b) Shade shall be provided to protect the dogs from the direct rays of the sun.

History

Authority: The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).
Source: The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

7 Pa. Code § 21.26 Ventilation in indoor housing facilities.

Indoor housing facilities for dogs shall be sufficiently ventilated when dogs are present to minimize drafts, odors, ammonia levels and moisture condensation. Ventilation shall be provided by means of windows, doors, vents or air conditioners. Auxiliary ventilation from fans, blowers or air conditioners shall be provided when the ambient temperature is 85° F (29.5° C) or higher. The relative humidity shall be maintained at a level that ensures the health and well-being of the dog housed therein in accordance with generally accepted husbandry practices.

The provisions of this § 21.26 amended January 12, 1996, effective April 12, 1996, 26 Pa.B. 161. Immediately preceding text appears at serial page (140186).

History

Authority: The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).
Source: The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

7 Pa. Code § 21.27 Lighting in indoor housing facilities.

Indoor housing facilities in kennels shall have ample lighting by natural or artificial means. Lighting in indoor housing facilities shall be sufficient to allow observation of the physical condition of the dogs so housed, and to allow observation of the sanitary condition of the indoor housing facility. Dogs housed in these facilities shall be provided a regular diurnal lighting cycle.

The provisions of this § 21.27 amended January 12, 1996, effective April 12, 1996, 26 Pa.B. 161. Immediately preceding text appears at serial page (140186).

History

Authority: The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).
Source: The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

7 Pa. Code § 21.28 Food, water and bedding.

(a) Dogs kept in kennels shall be fed at least once each day unless otherwise directed by a veterinarian. The food shall be free from contamination or disease, and shall be of sufficient quantity and nutritive value to maintain the health of the dogs.

(b) If potable water is not accessible to the dogs in their primary enclosures, potable fluids shall be offered to the dogs at least 6 hours daily unless otherwise directed by a veterinarian. The Department may require that a kennel licensee have samples of the water that it provides to dogs analyzed to confirm potability, and may require a licensee to submit the results of the water analysis to the Department. The analysis shall be conducted at the licensee’s expense. The Department may also sample and analyze the water.

(c) Food and water receptacles shall be accessible to dogs kept in the kennel and shall be located to avoid contamination by excreta. The receptacles shall be durable and shall be kept clean. Self-feeders and waterers may be used but shall be sanitized regularly to prevent molding, deterioration or caking of feed.

(d) If bedding is used in primary enclosures, it shall be kept clean.

The provisions of this § 21.28 amended January 12, 1996, effective April 12, 1996, 26 Pa.B. 161. Immediately preceding text appears at serial page (140186).

History

Authority: The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).
Source: The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

7 Pa. Code § 21.29 Sanitation.

(a) Excreta shall be removed from the primary enclosure, including any floor area or ground surface beneath the primary enclosure, on a daily basis.

(b) Primary enclosures for dogs shall be sanitized a minimum of once daily, and as often as is necessary to prevent an accumulation of debris or excreta or a disease hazard. A dog may not be placed in a primary enclosure previously occupied unless the enclosure has been sanitized.

(c) The buildings and grounds of kennels shall be maintained, kept clean and in good repair to protect the animal from injury and to facilitate practices required by this chapter. Kennels shall have an effective program that controls ingress by insects, ectoparasites and avian and mammalian pests. Evidence of insects, ectoparasites and avian and mammalian pests or conditions that would allow or encourage infestation in a kennel are indicative of an ineffective program and unsanitary environmental sanitation in the kennel.

The provisions of this § 21.29 amended January 12, 1996, effective April 12, 1996, 26 Pa.B. 161. Immediately preceding text appears at serial page (140186).

This section cited in 7 Pa. Code § 21.24 (relating to shelters); 7 Pa. Code § 21.31 (relating to general requirements); and 7 Pa. Code § 28a.8 (relating to flooring).

History

Authority: The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).
Source: The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

7 Pa. Code § 21.30 Condition of dog.

An employe of the Department may visually observe the physical condition of a dog sheltered at a kennel. A dog sheltered at a kennel shall be free of infectious and contagious diseases, and shall be in general good health. If a dog exhibits signs of poor health, the kennel owner shall have proof of adequate veterinary care for the dog.

The provisions of this § 21.30 adopted January 12, 1996, effective April 12, 1996, 26 Pa.B. 161.

History

Authority: The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).
Source: The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

7 Pa. Code § 21.31 General requirements.

(a) The animal cargo space of primary conveyances used in transporting dogs shall be constructed to ensure the health, safety and comfort of the dogs contained therein and shall be constructed and maintained in a manner to prevent the ingress of engine exhaust fumes and gases from the primary conveyance during the transportation.

(b) The animal cargo space of a primary conveyance shall be large enough to ensure that each dog contained in the primary enclosure has enough space to turn about normally while standing, to stand and sit erect, and to lie in a natural position.

(c) A dog may not be placed in an animal cargo space that does not have adequate ventilation for each dog contained therein, and the primary enclosures shall be positioned in a manner so each dog has access to sufficient air for normal breathing. Unless the primary enclosure is permanently affixed to the conveyance, there shall be ventilation openings on two opposing walls of the primary enclosure. These openings shall be at least 16% of the surface area of each wall, and the total combined surface area of the ventilation openings shall be at least 14% of the total combined surface area of the walls of the primary enclosure. At least 1/3 of the ventilation area shall be located on the upper half of the primary enclosure.

(d) Primary enclosures used to transport dogs shall have a solid bottom to prevent leakage in shipment and shall be cleaned and sanitized in a manner prescribed in § 21.29 (relating to sanitation).

(e) Primary enclosures used to transport dogs shall contain clean, absorbent bedding material, which is safe and nontoxic.

(f) Puppies—dogs 7 weeks of age or under—shall be separated from adult dogs, other than their dams, when being transported.

(g) The number of dogs in a primary enclosure shall be limited to assure each dog sufficient space to turn about freely, to stand erect and to lie down in a natural position.

The provisions of this § 21.31 amended January 12, 1996, effective April 12, 1996, 26 Pa.B. 161. Immediately preceding text appears at serial page (103177).

History

Authority: The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).
Source: The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

7 Pa. Code § 21.32 Food and water.

(a) Dogs being transported shall be fed at least once in every 24-hour period. Dogs under 6 months of age shall be fed at least once every 12 hours.

(b) Dogs being transported shall be offered fresh water for at least 10-consecutive minutes at intervals of no more than 6 hours. Dogs under 6 months of age shall be offered fresh water for at least 10 consecutive minutes at intervals of no more than 4 hours.

The provisions of this § 21.32 amended January 12, 1996, effective April 12, 1996, 26 Pa.B. 161. Immediately preceding text appears at serial page (103177).

History

Authority: The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).
Source: The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

7 Pa. Code § 21.33 Care in transit.

(a) The driver or other employe shall visually observe dogs being transported as often as circumstances dictate, but not less than once every 4 hours, to assure that they are receiving sufficient air for normal breathing, and if any of the dogs are in obvious physical distress, to provide needed veterinary care as soon as possible.

(b) Dogs may not be transported in a manner which may cause contact with a material, substance or device which may be injurious to the health and well-being of the dogs.

History

Authority: The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).
Source: The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

7 Pa. Code § 21.41 General requirements.

(a) Complete records shall be kept on dogs within a kennel or being transported in a primary conveyance as prescribed by section 207 of the act (3 P. S. § 459-207), and the records shall be kept at the kennel location or, when applicable, shall accompany dogs being transported.

(b) Kennels shall maintain records as required by section 207 of the act. Records shall be maintained on forms issued or approved by the Department.

The provisions of this § 21.41 amended January 12, 1996, effective April 12, 1996, 26 Pa.B. 161. Immediately preceding text appears at serial page (103178).

History

Authority: The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).
Source: The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

7 Pa. Code § 21.42 Bills of sale.

Bills of sale required in section 210 of the act (3 P. S. § 459-210) shall accompany dogs at the kennel location and when the dogs are being transported. It is the intent of this section that the bill of sale can be immediately produced when requested by an employe of the Department or police officer as defined by the act. Bills of sale shall contain the following information:

(1) Previous owner of the dog.

(2) Address of previous owner of the dog.

(3) Date of sale or transferral.

(4) Name and address of the purchaser of the dog.

(5) Description of the dog (sex, age, breed, and identifying marks).

History

Authority: The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).
Source: The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

7 Pa. Code § 21.43 Research facilities reporting.

Under section 218 of the act (3 P. S. § 459-218), research facilities in this Commonwealth that are currently under Federal Government inspection shall be exempt from State inspection if they have undergone at least one Federal Government inspection within the past 12 months and have submitted to the Bureau of Dog Law Enforcement Central Office the federal inspection reports within 30 days of receipt.

History

Authority: The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).
Source: The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

7 Pa. Code § 21.51 Lifetime dog license issuance.

(a) Eligibility. The owner of a dog 3 months of age or older may apply to the county treasurer or agent, on a form prescribed by the Department for a lifetime license.

(b) Lifetime license requirement. A lifetime license shall consist of the following:

(1) A lifetime license number issued by the county treasurer or agent and a tag bearing that lifetime license number.

(2) A tattoo or microchip permanently identifying the dog.

(c) Permanent identification requirement. A person applying for a lifetime license shall choose either a tattoo or the implantation of a microchip as the means of permanent identification for the dog. The person applying for a lifetime license is responsible for having the dog tattooed or a microchip implanted to permanently identify the dog. Application of a tattoo or implantation of a microchip must be done in a manner consistent with the Veterinary Medicine Practice Act and 49 Pa. Code Chapter 31 (relating to State Board of Veterinary Medicince).

(d) Tattoo as permanent identification. If the applicant chooses to have the dog tattooed as a means of permanent identification, the following rules and procedures apply:

(1) Prior to having the dog tattooed, the dog owner shall obtain and complete a lifetime license application from the county treasurer or agent of his respective county. The dog owner shall obtain and complete the lifetime license application in person or by mail and shall return the completed lifetime license application to the county treasurer or agent. The dog owner shall include the appropriate fees, set forth on the lifetime license application and in sections 200(b) and 201(b) of the act (3 P. S. § § 459-200(b) and 459-201(b)), with the completed lifetime license application.

(2) Upon receipt of a completed lifetime license application the county treasurer or agent shall follow the procedures in subsection (g). If the lifetime license application is determined to be complete, the county treasurer or agent shall issue a lifetime license number as set forth in subsection (g) and issue a verification of permanent identification form, prescribed by the Department.

(3) Upon receiving the lifetime license number and verification of permanent identification form issued by the county treasurer or agent, the dog owner shall have the dog tattooed in accordance with this chapter.

(4) The tattoo number applied to the dog must be the same number as the lifetime license number issued by the county treasurer or agent.

(5) The tattoo must be applied on the right hind leg on the inner part of the upper thigh of the dog. The dog owner may have the letters ‘‘PA’’ tattooed on the dog immediately preceding the tattoo number.

(6) The dog owner and the person applying the tattoo shall complete, date and sign the verification of permanent identification form for the dog receiving the tattoo and return it to the county treasurer or agent that issued the lifetime license number and tag. The verification of permanent identification form must set forth the exact number tattooed on the dog, identify the dog by breed and delineate the dog’s age, sex, color and markings and whether the dog has been spayed or neutered. In addition, it must contain the name, address and phone number of the dog’s owner and the name, address and phone number of the person applying the tattoo.

(7) The dog owner shall have 30 days from receipt of a lifetime license number and verification of permanent identification form to have the dog tattooed and return the verification of permanent identification form to the county treasurer or agent that issued the lifetime license number.

(8) Upon receiving the completed verification of permanent identification form, the county treasurer or agent shall issue the lifetime license and tag to the dog owner.

(9) A dog owner who fails to have the dog tattooed and return the completed verification of permanent identification form to the issuing county treasurer or agent within 30 days after receiving a lifetime license number and verification of permanent identification form shall be in violation of the licensure provisions of the act and this chapter and subject to the penalties prescribed therein. In addition, the lifetime license number and tag shall be void. The issuing county treasurer or agent shall return the lifetime license fee to the dog owner and record and report the noncompliance to the Department as set forth in § 21.52 (relating to recordkeeping for lifetime dog licenses). The issuing county treasurer and, if applicable, the agent shall retain the applicable issuance fees, set forth in section 200(b) of the act.

(e) Microchip as permanent identification. If the applicant chooses to have a microchip implanted in the dog as a means of permanent identification, the following rules and procedures apply:

(1) The dog owner shall have a microchip implanted in the dog in a manner consistent with the Veterinary Medicine Practice Act and 49 Pa. Code Chapter 31. The microchip implanted shall be of a type consistent with the definition of ‘‘microchip’’ in § 21.1 (relating to definitions) and shall be implanted in accordance with the manufacturer’s specifications.

(2) The dog owner shall obtain and complete both a lifetime license application and a verification of permanent identification form prescribed by the Department.

(3) The dog owner shall obtain a lifetime license application from the county treasurer or agent of his respective county. The dog owner may obtain the lifetime license application in person or by mail.

(4) The lifetime license application may be obtained and completed either prior to or after implantation of a microchip in the dog. The application and a verification of permanent identification form must be completed and signed prior to the issuance of a lifetime license and tag. The final packet submitted by the dog owner to the county treasurer or agent must contain the properly completed lifetime license application and verification of permanent identification form and the appropriate fees, set forth on the lifetime license application and in sections 200(b) and 201(b) of the act.

(5) If the dog owner obtains a lifetime license application prior to having a microchip implanted in the dog, the dog owner may request and the county treasurer or agent shall issue a verification of permanent identification form along with the lifetime license application. If the dog owner has not yet applied for a lifetime license prior to implantation of the microchip, the licensed veterinarian implanting the microchip shall supply the verification of permanent identification form. A licensed veterinarian shall obtain the verification form from the Department. When the dog owner, consistent with the provisions of the Veterinary Medicine Practice Act and 49 Pa. Code Chapter 31, personally implants the microchip in his own dog the dog owner may obtain the verification of permanent identification form from the county treasurer or agent and shall fill out the required information.

(6) The dog owner and when the dog owner does not implant the microchip himself but, instead has a licensed veterinarian or person authorized to implant a microchip consistent with the Veterinary Medicine Practice Act and 49 Pa. Code Chapter 31 implant the microchip, the licensed veterinarian shall complete, date and sign the verification of permanent identification form for the dog in which the microchip is implanted. The completed verification of permanent identification form must set forth the identifying number of the microchip implanted, identify the dog by breed and delineate the dog’s age, sex, color and markings and whether the dog has been spayed or neutered. In addition, it shall contain the name, address and phone number of the dog’s owner and when a licensed veterinarian or person authorized to implant a microchip consistent with the Veterinary Medicine Practice Act and 49 Pa. Code Chapter 31 has implanted the microchip, the name, business address and phone number of the licensed veterinarian. If a licensed veterinarian or person authorized to implant a microchip consistent with the Veterinary Medicine Practice Act and 49 Pa. Code Chapter 31 implants the microchip, the licensed veterinarian shall set forth his veterinary practice license number on the verification of permanent identification form.

(7) The dog owner shall complete the lifetime license application and take or mail the completed lifetime license application and verification of permanent identification form to the county treasurer or agent of his respective county.

(8) Upon receiving a properly completed lifetime license application and verification of permanent identification form, as well as the appropriate fees, as set forth on the lifetime license application and in sections 200(b) and 201(b) of the act, the county treasurer or agent shall issue a lifetime license number and tag as set forth in subsection (g).

(9) A dog owner who fails to have the dog microchipped and return the completed verification of permanent identification form to the issuing county treasurer or agent within 30 days after receiving a lifetime license number and verification of permanent identification form shall be in violation of the licensure provisions of the act and this chapter and subject to the penalties prescribed therein. In addition, the lifetime license number and tag shall be void. The issuing county treasurer or agent shall return the lifetime license fee to the dog owner and record and report the noncompliance to the Department as set forth in § 21.52. The issuing county treasurer and, if applicable, the agent shall retain the applicable issuance fees, set forth in section 200(b) of the act.

(f) Dog previously microchipped. If a person has already had a microchip implanted in his dog and seeks to obtain a lifetime license for the dog, the applicant is not required to have a new microchip implanted in the dog as a means of permanent identification. Instead the applicant shall:

(1) Obtain and complete both a lifetime license application and a verification of permanent identification form prescribed by the Department. The lifetime license application may be obtained and completed either prior or subsequent to having the dog scanned for a microchip as set forth in this subsection. The verification of permanent identification form must be filled out at the same time the dog is scanned.

(2) Have a licensed veterinarian or kennel owner scan the dog to assure the microchip has been properly implanted and to obtain the identifying number of the microchip.

(3) The dog owner and the licensed veterinarian or kennel owner shall complete, date and sign the verification of permanent identification form for the dog in which the microchip was scanned. The verification of permanent identification form must set forth the identifying number of the microchip scanned, identify the dog by breed and delineate the dog’s age, sex, color and markings and whether the dog has been spayed or neutered. In addition, it must contain the name, address and phone number of the dog’s owner and the name, business address and phone number of the person scanning the microchip number. If a veterinarian is involved, the veterinarian shall set forth his veterinary practice license number on the verification of permanent identification form.

(4) The dog owner or licensed veterinarian may obtain a verification of permanent identification form.

(i) The dog owner may obtain a verification of permanent identification form, along with a lifetime license application, from the county treasurer or agent in his respective county of residence prior to scanning of the dog for an existing microchip. If the dog owner takes his dog to a licensed veterinarian for implantation of the microchip and has not yet applied for a lifetime license, the licensed veterinarian shall supply the verification of permanent identification form.

(ii) A licensed veterinarian shall obtain verification of permanent identification forms from the Department.

(5) The dog owner shall deliver to the county treasurer or agent, in person or by mail, the properly completed lifetime license application and verification of permanent identification form and the appropriate fees, as set forth on the lifetime license application and in sections 200(b) and 201(b) of the act.

(6) Upon receiving a properly completed lifetime license application and verification of permanent identification form, as well as the appropriate fees, as set forth on the lifetime license application and in sections 200(b) and 201(b) of the act, the county treasurer or agent shall issue a lifetime license number and tag as set forth in subsection (g).

(g) County treasurer or agent procedure for issuance of lifetime license.

(1) General.

(i) One lifetime license per lifetime license application. A lifetime license application must be completed for each dog for which a lifetime license is requested. The county treasurer or agent shall issue only one lifetime license and tag for each properly completed lifetime license application. The county treasurer or agent shall collect the applicable fees, as set forth on the lifetime license application and in sections 200(b) and 201(b) of the act, for the lifetime license before issuing the lifetime license and tag.

(ii) Assignation of lifetime license number. The lifetime license must list a number. The county treasurer or agent shall assign a lifetime license number for each dog for which a properly completed lifetime license application has been submitted and approved. The county treasurer or agent shall issue the lifetime license number on the lifetime license certificate and tag. The number shall be at least six digits with the first two digits designating the county. For example, Adams County number must begin with 01; York County, with 67. The county number must be followed by at least four digits assigned by the county treasurer or his agent. For example, the lifetime license number assigned by York County for the first dog licensed would be 670001.

(2) Tattoo procedure. If the dog owner intends to tattoo the dog as the means of permanent identification the dog owner shall complete a lifetime license application and pay the applicable fees, as set forth on the lifetime license application and in sections 200(b) and 201(b) of the act, prior to the county treasurer or agent issuing a lifetime license and tag. The county treasurer or agent, upon receipt of a properly completed lifetime license application and the applicable fees, shall complete the lifetime license from information on the lifetime license application. The county treasurer or agent shall assign a lifetime license number as set forth in paragraph (1)(ii) and issue a verification of permanent identification form, prescribed by the Department, to the dog owner. The dog owner shall have 30 days from receipt of a lifetime license number and verification of permanent identification form to have the dog tattooed and return a completed verification of permanent identification form to the issuing county treasurer or agent. If the dog owner fails to return the verification of permanent identification form within the 30-day time period, the issuing county treasurer or agent shall void the lifetime license, refund the lifetime license fee, record and designate the lifetime license number as void and report the noncompliance to the Department as set forth in § 21.52. The issuing county treasurer and, if applicable, the agent shall retain the applicable issuance fees, set forth in section 200(b) of the act. The lifetime license number may not be reissued to future applicants other than the original applicant.

(3) Microchip procedure. If the dog owner intends to use a microchip as the means of permanent identification, the dog owner may have a microchip implanted in the dog prior to completing an application for a lifetime license. The dog owner shall complete a lifetime license application and verification of permanent identification form and pay the applicable fees, set forth on the lifetime license application and in sections 200(b) and 201(b) of the act, prior to the county treasurer or agent issuing the lifetime license and tag. The county treasurer or agent shall, upon request of the dog owner, issue a lifetime license application and a verification of permanent identification form. Upon receiving a completed lifetime license application, verification of permanent identification form and the applicable fees, the county treasurer or agent shall complete the lifetime license from information on the lifetime license application and verification of permanent identification form, assign a lifetime license number as set forth in paragraph (1)(ii) and issue the lifetime license and tag. The county treasurer or agent may not issue a lifetime license and tag until the dog owner has properly completed both the lifetime license application and the verification of permanent identification form. The county treasurer or agent shall record both the lifetime license number issued and the microchip number set forth on the verification of permanent identification form. The dog owner shall have 30 days from receipt of a verification of permanent identification form to have a microchip implanted in the dog or have a currently microchipped dog scanned and return a completed verification of permanent identification form to the issuing county treasurer or agent. If the dog owner fails to return the verification of permanent identification form within the 30 day time period, the issuing county treasurer or agent shall void the lifetime license, refund the lifetime license fee, record and designate the lifetime license number as void and report the noncompliance to the Department as set forth in § 21.52. The issuing county treasurer and, if applicable, the agent shall retain the applicable issuance fees, set forth in section 200(b) of the act. The lifetime license number may not be reissued to future applicants other than the original applicant.

The provisions of this § 21.51 amended under sections 101 and 201 of the Dog Law (3 P. S. § § 459-101 and 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-801, 459-802, 459-901—459-907 and 459-901-A—459-911-A).

The provisions of this § 21.51 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329; amended November 5, 2004, effective November 6, 2004, 34 Pa.B. 6019. Immediately preceding text appears at serial pages (296112) to (297117).

History

Authority: The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).
Source: The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

7 Pa. Code § 21.52 Recordkeeping for lifetime dog licenses.

The county treasurer or agent shall record each lifetime license issued or voided. The county treasurer or agent shall mail or electronically transmit a monthly record of lifetime licenses information to the Department. The county treasurer or agent shall keep a record of all lifetime dog licenses issued or voided for 20 years.

The provisions of this § 21.52 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-801, 459-802, 459-901—459-907 and 459-901-A—459-911-A).

The provisions of this § 21.52 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial pages (276688) to (276689).

This section cited in 7 Pa. Code § 21.51 (relating to lifetime dog license issuance); and 7 Pa. Code § 21.53 (relating to transfer of lifetime dog licenses).

History

Authority: The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).
Source: The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

7 Pa. Code § 21.53 Transfer of lifetime dog licenses.

(a) General.

(1) Change of address or ownership within the issuing county. The issuance of a new lifetime license and tag is not required when transferring a lifetime dog license to a new owner within the same county or when the owner changes his residence within the same county. If the change of address or transfer of possession or ownership of the dog is within the county where the lifetime license was issued and is permanent, the dog owner shall notify the county treasurer or agent of the change of address or ownership. The notice shall be given either prior to or within 10 days of the actual change of address or transfer of ownership of the dog. The county treasurer or agent shall record, in accordance with § 21.52 (relating to recordkeeping for lifetime dog licenses), the change of address or transfer of ownership or both. The issuing county treasurer or agent may charge and retain $1 for recording the change of address or transfer.

(2) Change of address or ownership outside the issuing county. If the change of residence or transfer of ownership or possession of the dog is permanent and outside the county in which the lifetime license was issued the transfer or change in residence shall be recorded by the dog owner with the issuing county treasurer or agent and by the county treasurer or agent in the county to which the dog is being moved or transferred. The notice shall be given by the dog owner either prior to or within 10 days of the actual change of address or transfer of ownership of the dog. The county treasurer or agent that issued the original lifetime license may charge and retain $1 for the transfer. The county treasurer or agent issuing the new lifetime license in the county to which the dog is moved shall, upon payment of a $1 fee by the dog owner, issue a new lifetime license number and tag for that county and record the lifetime license number and cross-reference it to the existing tattoo or microchip number in accordance with this section and § 21.52.

(3) Temporary change of address or possession. When the possession of a dog is temporarily transferred for the purpose of hunting game, or for breeding, boarding and training, trial or show in this Commonwealth, neither notice nor a new lifetime license, or the transfer of a lifetime license already secured, is required.

(b) Transfer process and information required.

(1) Transfer of ownership within the issuing county. Whenever the ownership of a dog is permanently transferred from one person to another within the same county, the lifetime license of the dog shall be transferred. The dog owner shall apply to the issuing county treasurer or agent. The application shall be accompanied by a bill of sale or affidavit from the dog owner stating that ownership of the dog is to be transferred. The bill of sale or affidavit shall set forth the breed, sex, age, color and markings of the dog being transferred, the lifetime license number and microchip or tattoo number of the dog, year of issuance of the lifetime license, and the name, address and telephone number of the person transferring ownership of the dog and the person to which ownership of the dog is being transferred.

(2) Transfer of ownership outside the issuing county. Whenever the ownership of a dog is permanently transferred from one person to another outside the issuing county, the lifetime license number of the dog shall be voided in the issuing county and a new lifetime license number and tag issued by the county treasurer or agent in the county to which the dog is moved. The dog owner shall apply to the issuing county treasurer or agent. The application shall be accompanied by a bill of sale or affidavit from the dog owner stating that ownership of the dog is to be transferred. The bill of sale or affidavit shall set forth the breed, sex, age, color and markings of the dog being transferred, the lifetime license number and microchip or tattoo number of the dog, the year of issuance of the lifetime license, and the name, address and telephone number of the person transferring ownership of the dog and the person to which ownership of the dog is being transferred. Upon receiving the application the issuing county treasurer or agent shall certify the lifetime license to the county treasurer or agent in the county to which the dog is being moved and shall void the lifetime license number originally issued. The original lifetime license number may not be reissued to future applicants. The county treasurer or agent in the county to which the dog is being moved, upon receiving certification from the county treasurer or agent of the issuing county and payment of a fee of $1 from the owner of the dog, shall issue a new lifetime license number and tag, for that county. The new lifetime license number and tag shall be issued in the manner set forth in § 21.51(g) (relating to lifetime dog license issuance) except that if the dog has been permanently identified by means of a tattoo, the existing tattoo number of the dog shall be cross referenced to the new lifetime license number issued.

(3) Change of residence within the same county. Whenever, the owner of a dog with a lifetime license changes residence within the county which issued the lifetime license, the dog owner shall apply to the issuing county treasurer or agent. The application shall be accompanied by an affidavit from the dog owner stating the dog will be moved to a new residence and setting forth the address of the new residence. The affidavit shall identify the breed, sex, age, color and markings of the dog and the lifetime license number and microchip or tattoo number.

(4) Change of residence to another county. Whenever a dog licensed in one county is permanently moved to another county, the dog owner shall apply to the county treasurer or agent where the dog license was issued. The application shall set forth the name and address of the dog owner and the address of the residence to which the dog will be moved. Upon receiving the application the issuing county treasurer or agent shall certify the lifetime license to the county treasurer or agent in the county to which the dog is being moved and shall void the lifetime license number originally issued. The original lifetime license number may not be reissued to future applicants. The county treasurer or agent in the county to which the dog is being moved, upon receiving certification from the county treasurer or agent of the issuing county and payment of a $1 fee from the owner of the dog, shall issue a new lifetime license number and tag, for that county. The new lifetime license number and tag shall be issued in the manner set forth in § 21.51(g) except that if the dog has been permanently identified by means of a tattoo, the existing tattoo number of the dog shall be cross referenced to the new lifetime license number issued.

(c) Recordkeeping and reporting. The issuing county treasurer or agent shall record the transfer of ownership or change in residence and where applicable the voiding of the lifetime license number. The county treasurer or agent in the county to which a dog is being transferred shall, upon receipt of the proper certification of transfer from the county treasurer or agent of the issuing county and payment of a $1 fee from the owner of the dog, issue a new lifetime license number and tag, for that county and record the new lifetime license number issued and the cross-referenced tattoo or microchip number of the dog, in the manner set forth in this section and § 21.52. The county treasurer or agent in both counties shall mail or electronically transmit a record of the transfer or change in residence, and if applicable, the new lifetime license number issued and cross-referenced tattoo or microchip number of the dog to the Department. Both county treasurers and agents shall keep a record of the transfer or change in residence for 20 years.

The provisions of this § 21.53 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).

The provisions of this § 21.53 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

History

Authority: The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).
Source: The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

7 Pa. Code § 21.54 Dog and kennel license issuance date.

All classes of individual dog licenses and kennel licenses shall be issued by the County Treasurer beginning December 1 for the following calendar year.

History

Authority: The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).
Source: The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

7 Pa. Code § 21.56 Profit oriented dog control agencies.

For the purposes of enforcing the act, an animal control agency under contract to political subdivisions for animal control work, that does not fall into the nonprofit kennel classification, shall apply for and, if approved, be licensed as a boarding kennel. If the animal control agency buys, sells or breeds dogs, it shall also obtain an additional appropriate license.

History

Authority: The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).
Source: The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

7 Pa. Code § 21.57 Kennel tags.

The Department will issue a maximum of ten kennel tags to a kennel owner or operator unless the State dog warden for the county recommends that a higher quantity is required.

The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).

The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

History

Authority: The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).
Source: The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

7 Pa. Code § 21.61 Conditions and limitations for payments.

(a) For the purposes of administering Article VII of the act (3 P. S. § § 459-701—459-705), no claim for dog-caused damages will be investigated, nor will an application for reimbursement be approved by the Department unless the claimant reports the loss to an employe of the Department within 5 days of the occurrence of the damage or loss.

(b) No payment will be made for a loss under this chapter unless the injured, killed livestock or poultry or game birds raised in captivity are available to be inspected and appraised by the Department.

(c) No payment will be made by the Department for claims for livestock, poultry or domestic game birds raised in captivity if the claimant was found negligent in not confining the animals or birds within a proper enclosure.

History

Authority: The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).
Source: The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

7 Pa. Code § 21.62 Appointment of disinterested citizen.

(a) Under section 701 of the act (3 P. S. § 459-701), if either the owner of the dog or owner of the livestock or poultry do not accept the determination of the appraiser, the owner may request the appointment of a disinterested, qualified citizen to determine the amount of damage sustained. The citizen shall be agreeable to the owner of the dog, if known, owner of the livestock or poultry, and the Department.

(b) A disinterested, qualified citizen shall be knowledgeable as to the value of the type of animal killed or injured.

History

Authority: The provisions of this § 21.57 amended under section 201 of the Dog Law (3 P. S. § 459-201); and Articles II—IX-A of the Dog Law (3 P. S. § § 459-201—459-219, 459-301—459-305, 459-401, 459-402, 459-501, 459-502, 459-501-A—459-507-A, 459-601—459-603, 459-701—459-706, 459-901—459-907 and 459-901-A—459-911-A).
Source: The provisions of this § 21.57 amended March 14, 2003, effective March 15, 2003, 33 Pa.B. 1329. Immediately preceding text appears at serial page (276689).

Chapter 23 Funding for Local Dog Control Programs

7 Pa. Code § 23.1 Dog Law Restricted Account.

Under section 1001 of the act (3 P. S. § 459-1001), the account was established which consists of all moneys paid into the State Treasury under the act. Moneys are appropriated from the account to make payments to counties and incorporated humane society organizations for designated purposes.

History

Authority: The provisions of this Chapter 23 issued under the Dog Law (3 P. S. § § 459-101—459-1205), unless otherwise noted.
Source: The provisions of this Chapter 23 amended November 1, 1985, effective November 2, 1985, 15 Pa.B. 3929. Immediately preceding text appears at serial pages (38148) to (38150) and (1450), unless otherwise noted.

7 Pa. Code § 23.2 Local dog control programs.

Payments, in the form of grants, may be made by the Department to eligible applicants when funds are available in the account. Grants may be approved to establish and maintain dog control facilities and for other functions of dog control, such as salaries of dog control officers, purchase of new dog control vehicles and dog control equipment, and educational purposes.

History

Authority: The provisions of this Chapter 23 issued under the Dog Law (3 P. S. § § 459-101—459-1205), unless otherwise noted.
Source: The provisions of this Chapter 23 amended November 1, 1985, effective November 2, 1985, 15 Pa.B. 3929. Immediately preceding text appears at serial pages (38148) to (38150) and (1450), unless otherwise noted.

7 Pa. Code § 23.3 Application procedures.

To obtain funding from the account a county, except counties of the first class, and an incorporated humane organization except those in cities of the first class, second class, and second class A, shall submit an application for funding in the form of a proposal. The application will be reviewed by the Secretary and the applicant will be notified of the approval or denial, or requested to amend the application. An applicant receiving funds shall execute a grant agreement form provided by the Department.

History

Authority: The provisions of this Chapter 23 issued under the Dog Law (3 P. S. § § 459-101—459-1205), unless otherwise noted.
Source: The provisions of this Chapter 23 amended November 1, 1985, effective November 2, 1985, 15 Pa.B. 3929. Immediately preceding text appears at serial pages (38148) to (38150) and (1450), unless otherwise noted.

7 Pa. Code § 23.4 Guidelines and conditions.

(a) The Secretary will annually determine the amount of funds available for dog control programs under this chapter and will prepare proposed guidelines and conditions which set forth for the calendar year, program requirements, funding priorities and limitations, and other requirements for dog law programs.

(b) Beginning in calendar year 1986, and each year thereafter, the Secretary will adopt guidelines and conditions under the following procedures:

(1) The Secretary will submit a notice to the Legislative Reference Bureau for recommended publication in the Pennsylvania Bulletin concerning funding available and announcing the availability of proposed guidelines and conditions for public review and comments. A similar notice will also be delivered to the Chairmen of the House and Senate Agriculture Committees and mailed to eligible applicants.

(2) The Secretary will review and consider comments received concerning the proposed guidelines and conditions and will adopt final guidelines and conditions applicable for the calendar year. The Secretary will submit a notice to the Legislative Reference Bureau for recommended publication in the Pennsylvania Bulletin announcing the availability of the final guidelines and conditions and inviting the submission of grant applications and funding requests. A similar notice will also be delivered to the Chairmen of the House and Senate Agriculture Committees and mailed to eligible applicants.

This section cited in 7 Pa. Code § 25.1 (relating to general).

History

Authority: The provisions of this Chapter 23 issued under the Dog Law (3 P. S. § § 459-101—459-1205), unless otherwise noted.
Source: The provisions of this Chapter 23 amended November 1, 1985, effective November 2, 1985, 15 Pa.B. 3929. Immediately preceding text appears at serial pages (38148) to (38150) and (1450), unless otherwise noted.

7 Pa. Code § 23.5 Facility operations.

Counties and humane organizations receiving funds for new dog shelters or dog shelter expansion and repair maintenance shall continue to operate these facilities for the purposes the funds were obtained for a period of not less than 10 years, or the Department may recapture the grant funds. An exception to this section will be made if written approval is obtained in advance from the Department.

History

Authority: The provisions of this Chapter 23 issued under the Dog Law (3 P. S. § § 459-101—459-1205), unless otherwise noted.
Source: The provisions of this Chapter 23 amended November 1, 1985, effective November 2, 1985, 15 Pa.B. 3929. Immediately preceding text appears at serial pages (38148) to (38150) and (1450), unless otherwise noted.

7 Pa. Code § 23.6 Stray dogs.

A grant recipient shall accept and cooperate in the detention of a dog apprehended running at large, either licensed or unlicensed, and dispose of unlicensed stray dogs apprehended and delivered to the agency by an enforcement officer. In addition, the recipient shall make certain that an unlicensed stray dog 6 months of age or over is licensed before being released from the shelter to its owner. If the stray dog is adopted by a new owner, the appropriate license fee and application completed by the new dog owner shall be left with the agency releasing the dog. It is the agency’s responsibility to forward the fee and application to the County Treasurer’s office within 5 working days.

History

Authority: The provisions of this Chapter 23 issued under the Dog Law (3 P. S. § § 459-101—459-1205), unless otherwise noted.
Source: The provisions of this Chapter 23 amended November 1, 1985, effective November 2, 1985, 15 Pa.B. 3929. Immediately preceding text appears at serial pages (38148) to (38150) and (1450), unless otherwise noted.

7 Pa. Code § 23.7 Records.

The county or humane society organization, or both, shall maintain books, records, documents, bids and other evidence pertaining to costs incurred for expenditures incurred for the requested grants in a manner so that allowable approved costs will be detailed. Books, records, documents, bids and other evidence shall be maintained according to generally accepted accounting principles.

History

Authority: The provisions of this Chapter 23 issued under the Dog Law (3 P. S. § § 459-101—459-1205), unless otherwise noted.
Source: The provisions of this Chapter 23 amended November 1, 1985, effective November 2, 1985, 15 Pa.B. 3929. Immediately preceding text appears at serial pages (38148) to (38150) and (1450), unless otherwise noted.

7 Pa. Code § 23.8 Record retention.

Financial records, supporting documents, statistical records and other records pertaining to the grant shall be retained until audited and released following submission of a final report to the Department.

(1) If litigation, claim, or audit is started before the expiration of the retention period, the records shall be retained until claims or findings involving the records have been resolved.

(2) Authorized representatives of the Department or the Commonwealth will have access to pertinent books, documents, papers, and records to make audits, examinations, excerpts, and transcripts. If it is determined that the records possess a long-term value, they shall be transferred as requested to the Department.

History

Authority: The provisions of this Chapter 23 issued under the Dog Law (3 P. S. § § 459-101—459-1205), unless otherwise noted.
Source: The provisions of this Chapter 23 amended November 1, 1985, effective November 2, 1985, 15 Pa.B. 3929. Immediately preceding text appears at serial pages (38148) to (38150) and (1450), unless otherwise noted.

7 Pa. Code § 23.9 Reporting.

A final report consisting of a certification statement and expenditure report shall be submitted to the Department within 60 days of the completion of the project or expenditure, but in no event later than February 28 of the year following the year in which the grant was made. The recipient shall verify that funds were expended in accordance with the act and this chapter.

History

Authority: The provisions of this Chapter 23 issued under the Dog Law (3 P. S. § § 459-101—459-1205), unless otherwise noted.
Source: The provisions of this Chapter 23 amended November 1, 1985, effective November 2, 1985, 15 Pa.B. 3929. Immediately preceding text appears at serial pages (38148) to (38150) and (1450), unless otherwise noted.

7 Pa. Code § 23.10 Report basis.

The reporting of expenditures shall be on an accrual basis. This requires the reporting of expenses, purchases, and other bills in the period when incurred—regardless of when paid—and the reporting of fees and contributions in the period when earned—regardless of when received.

History

Authority: The provisions of this Chapter 23 issued under the Dog Law (3 P. S. § § 459-101—459-1205), unless otherwise noted.
Source: The provisions of this Chapter 23 amended November 1, 1985, effective November 2, 1985, 15 Pa.B. 3929. Immediately preceding text appears at serial pages (38148) to (38150) and (1450), unless otherwise noted.

7 Pa. Code § 23.11 Grant cancellation.

(a) A grant may be cancelled by the Department upon a determination that the funds are not being properly utilized. In the event of cancellation of the grant, a financial accounting of revenue and expenditures shall be submitted to the Department by the grant recipient no later than 30 days after the cancellation date.

(b) Within 15 days of the date of notice of a cancellation, the grant recipient shall have the right to give written notice of appeal to the Secretary who shall fix a date for hearing of the recipient’s appeal.

History

Authority: The provisions of this Chapter 23 issued under the Dog Law (3 P. S. § § 459-101—459-1205), unless otherwise noted.
Source: The provisions of this Chapter 23 amended November 1, 1985, effective November 2, 1985, 15 Pa.B. 3929. Immediately preceding text appears at serial pages (38148) to (38150) and (1450), unless otherwise noted.

7 Pa. Code § 23.12 Right of recovery.

The Department has the right to make a claim for and receive from the county or humane society organization, or both, funds not expended in accordance with the act, this chapter, or a grant agreement.

Recovery Appropriate

The Secretary of the Department appropriately canceled a $50,000 grant agreement that provided for operation of a dog control facility for a periof of 10 years following the facility’s inability to properly dispose of the dogs received and a subsequent failure to accept additional dogs. Kinaman Animal Shelter, Inc. v. Department of Agriculture, 673 A.2d 36 (Pa. Cmwlth. 1996).

History

Authority: The provisions of this Chapter 23 issued under the Dog Law (3 P. S. § § 459-101—459-1205), unless otherwise noted.
Source: The provisions of this Chapter 23 amended November 1, 1985, effective November 2, 1985, 15 Pa.B. 3929. Immediately preceding text appears at serial pages (38148) to (38150) and (1450), unless otherwise noted.

7 Pa. Code § 23.13 Deficits.

The Department’s financial obligation is limited to the amount of the grant. The Department is not responsible for funding cost overruns incurred by grant recipients.

History

Authority: The provisions of this Chapter 23 issued under the Dog Law (3 P. S. § § 459-101—459-1205), unless otherwise noted.
Source: The provisions of this Chapter 23 amended November 1, 1985, effective November 2, 1985, 15 Pa.B. 3929. Immediately preceding text appears at serial pages (38148) to (38150) and (1450), unless otherwise noted.

Chapter 25 Reimbursement for Humane Disposition of Dogs and Reimbursement for Losses

7 Pa. Code § 25.1 General.

In accordance with the act, the Department will pay $5 per dog, or whatever greater amount as determined by the Secretary, subject to the availability of funds, for services rendered by a legally constituted law enforcement agency maintaining a compound for the humane disposition of stray, unlicensed dogs apprehended running at large. No other fee will be paid to the agency for the care or disposal of the dogs. The secretary will include in notices prepared under § 23.4 (relating to guidelines and conditions), the annual amount of reimbursement to be provided.

The provisions of this § 25.1 issued under the Dog Law (3 P. S. § § 459-101—459-1205).

The provisions of this § 25.1 amended November 1, 1985, effective November 2, 1985, 15 Pa.B. 3928; amended February 10, 1989, effective February 11, 1989, 19 Pa.B. 540; amended February 9, 1990, effective February 10, 1990, 20 Pa.B. 826; amended February 15, 1991, effective February 16, 1991, 21 Pa.B. 643. Immediately preceding text appears at serial page (144291).

History

Authority: The provisions of this § 25.21 issued under the Dog Law (3 P. S. § § 459-101—459-1205).
Source: The provisions of this § 25.21 adopted November 1, 1985, effective November 2, 1985, 15 Pa.B. 3928.

7 Pa. Code § 25.2 Dog Disposition Record.

Form ADLEB-4, Dog Disposition Record attached hereto as Exhibit A and made a part of this section shall be completed by the enforcement officer depositing the dog and shall be held on file by the agency maintaining the compound.

History

Authority: The provisions of this § 25.21 issued under the Dog Law (3 P. S. § § 459-101—459-1205).
Source: The provisions of this § 25.21 adopted November 1, 1985, effective November 2, 1985, 15 Pa.B. 3928.

7 Pa. Code § 25.3 Claim for fees.

Form ADLEB-2, Affidavit in Claim for Fees for Holding and Humanely Disposing of Unlicensed Dogs attached hereto as Exhibit B and made a part of this section shall be submitted quarterly to the nearest district office of the Department within 10 days following the last day of March, June, September, and December. These offices are located as follows:

EXHIBIT B

History

Authority: The provisions of this § 25.21 issued under the Dog Law (3 P. S. § § 459-101—459-1205).
Source: The provisions of this § 25.21 adopted November 1, 1985, effective November 2, 1985, 15 Pa.B. 3928.

7 Pa. Code § 25.4 License of dogs before release.

A dog 6 months of age or over not disposed of by being humanely put to death shall be licensed before being released from shelter.

History

Authority: The provisions of this § 25.21 issued under the Dog Law (3 P. S. § § 459-101—459-1205).
Source: The provisions of this § 25.21 adopted November 1, 1985, effective November 2, 1985, 15 Pa.B. 3928.

7 Pa. Code § 25.5 Facilities and conditions.

(a) An agency being reimbursed for the holding and disposition of stray unlicensed dogs shall provide adequate facilities for the handling of the dogs.

(b) A compound shall comply with the act and Chapter 21 (relating to general provisions; kennels; licensure; dog-caused damages).

History

Authority: The provisions of this § 25.21 issued under the Dog Law (3 P. S. § § 459-101—459-1205).
Source: The provisions of this § 25.21 adopted November 1, 1985, effective November 2, 1985, 15 Pa.B. 3928.

7 Pa. Code § 25.11 Reimbursement for losses.

If the Secretary declares that there is a surplus of money in the account, as specified in section 1002(b) of the act (3 P. S. § 459-1002(b)), the Department may fund approved organizations for reimbursement for losses sustained for complying with section 7 of the act of December 22, 1983 (P. L. 303, No. 83) (3 P. S. § 328.7) in the specified manner and for the specified purposes and amounts. Reimbursement will not be paid by the Department to an organization for an action taken or costs incurred prior to June 22, 1984.

The provisions of this § 25.11 issued under the Dog Law (3 P. S. § § 459-101—459-1205).

The provisions of this § 25.11 adopted November 1, 1985, effective November 2, 1985, 15 Pa.B. 3928.

History

Authority: The provisions of this § 25.21 issued under the Dog Law (3 P. S. § § 459-101—459-1205).
Source: The provisions of this § 25.21 adopted November 1, 1985, effective November 2, 1985, 15 Pa.B. 3928.

7 Pa. Code § 25.21 Procedure for reimbursement.

The Department will make a one-time payment of a maximum of $500 to an approved organization that provides the Department with verification that the organization has dismantled a high altitude decompression chamber or decompression device as a result of complying with section 7 of the act of December 22, 1983 (P. L. 303, No. 83) (3 P. S. § 328.7), after June 22, 1984. The reimbursement may not exceed the actual, verifiable cost of dismantling the chamber or device. The organization shall forward to the Department the method and cost of dismantling the chamber or device. The verification may be in the form of a notarized statement.

The provisions of this § 25.21 issued under the Dog Law (3 P. S. § § 459-101—459-1205).

The provisions of this § 25.21 adopted November 1, 1985, effective November 2, 1985, 15 Pa.B. 3928.

History

Authority: The provisions of this § 25.21 issued under the Dog Law (3 P. S. § § 459-101—459-1205).
Source: The provisions of this § 25.21 adopted November 1, 1985, effective November 2, 1985, 15 Pa.B. 3928.

Chapter 27 Dangerous Dogs

7 Pa. Code § 27.1 Scope.

(a) Policy and procedure. This chapter establishes policies and procedures relating to the following:

(1) The registration of dogs determined to be dangerous under section 502-A of the act (3 P. S. § 459-502-A).

(2) The general conditions of registration under this chapter.

(3) The required enclosure for dangerous dogs and the control of dangerous dogs while outside the enclosure.

(4) The uniform dangerous dog warning sign and identification tag.

(5) The special exception in section 507-A(e) of the act (3 P. S. § 459-507-A(e)) for farm dogs.

(b) Exemptions. This chapter does not apply to dogs used by law enforcement officials for police work, certified guide dogs for the blind, hearing dogs for the deaf or aid dogs for the handicapped.

History

Authority: The provisions of this Chapter 27 issued under sections 503-A(b) and (c), 506-A and 902 of the Dog Law (3 P. S. § § 459-503-A(b) and (c), 459-506-A and 459-902), unless otherwise noted.
Source: The provisions of this Chapter 27 adopted May 24, 1991, effective May 25, 1991, 21 Pa.B. 2476, unless otherwise noted.

7 Pa. Code § 27.2 Definitions.

The following words and terms, when used in this part, have the following meanings, unless the context clearly indicates otherwise: Certificate of registration—A form issued by the Department to the owner of a dangerous dog certifying that the owner has paid the registration fee in § 27.3(a) (relating to fees) and is in compliance with the conditions of registration in § 27.7 (relating to general conditions of registration). Conspicuously posted—A warning sign is conspicuously posted if the sign is visible and the written warning on the sign is capable of being read from a public highway or thoroughfare immediately adjacent to the premises at the point of ingress or egress. Dangerous dog—A dog determined to be dangerous under section 502-A of the act (3 P. S. § 459-502-A). Farm—Land which meets one of the following conditions:

(i) Was devoted to agricultural use during the preceding 3 years and is not less than 10 contiguous acres in area.

(ii) Has anticipated yearly income of $2,000 from agriculture.

History

Authority: The provisions of this Chapter 27 issued under sections 503-A(b) and (c), 506-A and 902 of the Dog Law (3 P. S. § § 459-503-A(b) and (c), 459-506-A and 459-902), unless otherwise noted.
Source: The provisions of this Chapter 27 adopted May 24, 1991, effective May 25, 1991, 21 Pa.B. 2476, unless otherwise noted.

7 Pa. Code § 27.3 Fees.

(a) Registration fee. The fee to register a dangerous dog under this chapter is $200. This fee is not refundable.

(b) Copy fee. The fee for an uncertified copy of a document which is part of the State Registry of Dangerous Dogs is $1 per page. The fee for a certified copy is $5 per page.

(c) Uniform dangerous dog warning sign. The Department will provide the owner of a dangerous dog registered under this chapter with two uniform dangerous dog warning signs at no cost. The fee for an additional uniform dangerous dog warning sign is $20.

(d) Uniform dangerous dog identification tag. The Department will provide the owner of a dangerous dog registered under this chapter with a uniform dangerous dog identification tag at no cost. The fee for a replacement uniform dangerous dog identification tag is $5.

(e) Mode of payment. Fees shall be paid by cashier’s check or money order made payable to the ‘‘Pennsylvania Department of Agriculture.’’ Fees shall be paid in advance.

This section cited in 7 Pa. Code § 27.2 (relating to definitions); 7 Pa. Code § 27.5 (relating to owner’s application to register a dangerous dog); 7 Pa. Code § 27.6 (relating to processing of an application); 7 Pa. Code § 27.11 (relating to uniform dangerous dog warning sign); and 7 Pa. Code § 27.12 (relating to uniform dangerous dog identification tag).

History

Authority: The provisions of this Chapter 27 issued under sections 503-A(b) and (c), 506-A and 902 of the Dog Law (3 P. S. § § 459-503-A(b) and (c), 459-506-A and 459-902), unless otherwise noted.
Source: The provisions of this Chapter 27 adopted May 24, 1991, effective May 25, 1991, 21 Pa.B. 2476, unless otherwise noted.

7 Pa. Code § 27.4 State Registry of Dangerous Dogs.

(a) Registry established. The Department will maintain a Registry in which it will enter the following:

(1) The name, description, location and owner of each dog determined to be dangerous under section 502-A of the act (3 P. S. § 459-502-A).

(2) Applications for registration filed with the Department under § 27.5 (relating to owner’s application to register a dangerous dog).

(3) Communications received by the Department regarding possible violations of the act involving a dangerous dog.

(4) Communications received by the Department that a dangerous dog has attacked another animal, has attacked a human being, has died or has been sold or donated. If a dangerous dog has died, the registry will reflect the date and the circumstances of death. If a dangerous dog has been sold or donated, the Registry will include the name, address and telephone number of the new owner.

(b) Public inspection. The Registry established in subsection (a) is available for inspection and copying by the public during the office hours of the Department insofar as consistent with the proper discharge of the duties of the Department.

(c) Location of Registry. The Registry established in subsection (a) is located in the Bureau of Dog Law Enforcement, Room 102, Agriculture Building, 2301 North Cameron Street, Harrisburg, Pennsylvania 17110-9408.

History

Authority: The provisions of this Chapter 27 issued under sections 503-A(b) and (c), 506-A and 902 of the Dog Law (3 P. S. § § 459-503-A(b) and (c), 459-506-A and 459-902), unless otherwise noted.
Source: The provisions of this Chapter 27 adopted May 24, 1991, effective May 25, 1991, 21 Pa.B. 2476, unless otherwise noted.

7 Pa. Code § 27.5 Owner’s application to register a dangerous dog.

(a) Forms and fee. An application to register a dangerous dog shall be made on a form furnished by and in a manner prescribed by the Department and shall be accompanied by the registration fee established in § 27.3(a) (relating to fees).

(b) Place of application. An application under this section shall be submitted to the Bureau of Dog Law Enforcement, Room 102, Agriculture Building, 2301 North Cameron Street, Harrisburg, Pennsylvania 17110-9408.

This section cited in 7 Pa. Code § 27.4 (relating to State Registry of Dangerous Dogs).

History

Authority: The provisions of this Chapter 27 issued under sections 503-A(b) and (c), 506-A and 902 of the Dog Law (3 P. S. § § 459-503-A(b) and (c), 459-506-A and 459-902), unless otherwise noted.
Source: The provisions of this Chapter 27 adopted May 24, 1991, effective May 25, 1991, 21 Pa.B. 2476, unless otherwise noted.

7 Pa. Code § 27.6 Processing of an application.

(a) Upon receipt of an application to register a dangerous dog and the registration fee in § 27.3(a) (relating to fees), the Department will review the application for completeness and accuracy.

(b) The Department will issue the applicant a certification of registration within 30 days of the following:

(1) The receipt of a complete and accurate application, or receipt of additional information necessary to complete or correct a previously submitted application.

(2) The receipt of a fee required by § 27.3.

(3) The applicant’s compliance with § 27.7 (relating to general conditions of registration).

(c) If the Department finds the application to be incomplete or inaccurate, additional data necessary to complete or correct the application will be requested from the applicant. The applicant shall have 15 days from the mailing date of the Department’s request within which to supply the additional information.

(d) If the applicant fails to submit the additional information within the prescribed 15-day period, the Department will terminate processing of the application and the registration fee shall be forfeited to the Department. If the dangerous dog owner fails to file a complete and accurate application, fails to pay a fee required by § 27.3 or fails to comply with § 27.7 within 30 days of the Department’s notification to the owner of a dangerous dog of a determination under section 502-A(a) of the act (3 P. S. § 459-502-A(a)), the Department may confiscate the dog under section 505-A(a) of the act (3 P. S. § 459-505-A(a)).

(e) A certificate of registration issued under this section may not be transferred to a subsequent owner of the dangerous dog.

This section cited in 7 Pa. Code § 27.10 (relating to inspections).

History

Authority: The provisions of this Chapter 27 issued under sections 503-A(b) and (c), 506-A and 902 of the Dog Law (3 P. S. § § 459-503-A(b) and (c), 459-506-A and 459-902), unless otherwise noted.
Source: The provisions of this Chapter 27 adopted May 24, 1991, effective May 25, 1991, 21 Pa.B. 2476, unless otherwise noted.

7 Pa. Code § 27.7 General conditions of registration.

(a) The owner of a dangerous dog registered under this chapter shall comply with § § 27.8, 27.9, 27.11 and 27.12.

(b) In addition to meeting the requirements of subsection (a), the owner of a dangerous dog shall meet the financial responsibility requirements established at section 503-A(a)(2) of the act (3 P. S. § 459-503-A(a)(2)). In accordance with that section, the dangerous dog owner shall obtain, evidence and maintain one of the following:

(1) A surety bond in the amount of $50,000 issued by an insurer authorized to do business within this Commonwealth, payable to a person injured by the dangerous dog.

(2) A policy of liability insurance, such as homeowner’s insurance, issued by an insurer authorized to do business within this Commonwealth in the amount of at least $50,000, insuring the owner for any personal injuries inflicted by the dangerous dog. The policy shall contain a provision requiring the Secretary to be named as additional insured for the sole purpose of being notified by the insurance company of cancellation, termination or expiration of the liability insurance policy.

(c) If the owner of a dangerous dog no longer complies with this section, the Department may revoke the registration of the dangerous dog.

This section cited in 7 Pa. Code § 27.2 (relating to definitions); and 7 Pa. Code § 27.6 (relating to processing of an application).

History

Authority: The provisions of this Chapter 27 issued under sections 503-A(b) and (c), 506-A and 902 of the Dog Law (3 P. S. § § 459-503-A(b) and (c), 459-506-A and 459-902), unless otherwise noted.
Source: The provisions of this Chapter 27 adopted May 24, 1991, effective May 25, 1991, 21 Pa.B. 2476, unless otherwise noted.

7 Pa. Code § 27.8 Required enclosure for a dangerous dog.

Except as provided in § 27.9 (relating to control of dangerous dog outside of enclosure), a dangerous dog shall be confined in one of the following:

(1) Inside of the dwelling of the owner.

(2) Outdoors in a securely enclosed and locked pen or structure, suitable to prevent the entry of young children and designed to prevent the dog from escaping. An outdoor enclosure shall have secure sides and a secure top, and shall be designed to protect the dog from the elements. If the enclosure does not have a floor which is secured to its sides, the sides shall be embedded at least 2 feet into the ground.

This section cited in 7 Pa. Code § 27.7 (relating to general conditions of registration); 7 Pa. Code § 27.9 (relating to control of dangerous dog outside of enclosure); and 7 Pa. Code § 27.10 (relating to inspections).

History

Authority: The provisions of this Chapter 27 issued under sections 503-A(b) and (c), 506-A and 902 of the Dog Law (3 P. S. § § 459-503-A(b) and (c), 459-506-A and 459-902), unless otherwise noted.
Source: The provisions of this Chapter 27 adopted May 24, 1991, effective May 25, 1991, 21 Pa.B. 2476, unless otherwise noted.

7 Pa. Code § 27.9 Control of dangerous dog outside of enclosure.

(a) General conditions. A dangerous dog is not permitted to be outside the required enclosure described in § 27.8 (relating to required enclosure for dangerous dog) unless the dog is muzzled and restrained by a substantial chain or leash and under the physical restraint of a responsible person. The muzzle shall be made in a manner that will not cause injury to the dog or interfere with its vision or respiration but shall be constructed to prevent the dog from biting a person or animal or from destroying property with its teeth.

(b) Substantial chain or leash defined. As used in subsection (a) and section 504-A of the act (3 P. S. § 459-504-A), a ‘‘substantial chain or leash’’ is a chain or leash with a minimum tensile strength of at least 300 pounds and a maximum length of not more than 3 feet.

(c) Responsible person defined. As used in subsection (a) and section 504-A of the act, a ‘‘responsible person’’ is the owner or a person acting at the direction of the owner who is physically able, through use of the chain or leash, to prevent the dangerous dog from escaping or causing damage to a person, animal or property.

This section cited in 7 Pa. Code § 27.7 (relating to general conditions of registration); and 7 Pa. Code § 27.8 (relating to required enclosure for a dangerous dog).

History

Authority: The provisions of this Chapter 27 issued under sections 503-A(b) and (c), 506-A and 902 of the Dog Law (3 P. S. § § 459-503-A(b) and (c), 459-506-A and 459-902), unless otherwise noted.
Source: The provisions of this Chapter 27 adopted May 24, 1991, effective May 25, 1991, 21 Pa.B. 2476, unless otherwise noted.

7 Pa. Code § 27.10 Inspections.

(a) As part of the review process described in § 27.6 (relating to processing of an application), the Department will, during daytime or otherwise reasonable hours, conduct an onsite inspection of the premises where the dangerous dog is kept to determine whether the applicant is in compliance with § 27.8 (relating to required enclosure for a dangerous dog). If the Department determines that the owner of the dangerous dog has failed to meet these requirements, the Department will request that the applicant take appropriate corrective action. The Department will terminate the processing of an application if corrective action is not taken within 15 days of a written request.

(b) The Department reserves the right to conduct an onsite inspection of the premises where the dangerous dog is kept at least biannually during daytime or otherwise reasonable hours, or at other times upon complaint or reasonable belief that a violation of this chapter or the act may exist. The Department reserves the right to enter the premises and conduct a follow-up inspection to a previous inspection that revealed noncompliance with this chapter or the act.

(c) A dog warden may enter into a home or other building only with the permission of the occupant or with an authorized search warrant.

(d) If an owner of a dangerous dog refuses to permit the Department to conduct the inspection described in subsection (a) or (b), the Department may suspend, revoke or deny a certificate of registration under this chapter.

History

Authority: The provisions of this Chapter 27 issued under sections 503-A(b) and (c), 506-A and 902 of the Dog Law (3 P. S. § § 459-503-A(b) and (c), 459-506-A and 459-902), unless otherwise noted.
Source: The provisions of this Chapter 27 adopted May 24, 1991, effective May 25, 1991, 21 Pa.B. 2476, unless otherwise noted.

7 Pa. Code § 27.11 Uniform dangerous dog warning sign.

(a) General requirements. The owner of a dangerous dog registered under this chapter shall conspicuously display at least two uniform dangerous dog warning signs on the premises on which the dog is kept. Additional uniform dangerous dog warning signs necessary to warn persons at all points of ingress to the premises shall be conspicuously displayed. The owner of a dangerous dog shall purchase additional uniform dangerous dog warning signs from the Bureau of Dog Law Enforcement.

(b) Placement of signs. For purposes of subsection (a) and section 503-A(a)(1) of the act (3 P. S. § 459-503-A(a)(1)), the warning signs shall be deemed to have been conspicuously displayed if the signs are visible and the written warning printed on the signs is capable of being read from a public highway or thoroughfare immediately adjacent to the premises on which the dangerous dog is kept.

(c) Signs furnished by the Department. The Department will provide the owner of a dangerous dog registered under this chapter with two uniform dangerous dog warning signs at no cost. The Department will provide the owner with additional signs upon payment of the fee in § 27.3 (relating to fees).

This section cited in 7 Pa. Code § 27.7 (relating to general conditions of registration).

History

Authority: The provisions of this Chapter 27 issued under sections 503-A(b) and (c), 506-A and 902 of the Dog Law (3 P. S. § § 459-503-A(b) and (c), 459-506-A and 459-902), unless otherwise noted.
Source: The provisions of this Chapter 27 adopted May 24, 1991, effective May 25, 1991, 21 Pa.B. 2476, unless otherwise noted.

7 Pa. Code § 27.12 Uniform dangerous dog identification tag.

(a) General requirements. The owner of a dangerous dog registered under this chapter shall cause to be affixed to the collar or harness of the dog the uniform dangerous dog identification tag.

(b) Placement of tag. The uniform dangerous dog identification tag shall be affixed to the collar or harness of the dangerous dog so that the entire surface of the tag containing the dangerous dog identification symbol is unobstructed and is clearly visible. The tag shall be worn by the dangerous dog at all times.

(c) Tag furnished by the Department. The Department will provide the owner of a dangerous dog registered under this chapter with one uniform dangerous dog identification tag. The Department will provide the owner with a replacement tag upon payment of the fee in § 27.3(d) (relating to fees).

This section cited in 7 Pa. Code § 27.7 (relating to general conditions of registration).

History

Authority: The provisions of this Chapter 27 issued under sections 503-A(b) and (c), 506-A and 902 of the Dog Law (3 P. S. § § 459-503-A(b) and (c), 459-506-A and 459-902), unless otherwise noted.
Source: The provisions of this Chapter 27 adopted May 24, 1991, effective May 25, 1991, 21 Pa.B. 2476, unless otherwise noted.

7 Pa. Code § 27.13 Exception for farm dogs.

A dog will not be determined to be dangerous under section 502-A of the act (3 P. S. § 459-502-A) if:

(1) The premises where the dog is kept is a farm.

(2) The dog did not leave the farm property to attack.

(3) At the time of, and subsequent to, the attack, the farm was and is conspicuously posted at all points of ingress and egress with a sign alerting visitors to the presence of a watch or guard dog.

History

Authority: The provisions of this Chapter 27 issued under sections 503-A(b) and (c), 506-A and 902 of the Dog Law (3 P. S. § § 459-503-A(b) and (c), 459-506-A and 459-902), unless otherwise noted.
Source: The provisions of this Chapter 27 adopted May 24, 1991, effective May 25, 1991, 21 Pa.B. 2476, unless otherwise noted.

Part III Bureau of Food Safety and Laboratory Services

Subpart A Solid Foods

Chapter 39 Frozen Desserts Standards

7 Pa. Code § 39.1 Scope.

This chapter applies to frozen desserts. Wholesale manufacturers of frozen desserts shall also comply with Chapter 59 (relating to milk sanitation).

The provisions of this § 39.1 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial pages (1507) to (1508).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.2 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Approved sampler—A person certified by the Department to obtain samples of milk or milk products, including frozen desserts, for analysis by a Commonwealth approved laboratory. Department—The Department of Agriculture of the Commonwealth. Dispensing freezer—Equipment which freezes frozen desserts so they are served in a soft condition for sale to the customer. FDA—The United States Food and Drug Administration. Frozen dessert licensee—A person, whether a resident or nonresident of this Commonwealth, operating a frozen dessert plant, whose products are sold or offered for sale in this Commonwealth, who has applied, paid the annual license fee and been issued a valid license under section 7 of The Frozen Dessert Law (31 P.S. § 417-7). Frozen desserts—Ice cream, frozen custard, French ice cream, French custard ice cream, frozen dietary dairy dessert, frozen yogurt, dietary frozen dessert or lowfat frozen dairy dessert, ice milk, freezer-made milk shakes, fruit sherbet, water ices, quiescently frozen confections, quiescently frozen dairy confections, whipped cream confections, bisque tortoni, mellorine frozen desserts, and products which are similar in appearance, odor or taste to the products or are prepared or frozen as such products are customarily prepared or frozen, whether made with dairy or nondairy products. The term does not include commonly known or designated bakery products as frozen cakes and pastries, cream pies and fillings and toppings, meringue pie fillings and toppings, cream and ice box pies, fruit and custard pie fillings, Boston cream pie fillings, cream puff fillings and custards, eclair and Napoleon fillings, and custards or similar products. Frozen dessert plants—Places, premises or establishments where frozen desserts are manufactured, prepared or processed for distribution or sale. Generally recognized as safe—Foods, substances and additives meeting the eligibility criteria set forth by the FDA at 21 CFR 170.30—170.38. Label—Written, printed or graphic matter attached to or on a package. Mix—A frozen dessert before being frozen. Mobile unit—Vehicles on which frozen desserts are manufactured, prepared, processed or converted, and which are used in selling and dispensing frozen desserts, including temporary buildings which may be moved from place to place. Mobile unit depot—Buildings from which mobile units operate and are cleaned and sanitized and where frozen desserts for sale from mobile units may be handled and stored. Nonpermit holder—A frozen dessert licensee not possessing a milk products permit. Package—Cartons, boxes, jars, bottles, pails, wrappers or other containers for frozen desserts. Pennsylvania Approved Dairy Laboratory—

(i) A commercial or regulatory laboratory authorized by the Department to do official analyses of milk and milk products, including frozen desserts.

(ii) A milk industry laboratory officially designated by the Department for the examination of producer samples of raw milk for pasteurization or of commingled raw milk for pasteurization for the detection of growth inhibitor residues and bacterial limits. The laboratories may also be designated for the examination of milk products, frozen desserts and frozen desserts mixes, processed under their direct control. Person—An individual, corporation, firm, association or other form of business entity. Retail manufacturer of frozen desserts—A manufacturer of frozen desserts who uses a mix prepared by a Milk Products Permit Holder and sells frozen desserts only on premises where produced. Seasonally (Seasonal)—Production of frozen desserts of less than 5 months duration in a licensing year. Secretary—The Secretary of the Department or an authorized representative. Standard of identity—The set of criteria for the evaluation of product quality and consistency which, when satisfied, establishes the identity of a particular food for sale, marketing or distribution. Wholesale manufacturer of frozen desserts—A manufacturer who prepares a mix and manufactures frozen desserts or manufactures frozen desserts for sale off premises where produced.

The provisions of this § 39.2 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242; amended October 9, 1992, effective October 10, 1992, 22 Pa.B. 5019. Immediately preceding text appears at serial pages (103196) and (89842).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.3 Notification to Department.

When a manufacturer of frozen desserts not made with fats other than milkfat desires to manufacture frozen desserts using fats other than milkfat, and when a manufacturer of frozen desserts in which milkfat is not used desires to manufacture desserts with milkfat, the manufacturer shall notify the Department.

The provisions of this § 39.3 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial pages (1508) to (1509).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.4 Contents of labels.

In addition to the specific requirements for labeling of particular frozen desserts in this chapter, the following general requirements apply for all frozen desserts:

(1) Each package or container of frozen dessert shall be marked with the name of the product, and the product shall conform with the definition of standards thereon.

(2) Packages or containers shall bear the name and address of the manufacturer or distributor. When the name and address of the distributor appears in lieu of that of the processor, such words as ‘‘manufactured for’’ or ‘‘distributed by’’ shall also appear on the package. Containers showing a general office address or the name and address of the distributor shall be further labeled to identify the manufacturing plant by assigned numerical code or the name and address of the manufacturer.

(3) Packages shall bear a statement of the net contents.

(4) Packages of frozen desserts shall bear a statement of optional ingredients, listed in descending order of predominance.

(5) Bulk containers of frozen desserts shall show the manufacturer’s name and address or assigned code, type of product and flavor statement.

(6) When frozen desserts are dispensed for sale from factory filled containers, each container shall bear the name of the food and the name and address of the plant or manufacturer or the FIPS Code of the plant or manufacturer, in a location on the container so that it can be read after the cover has been removed and discarded.

(7) When frozen desserts are dispensed from bulk or dispensed at the time of manufacture, information that will clearly advise each purchaser as to the type of product being offered for sale shall be displayed in a conspicuous manner.

The provisions of this § 39.4 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (1509).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.5 Standards for frozen dessert mix.

(a) Source of mix. Mix shall be obtained from or made only by those plants meeting the requirements of Chapter 59, Subchapter B (relating to standards for milk and milk products) and holding a permit to sell milk products as issued by the Department.

(b) Pasteurization. Mix shall be pasteurized in accordance with the applicable requirements of Chapter 59, Subchapter B (relating to standards for milk and milk products) and shall be held in storage temperatures not in excess of 45°F.

(c) Ingredients. Ingredients entering into the composition of frozen desserts mix shall be clean, safe and wholesome, and may not conceal damage or inferiority.

The provisions of this § 39.5 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (1509).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.6 Wholesale manufacturers of frozen desserts.

Wholesale manufacturers of frozen desserts shall conform with requirements of Chapter 59, Subchapter B (relating to standards for milk and milk products) and shall hold permits to sell milk products as issued by the Department.

The provisions of this § 39.6 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial pages (1509) to (1510).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.11 Temporary marketing permit.

Frozen desserts to be sold in this Commonwealth shall conform with established definitions and standards of identity, except that a person holding a current Pennsylvania frozen dessert license who wishes to manufacture a frozen dessert for which a standard of identity has not been promulgated by the Secretary, may make application to the Secretary for a temporary marketing permit to market the product. The application shall be on a form furnished by the Secretary and shall contain information that the Secretary may require. The permit shall be for a period not to exceed 1 year, although the temporary marketing permit may be extended for a period of up to 1 year by the Secretary if a new standard of identity has been introduced under section 9(b) of the Frozen Dessert Law (31 P. S. § 417-9). The Secretary may revoke a permit if the application contains misleading statements, or if the Secretary determines that unfair competitive advantage is gained through the issuance of the permit, or that the need no longer exists for a permit.

The provisions of this § 39.11 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial pages (1510) to (1511).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.12 Ice cream and frozen custard.

(a) Description.

(1) Ice cream is a food produced by freezing, while stirring, a pasteurized mix consisting of one or more of the optional dairy ingredients specified in subsection (b). Ice cream may contain one or more of the optional caseinates specified in subsection (c), subject to the conditions set foth in this chapter, and other safe and suitable nonmilk-derived ingredients and excluding other food fats, except natural components of flavoring ingredients used or added in incidental amounts to accomplish specific functions. Ice cream is sweetened with nutritive carbohydrate sweeteners and may or may not be characterized by the addition of flavoring ingredients.

(2) Ice cream contains not less than 1.6 pounds of total solids to the gallon, and weighs not less than 4.5 pounds to the gallon. Ice cream contains not less than 10% milkfat, not less than 10% nonfat milk solids, except that when it contains milkfat at 1.0% increments above the 10% minimum, it may contain the following milkfat-to-nonfat milk solids levels:

When one or more bulky flavors are used, the weights of milkfat and total milk solids are not less than 10% and 20%, respectively, of the remainder obtained by subtracting the weight of the bulky flavors from the weight of the finished food. In no case is the weight of milkfat or total milk solids less than 8.0% and 16%, respectively, of the weight of the finished food. Except in the case of frozen custard, ice cream contains less than 1.4% egg yolk solids by weight of the food, exclusive of the weight of any bulky flavoring ingredients used. Frozen custard shall contain not less than 1.4% egg yolk solids by weight of the finished food; however, when bulky flavors are added the egg yolk solids content of frozen custard may be reduced in proportion to the amount by weight of the bulky flavors added, but in no case is the content of egg yolk solids in the finished food less than 1.12%. A product containing egg yolk solids in excess of 1.4%, the maximum set forth in this paragraph for ice cream, may be marketed if labeled as specified by subsection (e)(1).

(3) When calculating the minimum amount of milkfat and nonfat milk solids required in the finished food, the solids of chocolate or cocoa used shall be considered a bulky flavoring ingredient. In order to make allowance for additional sweetening ingredients needed when certain bulky ingredients are used, the weight of chocolate or cocoa solids used may be multiplied by 2.5; the weight of fruit or nuts used may be multiplied by 1.4; and the weight of partially or wholly dried fruits or fruit juices may be multiplied by appropriate factors to obtain the original weights before drying, and this weight may be multiplied by 1.4.

(b) Optional dairy ingredients. The optional ingredients referred to in subsection (a) are: cream, dried cream, plastic cream—sometimes known as concentrated milkfat, butter, butter oil, milk, concentrated milk, evaporated milk, sweetened condensed milk, superheated condensed milk, dried milk, skim milk, concentrated skim milk, evaporated skim milk, condensed skim milk, superheated condensed skim milk, sweetened condensed skim milk, sweetened condensed part skim milk, nonfat dry milk, sweet cream buttermilk, condensed sweet cream buttermilk, dried sweet cream buttermilk, skim milk that has been concentrated and from which part of the lactose has been removed by crystallization, skim milk in concentrated or dried form which has been modified by treating the concentrated skim milk with calcium hydroxide and disodium phosphate, and whey and those modified whey products—such as reduced lactose whey, reduced minerals whey, and whey protein concentrate that have been determined by the Food and Drug Administration to be generally recognized as safe (GRAS) for use in this type of food. Water may be added, or water may be evaporated from the mix. The sweet cream buttermilk and the concentrated sweet cream buttermilk or dried sweet cream buttermilk, when adjusted with water to a total solids content of 8.5%, has a titratable acidity of not more than 0.17%, calculated as lactic acid. The term ‘‘milk’’ as used in this section means cow’s milk. Whey and modified whey products used contribute, singly or in combination, not more than 25% by weight of the total nonfat milk solids content of the finished food. The modified skim milk, when adjusted with water to a total solids content of 9.0% is substantially free of lactic acid as determined by titration with 0.1N NaOH, and it has a pH value in the range of 8.0 to 8.3.

(c) Optional caseinates. The optional caseinates referred to in subsection (a) which may be added to ice cream mix containing not less than 20% total milk solids are: Casein prepared by precipitation with gums, ammonium caseinate, calcium caseinate, potassium caseinate and sodium caseinate. Caseinate may be added in liquid or dry form, but shall be free of excess alkali.

(d) Methods of analysis. Fat content shall be determined by the methods contained in the Official Methods of Analysis of the Association of Official Analytical Chemists, 13th Ed., 1980 (A.O.A.C. Methods). Fat content shall be determined by the method contained in Fat; Roese-Gottlieb Method Official Final Action, A.O.A.C. Section 16.287).

(e) Nomenclature.

(1) The name of the food is ice cream, except that when the egg yolk solids content of the food is in excess of that specified for ice cream by subsection (a), the name of the food is frozen custard or French ice cream or French custard ice cream.

(2) If the food contains no artificial flavor, the name of the principal display panels of the label shall be accompanied by the common or usual name of the characterizing flavor, such as vanilla, in letter not less than 1/2 the height of the letters used in the words ‘‘ice cream.’’

(3) If the food contains both a natural characterizing flavor and an artificial flavor simulating it, and if the natural flavor predominates, the name of the principal display panels of the labels shall be accompanied by the common name of the characterizing flavor, in letters not less than 1/2 the height of the letters used in the words ‘‘ice cream,’’ followed by the word ‘‘flavored,’’ in letters not less than 1/2 the height of the letters in the name of the characterizing flavor, such as ‘‘Vanilla flavored,’’ or ‘‘Peach flavored,’’ or ‘‘Vanilla flavored and Strawberry flavored.’’

(4) If the food contains both a natural characterizing flavor and an artificial flavor simulating it, and if the artificial flavor predominates, or if artificial flavor is used alone the name on the principal display panels of the label shall be accompanied by the common name of the characterizing flavor in letters not less than 1/2 the height of the letters used in the words ‘‘ice cream,’’ preceded by ‘‘artificial’’ or ‘‘artificially flavored,’’ in letters not less than 1/2 the height of the letters in the name of the characterizing flavor, such as ‘‘artificial Vanilla,’’ ‘‘artificially flavored Strawberry,’’ or ‘‘artificially flavored Vanilla and artificially flavored Strawberry.’’

(5) If the food is subject to the requirements of paragraph (3), or if it contains any artificial flavor not simulating the characterizing flavor, the label shall also bear the words ‘‘artificial flavor added’’ or ‘‘artificial

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.13 Lactose reduced ice cream.

(a) Lactose reduced ice cream is the product resulting from the treatment of ice cream, as defined in § 39.12 (relating to ice cream and frozen custard), by the addition of safe and suitable enzymes to convert sufficient amounts of lactose to glucose and galactose so that the remaining lactose is 30% or less of the lactose in ice cream conforming to § 39.12.

(b) The name of the food is lactose reduced ice cream.

(c) The label on lactose reduced ice cream in addition to all other required information shall contain a complete list of ingredients in accordance with 21 CFR 101.4 (relating to food; designation of ingredients), and contain nutrition information as required by 21 CFR 101.9 (relating to nutrition labeling of food).

(d) Wherever the name appears on the container, the words lactose reduced shall be in the same type style and size and in the same color and contrasting background as the words ice cream.

The provisions of this § 39.13 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (1512).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.14 Goat’s milk ice cream.

(a) Description. Goat’s milk ice cream is the food prepared in the same manner prescribed in § 39.12 (relating to ice cream and frozen custard), for ice cream, and complies with § 39.12 except that the only optional dairy ingredients that may be used are those in subsection (b). Caseinates may not be used. Section 39.12(e)(1) and (f) does not apply.

(b) Optional dairy ingredients. The optional dairy ingredients referred to in subsection (a) are goat’s skim milk, goat’s milk and goat’s cream. These optional dairy ingredients may be used in liquid, concentrated or dry form.

(c) Nomenclature. The name of the food is goat’s milk ice cream or, alternatively, ice cream made with goat’s milk, except that when the egg yolk solids content of the food is in excess of that specified for ice cream in § 39.12(a), the name of the food is goat’s milk frozen custard or, alternatively frozen custard made with goat’s milk, or goat’s milk French ice cream, or alternatively, French ice cream made with goat’s milk, or goat’s milk French custard ice cream, or, alternatively, French custard ice cream made with goat’s milk.

(d) Label declaration. Each of the optional ingredients used shall be declared on the label as required by the applicable provisions 21 CFR 101.4 (relating to food; designation of ingredients).

The provisions of this § 39.14 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (1512).

This section cited in 7 Pa. Code § 39.17 (relating to goat’s milk ice milk).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.15 Ice milk.

(a) Description. Ice milk is the food prepared from the same ingredients and in the same manner prescribed in § 39.12 (relating to ice cream and frozen custard) for ice cream and complies with § 39.12 including the requirements for label statement of optional ingredients, except that all of the following apply:

(1) Its content of milkfat is more than 2.0% but not more than 7.0%.

(2) Its content of total milk solids is not less than 11%.

(3) Caseinates may be added when the content of total milk solids is not less than 11%.

(4) The provision for reduction in milkfat and nonfat milk solids content from the addition of bulky flavors in § 39.12 applies, except that in no case will the milkfat content be less than 2%, nor the nonfat milk solids content be less than 4%. When the milkfat content increases in increments of 1% above 2% minimum, it may contain the following milkfat to nonfat milk solids levels.

(5) The quantity of total solids per gallon is not less than 1.3 pounds.

(6) When any artificial coloring is used in ice milk, directly or as a component of any other ingredients, the label shall bear the statement ‘‘artificially colored,’’ ‘‘artificial coloring added,’’ ‘‘with added artificial color,’’ or ‘‘

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.16 Lactose reduced ice milk.

(a) Lactose reduced ice milk is the product resulting from the treatment of ice milk, as defined in § 39.15 (relating to ice milk) by the addition of safe and suitable enzymes to convert sufficient amounts of lactose to glucose and galactose so that the remaining lactose is 30% or less of the lactose in ice milk conforming to § 39.15.

(b) The name of the food is lactose reduced ice milk.

(c) The label on lactose reduced ice milk, in addition to all other required information, shall contain a complete list of ingredients in accordance with 21 CFR 101.4 (relating to foods; designation of ingredients) and contain nutrition information as required by 21 CFR 101.9 (relating to nutrition labeling of food).

(d) Wherever the name appears on the container, the words ‘‘lactose reduced’’ shall be in the same type style and size and in the same color and contrasting background as the words ice milk.

(e) The provisions for serving ice milk from a dispensing freezer as required in § 39.15 applies.

The provisions of this § 39.16 adopted June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242.

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.17 Goat’s milk ice milk.

(a) Goat’s milk ice milk is the food prepared in the same manner prescribed in § 39.14 (relating to goat’s milk ice cream), for goat’s milk ice cream, except that subsection (c) shall not apply. Goat’s milk ice milk shall comply with all the requirements of § 39.15(a) (relating to ice milk).

(b) The name of the food is goat’s milk ice milk or alternatively ice milk made with goat’s milk.

(c) The provisions for serving ice milk from a dispensing freezer as required by § 39.15 (relating to ice milk) shall apply.

The provisions of this § 39.17 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (1512).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.18 Sherbet.

(a) Description.

(1) Sherbet is a food produced by freezing, while stirring, a pasteurized mix consisting of one or more of the optional dairy ingredients specified in subsection (b), and may contain one or more of the optional caseinates specified in subsection (c), subject to the conditions set forth in this section, and other safe and suitable nonmilk derived ingredients. Sherbet excludes other food fats, except those added in small amounts to accomplish specific functions or natural components of flavoring ingredients used. Sherbet is sweetened with nutritive carbohydrate sweeteners and is characterized by the addition of one or more of the characterizing fruit ingredients specified in subsection (d) or one or more of the nonfruit characterizing ingredients specified in subsection (e).

(2) Sherbet weighs not less than 6 pounds to the gallon. The milkfat content is not less than 1.0% nor more than 2.0%. The nonfat milk derived solids content is not less than 1.0%. The total milk or milk derived solids content is not less than 2.0% nor more than 5.0% by weight of the finished food. Sherbet characterized by a fruit ingredient shall have a titratable acidity, calculated as lactic acid, of not less than 0.35%.

(b) Optional dairy ingredients. The optional dairy ingredients referred to in subsection (a) are: Cream, dried cream, plastic cream, (sometimes known as concentrated milkfat), butter, butter oil, milk, concentrated milk, evaporated milk, superheated condensed milk, sweetened condensed milk, dried milk, skim milk, concentrated skim milk, evaporated skim milk, condensed skim milk, superheated condensed skim milk, sweetened condensed skim milk, sweetened condensed part skim milk, nonfat dry milk, sweet cream buttermilk, condensed sweet cream buttermilk, dried sweet cream buttermilk, skim milk that has been concentrated and from which part of the lactose has been removed by crystallization, and whey and those modified whey products, such as, reduced lactose whey reduced minerals whey, and whey protein concentrates, that have been determined by the Food and Drug Administration to be generally recognized as safe (GRAS) for use in this type of food. Water may be added, or water may be evaporated from the mix. The sweet cream buttermilk and the concentrated sweet cream buttermilk or dried sweet cream buttermilk, when adjusted with water to a total solids content of 8.5%, has a titratable acidity of not more than 0.17%, calculated as lactic acid. The term ‘‘milk’’ as used in this section means cow’s milk.

(c) Optional caseinates. The optional caseinates referred to in subsection (a ) which may be added to sherbet mix are: Casein prepared by precipitation with gums, ammonium caseinate, calcium caseinate, potassium caseinate, and sodium caseinate. Caseinates may be added in liquid or dry form, but must be free of excess alkali. Such caseinates are not considered to be milk solids.

(d) Optional fruit characterizing ingredients. The optional fruit characterizing ingredients referred to in subsection (a) are any mature fruit or the juice of any mature fruit. The fruit or fruit juice used may be fresh, frozen, canned, concentrated, or partially or wholly dried. The fruit may be thickened with pectin or other optional ingredients. The fruit is prepared by the removal of pits, seeds, skins, and cores, where such removal is usual in preparing that kind of fruit for consumption as fresh fruit. The fruit may be screened, crushed, or otherwise comminuted. The fruit may be acidulated. In the case of concentrated fruit or fruit juice, from which part of the water is removed, substances contributing flavor volatilized during water removal may be condensed and reincorporated in the concentrated fruit or fruit juice. In the case of citrus fruits, the whole fruit, including the peel but excluding the seeds, may be used. In the case of citrus juice or concentrated citrus juices, cold-pressed citrus oil may be added in an amount not exceeding that which would have been obtained if the whole fruit had been used. The quantity of fruit ingredients used is such that, in relation to the weight of the finished sherbet, the weight of fruit or fruit juice, including water necessary to reconstitute partially or wholly dried fruits or fruit juices to their original moisture content, is not less than 2.0% in the case of citrus sherbets, 6.0% in the case of berry sherbets, and 10% in the case of sherbets prepared with other fruits. For the purpose of this section, tomatoes and rhubarb are considered as kinds of fruits.

(e) Optional nonfruit characterizing ingredients. The optional nonfruit characterizing ingredients referred to in subsection (a) include, but are not limited to, the following:

(1) Ground spice or infusion of coffee or tea.

(2) Chocolate or cocoa, including syrup.

(3) Confectionery.

(4) Distilled alcoholic beverage, including liqueurs or wine, in an amount not to exceed that required for flavoring the sherbet.

(5) Any natural or artificial food flavoring, except any having a characteristic fruit or fruit-like flavor.

(f) Nomenclature.

(1) The name of each sherbet is as follows:

(i) The name of each fruit sherbet is

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.19 Nonfruit sherbet.

(a) Description.

(1) Nonfruit sherbet is a food having a characteristic fruit flavor, but it shall not contain any fruit or fruit juice. Nonfruit sherbet is prepared by freezing while stirring pasteurized mix consisting of one or more of the optional dairy ingredients specified in subsection (b). Nonfruit sherbet may contain one or more of the optional caseinates specified in subsection (c), subject to the conditions set forth in this section, and any other safe and suitable nonmilk derived ingredients. Nonfruit sherbet shall exclude other food fats, except such as are added in small amounts to accomplish specific functions. Nonfruit sherbet is sweetened with nutritive carbohydrate sweeteners and contains characteristic fruit like flavor.

(2) Sherbet weighs not less than 6 pounds to the gallon. The milkfat content is not less than 1.0% nor more than 2.0%, the nonfat milk derived solids content not less than 1.0%, and the total milk or milk derived solids content is not less than 2.0% nor more than 5.0% by weight of the finished food.

(b) Optional dairy ingredients. The optional dairy ingredients referred to in subsection (a) are: cream, dried cream, plastic cream (sometimes known as concentrated milkfat), butter, butter oil, milk, concentrated milk, evaporated milk, superheated condensed milk, sweetened condensed milk, dried milk, skim milk, concentrated skim milk, evaporated skim milk, condensed skim milk, superheated condensed skim milk, sweetened condensed skim milk, sweetened condensed part skim milk, nonfat dry milk, sweet cream buttermilk, condensed sweet cream buttermilk, dried sweet cream buttermilk, skim milk that has been concentrated and from which part of the lactose has been removed by crystallization, and whey and those modified whey products, such as reduced lactose whey, reduced minerals whey, and whey protein concentrate, that have been determined by the Food and Drug Administration to be generally recognized as safe (GRAS) for use in this type of food. Water may be added, or water may be evaporated from the mix. The sweet cream buttermilk and the concentrated sweet cream buttermilk or dried sweet cream buttermilk, when adjusted with water to a total solids content of 8.5%, has a titratable acidity of not more than 0.17%, calculated as lactic acid. The term ‘‘milk’’ as used in this section means cow’s milk.

(c) Optional caseinates. The optional caseinates referred to in subsection (a) that may be added to nonfruit sherbet are: Casein prepared by precipitation with gums, ammonium caseinate, calcium caseinate, potassium caseinate and sodium caseinate. Caseinates may be added in liquid or dry form, but must be free of excess alkali. The caseinates are not considered to be milk solids.

(d) Nomenclature. The name of the food is nonfruit sherbet.

(e) Additional requirements. In addition to all other required information, the label shall:

(1) Contain a complete list of ingredients, in accordance with 21 CFR 101.4 (relating to food; designation of ingredients).

(2) Comply with 21 CFR 101.22 (relating to foods; labeling of spices, flavorings, colorings and chemical preservatives).

(3) Contain the following statement ‘‘Imitation

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.20 Water ice.

(a) Description. Water ices are prepared from the same ingredients and in the same manner prescribed in § 39.18 (relating to sherbet) for sherbets, except that the mix need not be pasteurized. Water ice shall comply with § 39.18 including the requirements for label statement of optional ingredients except that no milk or milk derived ingredient and no egg ingredient, other than egg white, is used.

(b) Nomenclature. The name of the food is

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.21 Nonfruit water ice.

(a) Nonfruit water ice is an ice having a characterizing fruit like flavor, but it shall not contain any fruit or fruit juice. Nonfruit water ice is prepared while stirring a mix composed of all of the following:

(1) Characterizing fruit like flavors.

(2) One or more nutritive sweeteners.

(3) Any other safe and suitable ingredient approved by the Department.

(b) The finished nonfruit water ice weighs not less than 6 pounds per gallon.

(1) Contain a complete list of ingredients, in accordance with 21 CFR 101.4 (relating to food; designation of ingredients).

(2) Comply with 21 CFR 101.22 (relating to foods; labeling of spices, flavorings, colorings, and chemical preservatives).

(3) Contain the following statement ‘‘Imitation

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.22 Mellorine.

(a) Description.

(1) Mellorine is a food produced by freezing while stirring a pasteurized mix consisting of safe and suitable ingredients including, but not limited to, milk derived nonfat solids and animal or vegetable fat, or both, only part of which may be milkfat. Mellorine is sweetened with nutritive carbohydrate sweetener and is characterized by the addition of flavoring ingredients.

(2) Mellorine contains not less than 1.6 pounds of total solids to the gallon, and weighs not less than 4.5 pounds to the gallon. Mellorine contains not less than 6.0% fat and 2.7% protein having a protein efficiency ratio (PER) not less than that of whole milk protein—108% of casein—by weight of the food, exclusive of the weight of any bulky flavoring ingredients used. In no case shall the fat content of the finished food be less than 4.8% or the protein content be less than 2.2%. The protein to meet the minimum protein requirements shall be provided by milk solids, not fat, or other milk derived ingredients.

(3) When calculating the minimum amount of milkfat and protein required in the finished food, the solids of chocolate or cocoa used shall be considered a bulky flavoring ingredient. In order to make allowance for additional sweetening ingredients needed when certain bulk ingredients are used, the weight of chocolate or cocoa solids used may be multiplied by 2.5; the weight of fruit or nuts used may be multiplied by 1.4; and the weight of partially or wholly dried fruits or fruit juices may be multiplied by appropriate factors to obtain the original weights before drying and this weight may be multiplied by 1.4.

(b) Fortification. Vitamin A is present in a quantity which will ensure that 40 international units (IU) are available for each gram of fat in mellorine, within limits of good manufacturing practice.

(c) Methods of analysis. Fat and protein content, and the protein efficiency ratio shall be determined by the following methods contained in the Official Methods of Analysis of the Association of Official Analytical Chemists, 13th ed., 1980 (A.O.A.C. Methods):

(1) Fat content shall be determined by the method: Fat, Roese-Gottlieb Method Official Final Action (A.O.A.C., Section 16.287).

(2) Protein content shall be determined by one of the following methods: Nitrogen Official Final Action, Kjeldahl Method, Section 16.285, or Dye Binding Method, Section 16.286.

(3) The protein efficiency ratio shall be determined by the method: Biological Evaluation of Protein Quality Official Final Action, Sections 43.212—43.216.

(d) Nomenclature. The name of the food is mellorine. The name of the food on the label shall be accompanied by a declaration indicating the presence of characterizing flavoring in the same manner as is specified in § 39.12(e) (relating to ice cream and frozen custard).

(e) Label declaration. The common or usual name of each of the ingredients used shall be declared on the label, in accordance with 21 CFR 101.4 (relating to food; designation of ingredients) except that sources of milkfat or milk solids not fat may be declared, in descending order of predominance either by the use of the terms ‘‘milkfat,’’ and ‘‘nonfat milk’’ when one or any combination of two or more ingredients listed in 21 CFR 101.4(b)(3), (4), (8) and (9) are used, or alternatively as permitted in 21 CFR 101.4.

(f) Sales. Mellorine shall be sold, held, offered for sale by any manufacturer, wholesaler, retailer, or any other seller only in properly labeled factory filled containers except in the following instances:

(1) Mellorine may be sold from a dispensing freezer. When mellorine is sold in such manner from a dispensing freezer a sign or menu board shall be displayed where it can be easily read by customers under normal conditions of sale, stating ‘‘Mellorine Served Here.’’ When items containing mellorine are listed on a sign or menu board, the statement ‘‘Mellorine Served Here’’ shall be included on the menu board in reasonable proximity to the items containing mellorine. The letters in the statement shall be bold face capitals at least as large as the letters used in listing items containing mellorine and on a contrasting background.

(2) No sign or menu board declaration shall be required if the only method of advising customers on what items are being offered for sale is a menu furnished to the customer. In such a case the menu shall contain the statement ‘‘Mellorine Served Here.’’ The statement shall be in reasonable proximity to the menu items containing mellorine, and the letters on the statement shall be bold face capitals at least as large as the letters used in listing items containing mellorine. Any menu listing mellorine or items prepared with mellorine shall conform to this paragraph.

(3) Mellorine may be dipped from a properly labeled bulk container. If mellorine is served in this manner, a sign or menu board shall be displayed where it can be easily read by customers under normal conditions of sale stating ‘‘Mellorine Served Here.’’ When items containing mellorine are listed on a sign or menu board the statement ‘‘Mellorine Served Here’’ shall be included in reasonable proximity to the items containing mellorine. The letters in the statement shall be bold face capitals at least as large as the letters used in listing items containing mellorine.

(4) No sign or menu board declaration shall be required if the only method of advising customers on what items are being offered for sale is a menu furnished to the customer. In such a case, the menu shall contain the statement ‘‘Mellorine Served Here.’’ The statement shall be in reasonable proximity to the menu items containing mellorine, and the letters on the statement shall be bold face capitals at least as large as the letters used in listing items containing mellorine. Any menu listing mellorine or items prepared with mellorine shall conform to this paragraph.

The provisions of this § 39.22 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (1513).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.23 Frozen yogurt.

(a) Frozen yogurt is the food which is prepared by freezing while stirring a pasteurized mix consisting of the ingredients permitted for ice cream in § 39.12 (relating to ice cream and frozen custard), except that a sweetner that has been affirmed as generally recognized as safe or has been approved as a food additive for this use by the FDA may be used in place of, or in combination with, nutritive carbohydrate sweetners.

(1) The ingredients are cultured after pasteurization by one or more strains of Lactobacillus bulgaricus and Streptococcus thermophilus.

(2) Fruit, nuts or other flavoring materials may be added before or after the mix is pasteurized and cultured.

(3) The standard plate count requirement for frozen desserts applies to the mix prior to culturing.

(b) Frozen yogurt, exclusive of flavoring, contains not less than 3.25% milkfat, not less than 8.25% milk solids not fat and has a titratable acidity of at least 0.3% expressed as lactic acid. If the titratable acidity of the frozen yogurt mix is less than 0.3%, the manufacturer may establish compliance with this section by disclosing to the Department quality control records that demonstrate as a result of bacterial culture fermentation at least a 0.15% increase in titratable acidity, calculated as lactic acid, above the apparent titratable acidity of the uncultured dairy ingredients in the frozen yogurt mix. This characteristic acidity is developed as a result of the bacterial activity, and no heat or bacteriostatic treatment, other than refrigeration, which results in destruction or partial destruction of the organisms, may be applied to the product after culturing. The finished yogurt shall weigh at least 5 pounds per gallon. The name of the food is frozen yogurt.

(c) In addition to other required information, the label shall contain a complete list of ingredients, in accordance with 21 CFR 101.4 and 101.22 (relating to food; designation of ingredients and foods; labeling of spices, flavorings, colorings and chemical preservatives). On the label of frozen yogurt the strains of bacteria may be collectively referred to as yogurt culture.

The provisions of this § 39.23 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242; amended October 9, 1992, effective October 10, 1992, 22 Pa.B. 5019. Immediately preceding text appears at serial page (89860).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.24 Frozen lowfat yogurt or lowfat frozen yogurt.

(a) Frozen lowfat yogurt or lowfat frozen yogurt is the food which is prepared by freezing while stirring a pasteurized mix consisting of the ingredients permitted for ice cream in § 39.12 (relating to ice cream and frozen custard), except that a sweetner that has been affirmed as generally recognized as safe or has been approved as a food additive for this use by the FDA may be used in place of, or in combination with, nutritive carbohydrate sweetners.

(1) The ingredients are cultured after pasteurization by one or more strains of Lactobacillus bulgaricus and Streptococcus thermophilus.

(2) Fruit, nuts or other flavoring materials may be added before or after the mix is pasteurized and cultured.

(3) The standard plate count requirement for frozen desserts applies only to the mix prior to culturing.

(4) The food, exclusive of flavoring, contains at least 0.5% but not more than 2% milkfat and at least 8.25% milk solids not fat, and has a titratable acidity of at least 0.3% expressed as lactic acid. If the titratable acidity of the frozen yogurt mix is less than 0.3%, the manufacturer may establish compliance with this section by disclosing to the Department quality control records that demonstrate as a result of bacterial culture fermentation at least a 0.15% increase in titratable acidity, calculated as lactic acid, above the apparent titratable acidity of the uncultured dairy ingredients in the frozen yogurt mix. This characteristic acidity is developed as a result of the bacterial activity, and no heat or bacteriostatic treatment, other than refrigeration, which results in destruction or partial destruction of the organisms, shall be applied to the product after the culturing.

(5) The finished food shall weigh at least 5 pounds per gallon. The name of the food is frozen lowfat yogurt or lowfat frozen yogurt.

(b) The label on a package of this food, in addition to all other required information shall:

(1) Contain a complete list of ingredients, in accordance 21 CFR 101.4 (relating to food; designation of ingredients).

(2) Contain nutrition information as required by 21 CFR 101.9 (relating to nutrition labeling of food).

(3) Comply with 21 CFR 101.22(h) and (i) (relating to foods; labeling of spices, flavorings, colorings and chemical preservatives).

The provisions of this § 39.24 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242; amended October 9, 1992, effective October 10, 1992, 22 Pa.B. 5019. Immediately preceding text appears at serial pages (89860) to (89861).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.25 Frozen nonfat yogurt or nonfat frozen yogurt.

(a) Frozen nonfat yogurt or nonfat frozen yogurt is the food which is prepared by freezing while stirring a pasteurized mix consisting of the ingredients permitted for ice cream in § 39.12 (relating to ice cream and frozen custard), except that a sweetner that has been affirmed as generally recognized as safe or has been approved as a food additive for this use by the FDA may be used in place of, or in combination with, nutritive carbohydrate sweetners.

(1) The ingredients are cultured after pasteurization by one of more strains of Lactobacillus bulgaricus and Streptococcus thermophilus.

(2) Fruit, nuts or other flavoring materials may be added before or after the mix is pasteurized and cultured.

(3) The standard plate count requirement for frozen desserts applies only to the mix prior to culturing.

(4) The food, exclusive of flavoring, contains less than 0.5% milkfat, not less than 8.25% milk solids not fat and has a titratable acidity of at least 0.3% expressed as lactic acid. If the titratable acidity of the frozen yogurt mix is less than 0.3%, the manufacturer may establish compliance with this section by disclosing to the Department quality control records that demonstrate as a result of bacterial culture fermentation at least a 0.15% increase in titratable acidity, calculated as lactic acid, above the apparent titratable acidity of the uncultured dairy ingredients in the frozen yogurt mix. This characteristic acidity is developed as a result of the bacterial activity, and no heat or bacteriostatic treatment, other than refrigeration, which results in destruction or partial destruction of the organisms, may be applied to the product after culturing.

(5) The finished food shall weigh at least 5 pounds per gallon. The name of the food is ‘‘Frozen Nonfat Yogurt or Nonfat Frozen Yogurt.’’

(b) The label on a package of this food in addition to other information shall:

(1) Contain a complete list of ingredients, in accordance with 21 CFR 101.4 (relating to food; designation of ingredients).

(2) Contain nutrition information required by 21 CFR 101.9 (relating to nutritional labeling of food).

(3) Comply with 21 CFR 101.22(h) and (i) (relating to foods; labeling of spices, flavorings, colorings and chemical preservatives).

The provisions of this § 39.25 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242; amended October 9, 1992, effective October 10, 1992, 22 Pa.B. 5019. Immediately preceding text appears at serial pages (89861) to (89862).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.26 Quiescently frozen confection.

Quiescently frozen confection is the frozen product made from a sweetening agent, harmless natural or artificial flavoring and water. It may contain milk solids, harmless coloring, organic acids, and any safe and suitable functional ingredient approved by the Department. The finished product shall contain not less than 17% by weight of total solids. The name of the food is quiescently frozen confection. In the manufacture of this product, freezing has not been accomplished by stirring or agitation—generally known as quiescent freezing. In the production of this quiescently frozen confection, no processing or mixing prior to quiescent freezing shall be used that develops in the finished confection mix any physical expansion in excess of 10%. This confection must be manufactured in the form of servings, individually packaged, bagged or otherwise wrapped, properly labeled and purveyed to the customer in its original factory filled package. The individually wrapped confection need not be labeled if it is contained in a multiple package which is properly labeled and is purveyed unopened to the consumer. In addition to all other required information, the label shall contain a complete list of ingredients, in accordance with 21 CFR 101.4 and 101.22 (relating to food; designation of ingredients and foods; labeling of spices, flavorings, colorings and chemical preservatives).

The provisions of this § 39.26 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (1514).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.27 Quiescently frozen dairy confection.

Quiescently frozen dairy confection is the frozen product made from milk products, sweetening agents, harmless natural or artificial flavoring and water. It may contain harmless coloring, and any safe and suitable functional ingredient approved by the Department. The finished product contains not less than 13% by weight of total milk solids and not less than 33% by weight of total solids. The name of the food is quiescently frozen dairy confection. In the manufacture of this product, freezing has not been accomplished by stirring or agitation—generally known as quiescently freezing. In the production of this quiescently frozen dairy confection, no processing or mixing prior to quiescent freezing shall be used that develops in the finished confection mix any physical expansion in excess of 10%. This confection must be manufactured in the form of servings, individually packaged, bagged or otherwise wrapped, properly labeled and purveyed to the consumer in its original factory filled package. The individually wrapped confection need not be labeled if it is contained in a multiple package which is properly labeled and is purveyed unopened to the consumer. In addition to all other required information, the label shall contain a complete list of ingredients, in accordance with 21 CFR 101.4 and 101.22 (relating to food; designation of ingredients and foods; labeling of spices, flavorings, colorings and chemical preservatives).

The provisions of this § 39.27 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial pages (1514) to (1515).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.28 Frozen dietary dairy dessert.

(a) Frozen dietary dairy dessert is a frozen dessert prepared for persons who wish to restrict their intake of ordinary sweetening ingredients. It is produced by freezing while stirring a pasteurized mix consisting of the ingredients permitted for ice cream in § 39.12 (relating to ice cream and frozen custard). The minimum fat content shall be 3.0%, and it shall contain no sugars other than those naturally present in the milk solids or flavoring agents which have been added. It may contain edible carbohydrates other than sugars. The edible carbohydrates must be approved by the Department.

(b) The name of the food is frozen dietary dairy dessert.

(1) Contain a complete list of ingredients, in accordance with 21 CFR 101.4 (relating to food; designation of ingredients).

(2) Contain a statement as follows: ‘‘Diabetics: This product may be useful in your diet on the advice of a physician. This food is not a reduced calorie food.’’

(3) Immediately preceding or following the name of the product contain a statement as follows: ‘‘Contains

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.29 Dietary frozen dessert or lowfat frozen dairy dessert.

(a) Dietary frozen dessert or lowfat frozen dairy dessert is a food prepared by freezing while stirring, a pasteurized mix consisting of the ingredients permitted for ice cream in § 39.12 (relating to ice cream and frozen custard). The finished product contains less than 2.0% by weight of either extractable fat, and its content of total milk solids consists of ingredients listed in § 39.12(b) and is not less than 7.0% by weight. The product weighs no less than 4.5 pounds per gallon, and the total solids per gallon is not less than 1.1 pounds nor more than 1.9 pounds, exclusive of any microcrystalline cellulose used as an ingredient.

(b) One or more vitamins or minerals listed in 21 CFR 101.9(c)(7)(iv) (relating to nutrition labeling of food) may be added to the product. If vitamins or minerals are added, the name of the food on the principal display panel shall be immediately preceded or followed by the word ‘‘fortified’’ in the same style and at least one-half the size of the type used for the name dietary frozen dessert or lowfat frozen dairy dessert and on the same contrasting background. If vitamins or minerals are added, each 4 fluid ounce serving of finished product shall provide no less than 8.0% nor more than 20% of the United States Recommended Daily Allowance of such vitamins or minerals.

(c) The name of the food is dietary frozen dessert or lowfat frozen dairy dessert. In addition to all other required information, it shall:

(1) Contain a complete list of ingredients, in accordance with 21 CFR 101.4 (relating to food, designation of ingredients).

(2) Comply with 21 CFR 101.9 and 101.22(h) and (i) (relating to nutrition labeling of food and foods; labeling of spices, flavorings, colorings and chemical preservatives).

(d) Dietary frozen dessert or lowfat frozen dairy dessert may be sold only in properly labeled factory filled containers, except that dietary frozen dessert or lowfat frozen dairy dessert may be sold from a dispensing freezer. When dietary frozen dessert or lowfat frozen dairy dessert is sold from a dispensing freezer, a sign or menu board shall be displayed in a location where it can be easily read by customers under normal conditions of sale. When items containing dietary frozen dessert or lowfat dairy dessert are listed on a sign or menu board, the statement ‘‘Dietary Frozen Dessert Served Here’’ or ‘‘Lowfat Frozen Dairy Dessert Served Here’’ shall be included in reasonable proximity to the items containing dietary frozen dessert or lowfat frozen dairy dessert. The letters in the statement shall be bold face capitals at least as large as the letters used in listing items containing dietary frozen dessert or lowfat frozen dairy dessert and shall be on a contrasting background. No sign or menu board declaration shall be required if the only method of advising customers on what items are being offered for sale is a menu furnished to the customer. In such case the menu shall contain the statement ‘‘Dietary Frozen Dessert Served Here’’ or ‘‘Lowfat Frozen Dairy Dessert Served Here.’’ Such statement shall be in reasonable proximity to the menu items containing dietary frozen dessert or lowfat frozen dairy dessert and the letters on such statement shall be bold face capitals at least as large as the letters used in listing items containing dietary frozen dessert or lowfat frozen dairy dessert. Any menu listing dietary frozen dessert or lowfat dairy dessert items prepared with dietary frozen dessert or lowfat frozen dairy dessert shall conform with this subsection.

(e) Dietary frozen dessert or lowfat frozen dairy dessert may be dipped from a properly labeled bulk container. If dietary frozen dessert or lowfat frozen dairy dessert is served in this manner, a sign shall be displayed where it can be easily read by customers under normal conditions of purchase stating ‘‘Dietary Frozen Dessert Served Here’’ or ‘‘Lowfat Frozen Dairy Dessert Served Here.’’ The letters on the sign shall be bold face capitals at least 3 inches in height and on a contrasting background.

(f) If items containing dietary frozen dessert or lowfat frozen dairy dessert are listed on a menu board, the statement ‘‘Dietary Frozen Dessert Served Here’’ or ‘‘Lowfat Frozen Dairy Dessert Served Here’’ shall be included on the menu board in reasonable proximity to the items containing dietary frozen dessert or lowfat frozen dairy dessert. The letters in the statement shall be bold face capitals at least as large as the letters used in listing items containing dietary frozen dessert or lowfat frozen dairy dessert. No sign or menu board declaration shall be required if the only method of advising customers on what items are being offered for sale is a menu furnished to the customer. In such a case, the menu shall contain the statement ‘‘Dietary Frozen Dessert Served Here’’ or ‘‘Lowfat Frozen Dairy Dessert Served Here.’’ This statement shall be in reasonable proximity to the menu items containing dietary frozen dessert or lowfat frozen dairy dessert, and the letters on the statement shall be bold face capitals at least as large as the letters used in listing items containing dietary frozen dessert or lowfat frozen dairy dessert. Any menu listing dietary frozen dessert or lowfat frozen dairy dessert or items prepared with dietary frozen dessert or lowfat frozen dairy dessert shall conform to this subsection.

The provisions of this § 39.29 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (1515).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.30 Manufactured desserts mix.

(a) Manufactured desserts mix, whipped cream confections and bisque tortoni are frozen desserts made with milk products, sweetening agents and flavoring agents, with or without harmless coloring or any other safe and suitable ingredients approved by the Secretary. The product must contain not less than 18% by weight of milkfat, and not more than 12% of milk solids not fat, and may be packaged with harmless gas causing it to fluff upon ejection from the package or container.

(b) In addition to other required information, the label shall contain a complete list of ingredients in accordance with 21 CFR 101.4 (relating to food; designation of ingredients).

The provisions of this § 39.30 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (1515).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.31 Freezer-made shakes, freezer-made milk shakes and freezer-made lowfat milk shakes.

(a) A freezer-made milk shake is a pure, clean, wholesome semi-viscous drink prepared by stirring while freezing a pasteurized mix consisting of the ingredients prescribed for ice milk in § 39.15 (relating to ice milk) except that:

(1) It shall contain not less than 3.25% and not more than 6.0% milkfat.

(2) Its content of milk solids not fat shall not be less than 10%.

(3) It may contain a sweetner that has been affirmed as generally recognized as safe or has been approved as a food additive for this use by the FDA in place of, or in combination with, nutritive carbohydrate sweetners.

(b) Freezer-made lowfat milk shake means the same product as that described in subsection (a) except that it shall contain at least 0.5% and not more than 2% milkfat.

(c) Other freezer-made shakes including jumbo shake, thick shake, T.V. shake, or any coined or trade name containing the word ‘‘shake’’ shall meet the requirements of subsection (a), except that the minimum percent of milkfat may be less than 3.25%.

(d) ‘‘Shakes’’ not meeting the requirements for ‘‘milk shake’’ shall not be advertised, sold or served as milk shakes.

(e) When any freezer-made milk shake or other freezer made shake is represented for special dietary use by man, it shall be sold only in a container, the label on which shall contain the name of the food, a complete list of ingredients in accordance with 21 CFR 101.4 (relating to food; designation of ingredients) and nutrition information required by 21 CFR 101.9 (relating to nutrition labeling of food).

The provisions of this § 39.31 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242; amended October 9, 1992, effective October 10, 1992, 22 Pa.B. 5019. Immediately preceding text appears at serial page (89866).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.32 Parevine.

(a) Parevine is the food which is prepared by freezing while stirring a pasteurized mix composed of all of the following:

(1) One or more edible vegetable oils or fats.

(2) Protein and carbohydrate food ingredients from other than milk or meat sources.

(3) Nutritive sweeteners other than lactose.

(4) Characterizing ingredients except any containing meat or milk.

(5) Any other safe and suitable ingredient which is not milk or meat or a product or derivative of milk or meat. This product shall not contain any milk, milk product, meat or meat products or any of their derivatives of any kind.

(b) Its fat content shall not be less than 10%, except that when bulky optional characterizing ingredients are used, the fat content may be reduced, as a result of the addition of such ingredients, but shall in no case be less than 8.0%.

(d) The name of the food is parevine.

(e) Parevine may be sold, held or offered for sale by any manufacturer, wholesaler, retailer, or any other seller only in properly labeled factory filled containers, except under paragraphs (1) and (2).

(1) Parevine may be sold from a dispensing freezer. When parevine is sold from a dispensing freezer, a sign or menu board shall be displayed in a location where it can be easily read by customers under normal conditions of sale, stating ‘‘Parevine Served Here.’’ When items containing parevine are listed on a sign or menu board, the statement ‘‘Parevine Served Here’’ shall be included in reasonable proximity to the items containing parevine. The letters in the statement shall be bold face capitals at least as large as the letters used in listing items containing parevine and on a contrasting background. No sign or menu board declaration shall be required if the only method of advising customers on what items are being offered for sale is a menu furnished to the customer. In such a case, the menu shall contain the statement ‘‘Parevine Served Here.’’ The statement shall be in reasonable proximity, and the letters of the statement shall be bold face capitals at least as large as the letters used in listing items containing parevine. Any menu listing parevine or items prepared with parevine shall conform to this paragraph.

(2) Parevine may be dipped from a properly labeled bulk container. If parevine is served in this manner, a sign or menu board shall be displayed where it can be easily read by customers under normal conditions of sale stating ‘‘Parevine Served Here.’’ When items containing parevine are listed on a menu board, the statement ‘‘Parevine Served Here’’ shall be included in reasonable proximity to the items containing parevine. The letters in the statement shall be bold face capitals at least as large as the letters used in listing items containing parevine. No sign or menu board declaration shall be required if the only method of advising customers on what items are being offered for sale is a menu furnished to the customer. In such a case the menu shall contain the statement ‘‘Parevine Served Here.’’ This statement shall be in reasonable proximity to the menu items containing parevine, and the letters on the statement shall be bold face capitals at least as large as the letters used in listing items containing parevine. Any menu listing parevine or items prepared with parevine shall conform to this paragraph.

The provisions of this § 39.32 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (1516).

This section cited in 7 Pa. Code § 39.33 (relating to lowfat parevine).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.33 Lowfat parevine.

(a) Lowfat parevine is a food which meets the requirements of § 39.32 (relating to parevine) except that its fat content shall be not more than 6.0%.

(b) The name of the product is lowfat parevine.

The provisions of this § 39.33 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (1516).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.34 Frozen pudding.

(a) Frozen pudding is a product made from a pasteurized mix, intended to be eaten in the frozen state. The mix may be composed of the following:

(1) Milk and milk products.

(2) Modified or unmodified food starch.

(3) Sweetening agents.

(4) Harmless natural or artificial flavoring.

(5) Harmless natural or artificial color.

(6) Any other safe or suitable functional ingredient approved by the Secretary.

(b) The finished product shall contain the following:

(1) Not less than 5.0% by weight of milk solids not fat.

(2) Not less than 25% total solids.

(d) If not frozen promptly after pasteurization, it shall be cooled to 45°F or lower and maintained there.

(e) The name of the product is frozen pudding.

(f) The label on packages of frozen pudding shall, in addition to all other required information, include a complete list of all ingredients in accordance with 21 CFR 101.4 and 101.22 (relating to food; designation of ingredients and foods; labelling of spices, flavorings, colorings and chemical preservatives).

(g) Frozen pudding may be sold, held or offered for sale by any manufacturer, wholesaler, retailer, or any other seller only in properly labeled factory filled containers, except for the following:

(1) Frozen pudding may be sold from a dispensing freezer. When frozen pudding is sold from a dispensing freezer, a sign or menu board shall be displayed in a location where it can be easily read by customers under normal conditions of sale, stating ‘‘Frozen Pudding Served Here.’’ When items containing frozen pudding are listed on a menu board, the statement ‘‘Frozen Pudding Served Here’’ shall be included in reasonable proximity to the items containing frozen pudding. The letters in the statement shall be bold face capitals at least as large as the letters used in listing items containing frozen pudding and on a contrasting background. A sign or menu board declaration is not required if the only method of advising customers on what items are being offered for sale is a menu furnished to the customer. In such a case the menu shall contain the statement ‘‘Frozen Pudding Served Here.’’ This statement shall be in reasonable proximity to the menu items containing frozen pudding, and the letters on the statement shall be bold face capitals at least as large as the letters used in listing items containing frozen pudding. A menu listing frozen pudding or items prepared with frozen pudding shall conform to this paragraph.

(2) Frozen pudding may be dipped from a properly labeled bulk container. If frozen pudding is served in this manner, a sign or menu board shall be displayed where it can be easily read by customers under normal conditions of sale stating ‘‘Frozen Pudding Served Here.’’ When items containing frozen pudding are listed on a sign or menu board, the statement, ‘‘Frozen Pudding Served Here’’ shall be included in reasonable proximity to the items containing frozen pudding. The letters in the statement shall be bold face capitals at least as large as the letters used in listing items containing frozen pudding. A sign or menu board declaration is not required if the only method of advising customers on what items are being offered for sale is a menu furnished to the customer. In such case the menu shall contain the statement ‘‘Frozen Pudding Served Here.’’ This statement shall be in reasonable proximity to the menu items containing frozen pudding, and the letters on the statement shall be bold face capitals at least as large as the letters used in listing items containing frozen pudding. A menu listing frozen pudding or items prepared with frozen pudding shall conform to this paragraph.

The provisions of this § 39.34 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (1517).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.35 Lo-mel.

(a) Lo-mel is a pure, clean wholesome semi-viscous drink prepared by stirring while freezing a pasteurized mix composed of milk solids not fat, water, and edible fats or oils other than milkfat. It may contain optional sweetening ingredients and any other safe and suitable ingredients approved by the Department.

(b) The content of milk solids not fat shall not be less than 10%.

(c) When lo-mel is sold, a sign or menu board must be prominently and conspicuously displayed where it can be clearly read by customers under normal condition of purchase, stating ‘‘Lo-Mel Served Here,’’ in bold face capitals at least as large as the letters used in listing items containing lo-mel and in contrasting color to the background. A sign or menu board is not required if the only method of advising the customers on what items are being offered for sale is a menu furnished to the customer. In such a case, the menu shall contain the statement ‘‘Lo-Mel Served Here.’’ A menu advertising lo-mel shall conform with this subsection.

(d) When lo-mel is represented for special dietary use by man, it shall be sold in a labeled container. The label shall include the name of the food, a complete list of ingredients in accordance with 21 CFR 101.4 (relating to food; designation of ingredients) and nutrition information as required by 21 CFR 101.9 (relating to nutrition labeling of food).

The provisions of this § 39.35 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (1517).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.38 Generic frozen dessert.

(a) Description. A generic frozen dessert is a food that in its unfrozen form or state, is recognized by consumers by an established common or usual name or in the absence thereof, by an appropriate descriptive term. The unfrozen food becomes a frozen dessert when it is frozen with or without agitation, and when the food, in its frozen form is designed and intended to be consumed in a frozen state. A generic frozen dessert shall be made from safe and suitable ingredients. A generic frozen dessert, whose unfrozen counterpart is subject to a definition and standard of identity, shall comply with that definition and standard of identity, and ingredient provisions, except that safe and suitable ingredients may additionally be used that are necessary in the manufacture of the frozen dessert.

(b) Nomenclature. The name of the frozen dessert shall be ‘‘Frozen

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.39 Nonfat frozen dessert or frozen dairy dessert.

(a) Description. Nonfat frozen desserts and frozen dairy desserts are the foods prepared from the same ingredients and in the same manner prescribed for ice cream in § 39.12 (relating to ice cream and frozen custard). These products shall comply with § 39.12, including the requirements for label statement of optional ingredients, except that:

(1) Sweetening agents and fat substitutes that are ‘‘safe and suitable,’’ as that term is defined by the FDA and published at 21 CFR 103.3(d) (relating to definitions), may be used.

(2) Its content of milk fat is less than 0.5%.

(3) Its content of total milk solids per gallon before the addition of bulky flavors is at least 0.45 pounds.

(4) Caseinates may be added when the content of total milk solids per gallon before the addition of bulky flavors is at least 0.45 pounds.

(5) The quantity of food solids per gallon is at least 1.3 pounds.

(6) The weight per gallon is at least 4 pounds.

(b) Nomenclature. The name of the frozen dessert shall be nonfat frozen dessert or frozen dairy dessert.

(c) Labeling. In addition to meeting the requirements of § 39.4 (relating to contents of labels), the food shall be labeled in accordance with 21 CFR Part 101 (relating to food labeling) and the label shall contain:

(1) A complete list of ingredients, in accordance with 21 CFR 101.4 (relating to food, designation of ingredients).

(2) Nutritional information as described at 21 CFR 101.9 (relating to nutrition labeling of food).

The provisions of this § 39.39 adopted October 9, 1992, effective October 10, 1992, 22 Pa.B. 5019.

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.40 Other standards of identity.

If no comparable frozen dessert standard of identity described in this chapter applies, the frozen dessert standard of identity as adopted or amended by the FDA and published at 21 CFR (relating to food and drugs) applies.

The provisions of this § 39.40 adopted October 9, 1992, effective October 10, 1992, 22 Pa.B. 5019.

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.41 Operation.

Operations where frozen desserts are prepared from an approved mix purchased from a permit holding source and sold only on the premises where manufactured shall comply with 7 Pa. Code Chapter 78 (relating to food establishments).

The provisions of this § 39.41 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial pages (1518) to (1519).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.51 General.

(a) Sinks shall be provided and be of suitable size to accommodate the equipment and utensils to be washed.

(b) Equipment shall be designed, installed, and operated in accordance with the criteria set forth by the National Sanitation Foundation, the Committee for 3-A Sanitary Standards for Dairy Equipment or as otherwise approved by the Department.

(c) Fixtures, furnishings, machinery, apparatus, implements, utensils, receptacles and equipment used to produce, store, keep, handle, distribute or serve frozen desserts shall be maintained, operated and stored in a clean and sanitary manner.

(d) The temperature of the mix may not exceed 45°F.

The provisions of this § 39.51 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (1521).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.52 Intermediate containers.

Intermediate containers such as pails or pouring containers in which mix comes in contact shall be washed, rinsed and sanitized before use.

The provisions of this § 39.52 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (1521).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.53 Mix cans.

Immediately after mix cans are emptied, they shall be washed, rinsed and drained.

The provisions of this § 39.53 adopted June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242.

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.54 Dispensing freezers.

(a) Dispensing freezers shall be rinsed and disassembled after each day’s use. Use of clean-in-place installation approved by the Department is acceptable.

(b) Dispensing freezers shall be washed, rinsed and sanitized before the close of each working day on which they are used.

(d) Dispensing freezers shall be left unassembled or partially assembled with adequate ventilation when not in use.

(e) Dispensing freezers are exempt from subsections (a)—(d) if the following conditions are met:

(1) They are listed under the applicable standards of the National Sanitation Foundation and utilize a heat treatment process which heats all of the frozen dessert ingredients contained therein to a temperature of at least 150°F for at least 30 minutes each day, or they employ another heat treatment process that has been approved by the Department and either the National Sanitation Foundation or the Committee for 3-A Sanitary Standards for Dairy Equipment.

(2) They are disassembled, cleaned and sanitized at intervals of no greater than 14 days.

(3) They contain a lockout mechanism to prevent the dispensing of frozen dessert products if the heat treatment process utilized by the dispensing freezers fails or the dispensing freezer is not disassembled, cleaned and sanitized at intervals of no greater than 14 days.

The provisions of this § 39.54 adopted June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242; amended October 9, 1993, effective October 10, 1993, 23 Pa.B. 5019. Immediately preceding text appears at serial page (137934).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.55 Suggested procedure for cleaning and sanitizing equipment.

The following cleaning procedure is recommended:

(1) Thoroughly rinse equipment used during the operation with lukewarm water.

(2) Completely disassemble and thoroughly scrub every part which comes in contact with the product. Use a suitable brush and a dairy cleanser dissolved in hot, 110—120°F, water.

(3) Rinse washed parts thoroughly with clean hot water and sanitize.

(4) Reassemble and sanitize equipment before use. Effective concentrations and temperatures of suitable agents approved by the Department shall be used for sanitizing.

(5) Prior to use, do not handle any portion of equipment or containers which have been sanitized.

The provisions of this § 39.55 adopted June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242.

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.56 Cleaning lines and equipment.

(a) When the same equipment is used for the processing, pasteurizing and packaging of frozen desserts made with dairy products and frozen desserts made with vegetable fats, oils or proteins, any remaining product shall be completely removed from the lines and equipment. The equipment shall be rinsed with potable water and sanitized before introducing the other product into the lines and equipment.

(b) Equipment and lines shall be sanitized at the end of each day’s operations or before the beginning of the following day’s operations.

The provisions of this § 39.56 adopted June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242.

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.57 Water testing.

(a) Samples for bacteriological testing of individual water supplies shall be taken upon the initial approval of the supply, a frequency of not less than once every 6 months thereafter and when any repair or alteration of the water supply system has been made. Bacteriological examinations shall be conducted in a laboratory acceptable to the Secretary.

(b) Records of water tests shall be kept on file at each frozen dessert plant for at least 1 year.

The provisions of this § 39.57 adopted June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242.

This section cited in 7 Pa. Code § 39.72 (relating to operating from depot required).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.61 Sampling and testing.

(a) The sampling and testing required in this section is the responsibility of the frozen dessert licensee.

(b) Test samples shall be collected by an approved sampler. Sample collection shall be unannounced and shall be randomly scheduled by the laboratory.

(c) Representative samples of each type of product shall be tested at least monthly. In case of new or seasonally produced frozen desserts, bacteriological tests shall be made at least weekly until three samples are analyzed, followed by monthly testing as applicable. Exemption from initial weekly testing of seasonally produced frozen desserts may be granted if reports of the last four analyses during the previous season are on file with the frozen dessert licensee for review by the Department, to determine conformity with § 39.66(1) (relating to penalty for violation of standards).

(d) In the case of nonpermit holders, samples shall be collected from each barrel of each machine. In the case of new or seasonally produced frozen desserts, bacteriological tests shall be made at least weekly until three samples are analyzed, followed by monthly testing as applicable. Exemption from initial weekly testing of seasonally produced frozen desserts may be granted if the reports of the last four analyses during the previous season are on file with the frozen dessert licensee for review by the Department and the last four analyses during the previous season are in compliance with § 39.65 (relating to test standards).

(e) For nonpermit holders with multi-barrel machines, an identification system approved by the Department shall be used to identify the barrels and machines and the individual products.

The provisions of this § 39.61 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242; amended October 9, 1992, effective October 10, 1992, 22 Pa.B. 5019. Immediately preceding text appears at serial page (89872).

This section cited at 7 Pa. Code § 39.63 (relating to monthly laboratory reports).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.62 Filing test results.

The results of required bacteriological and chemical test results shall be kept on file at each frozen dessert plant for at least 1 year. Reports shall be maintained in chronological order on forms approved by the Department, and they shall be available for inspection by the Department.

The provisions of this § 39.62 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial pages (7311) and (3680).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.63 Monthly laboratory reports.

(a) Pennsylvania Approved Dairy Laboratories shall report all required analytical test results to the Department at least weekly.

(b) The approved laboratory shall immediately notify the Department of nonconforming adulteration test results.

(1) Time, date, and temperature of product when collected.

(2) Name of approved sampler.

(3) Identification of the frozen dessert licensee where samples were collected.

(4) Identification of the sample as to the barrel and machine sampled from nonpermit holders as required in § 39.61(e) (relating to sampling and testing).

(5) Required analytical information.

(6) Name of the laboratory performing the work.

(7) Signature of the Pennsylvania Approved Dairy Laboratory Director.

The provisions of this § 39.63 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242; amended October 9, 1992, effective October 10, 1992, 22 Pa.B. 5019. Immediately preceding text appears at serial pages (89872) to (89873).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.64 Copies of test results.

The licensee and those exempt from licensing under section 7(d) of The Frozen Dessert Law (31 P. S. § 417-7(d)) shall be provided with copies of all sample results reported by the Pennsylvania Approved Dairy Laboratory within 10 days of the date of sampling.

The provisions of this § 39.64 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242.

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.65 Test standards.

(a) Standard plate count. The count may not exceed 50,000 per gram. Cultured products are exempt from this requirement.

(b) Coliform group count. The count may not exceed 10 per gram except in products to which fruit, nuts or bulky flavor is added after pasteurization when the count may not exceed 20 per gram.

The provisions of this § 39.65 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242; amended October 9, 1992, effective October 10, 1992, 22 Pa.B. 5019. Immediately preceding text appears at serial page (89873).

This section cited at 7 Pa. Code § 39.61 (relating to sampling and testing).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.66 Penalty for violation of standards.

Frozen dessert licensees and those exempt from licensing shall be liable for punitive action under section 10 of The Frozen Dessert Law (31 P. S. § 417-10) for the following reasons:

(1) If the standard for the same flavor of the same type product is exceeded by three out of the last five bacteria counts or coliform determinations.

(2) In the case of nonpermit holders, if the standard for the same barrel of the same machine is exceeded by three out of the last five bacteria counts or coliform determinations.

(3) If The Frozen Dessert Law (31 P. S. § § 417-1—417-14) or this chapter are violated.

The provisions of this § 39.66 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242; amended October 9, 1992, effective October 10, 1992, 22 Pa.B. 5019. Immediately preceding text appears at serial page (89873).

This section cited in 7 Pa. Code § 39.61 (relating to sampling and examination).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.71 Minimum standards.

Mobile units shall comply with this chapter except that the absence of toilet facilities on units shall be permitted. Mobile units shall comply with this section.

(1) Water supply. A potable water supply shall be provided and kept in a supply tank having a capacity of at least 20 gallons. The tank shall be installed to permit complete drainage, and a suitable drain cock shall be provided. The water inlet pipe shall be of removable flexible copper or other approved tubing, with the nozzle for hose connection capped when not being used. A hose for connection to the potable water supply shall be provided, and it shall be equipped with an approved backflow prevention device.

(2) Personnel sanitation. A hand wash sink, with running hot and cold water, soap and single service or individual towels or mechanical hand dryer shall be provided.

(3) Waste-water tank. A suitable waste-water tank with a capacity of at least 5 gallons greater than the water supply tanks shall be provided. The tank shall be installed to permit complete drainage and shall be provided with a suitable drain, emptied and flushed as often as necessary, and shall be maintained in a sanitary condition.

(4) Refrigeration. A refrigerated box capable of maintaining a temperature not exceeding 45°F shall be provided for holding the various ingredients or frozen desserts mix. The box shall be of ample capacity and of stainless steel or other non-corrosive material. It shall be provided with metal racks or platforms or shelves on which to store products or ingredients and shall be equipped with an indicating thermometer.

(5) Partition. There shall be a partition or self-closing doors between the driver’s seat and the manufacturing and serving area, unless an air conditioner is operating.

(6) Sticker. In addition to the licensing requirements of section 7 of The Frozen Dessert Law (31 P. S. § 417-7), each mobile unit shall bear a sticker that contains the Pennsylvania Frozen Dessert License number. This sticker shall be provided by the Department and shall be placed on the serving window of the mobile unit.

(7) Return to depot. Mobile units that do not return to a depot each evening shall be equipped with hot and cold water and a sink large enough to accommodate the largest piece of equipment to be cleaned.

The provisions of this § 39.71 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7312).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

7 Pa. Code § 39.72 Operating from depot required.

(a) All mobile units, except those operated exclusively at fairs, outings, carnivals and other affairs of short duration, shall operate from depots. The depots shall be large enough to accommodate one or more mobile units for cleaning and sanitizing.

(b) Units shall return to their respective depots at least once a day for cleaning and sanitizing.

(1) Walls. Walls shall be reasonably smooth and clean. There shall be no openings in the walls or at the base of doors where vermin or rodents may enter.

(2) Floors. The floors shall be constructed of impervious materials and shall be provided with a drain and sloped to the drain. The juncture of the floor and walls shall be coved.

(3) Ventilation. Adequate ventilation facilities shall be provided and shall be screened or otherwise protected to prevent the entrance of flies, other insects, vermin or rodents.

(4) Personnel sanitation. Suitable toilet facilities, hand washing facilities equipped with hot and cold running water, soap, single service towels or air dryers, clothes lockers and garbage cans shall be provided.

(5) Sink. A sink large enough to accommodate the largest piece of equipment to be washed, drain boards of impervious material and a sufficient supply of hot and cold running water shall be provided.

(6) Lighting. Adequate lighting shall be provided.

(7) Hoses. Hoses shall be equipped with a backflow prevention device to eliminate possible contamination from return flow, and hoses shall be stored to permit complete drainage and to avoid contamination.

(8) Drying rack. A metal pipe drying rack or its equivalent for drying utensils and equipment shall be provided.

(9) Storage of wastes. Suitable covered storage facilities or containers for all refuse and waste shall be provided. Refuse and waste shall be removed daily from each depot.

(10) Separation of areas. A physical separation between the area where the trucks are located and the area where food is stored shall be required.

(11) Storage of food. If frozen desserts, frozen desserts mix, flavors, syrups, fruit and other edible materials are stored at a depot, they shall be stored in rooms completely separated from rooms where cleaning and sanitizing are done. Food materials shall be kept at temperatures necessary to prevent spoilage and under conditions which will prevent contamination.

(12) Water supply. Depots shall be equipped with an adequate supply of potable, hot and cold water.

(13) Depots. Depots shall comply with § 39.57 (relating to water testing).

The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

History

Authority: The provisions of this Chapter 39 issued under section 9 of The Frozen Dessert Law (31 P.S. § 417-9), unless otherwise noted.
Source: The provisions of this § 39.72 adopted March 25, 1970; amended June 29, 1984, effective June 30, 1984, 14 Pa.B. 2242. Immediately preceding text appears at serial page (7313).

Subpart C Miscellaneous Provisions

Chapter 71 Commercial Feed

7 Pa. Code § 71.1 General provisions.

(a) The names and definitions for commercial feeds shall be those contained in the Official Definition of Feed Ingredients adopted by the Association of American Feed Control Officials, unless in specific cases the Secretary designates otherwise.

(b) The terms used in reference to commercial feeds shall be those contained in the Official Feed Terms adopted by the Association of American Feed Control Officials, unless in specific cases, the Secretary designates otherwise.

(c) The following commodities are excluded from the definition of commercial feed, under the provisions of section 3(4) of the act (3 P. S. 58.3(4)); hay, straw, stover, silages, cobs, husks, and hulls, when unground and not mixed with other materials.

History

Authority: The provisions of this Chapter 71 issued under section 10 of the Pennsylvania Commercial Feed Law of 1966 (3 P. S. § 58.10) (Repealed), unless otherwise noted.
Source: The provisions of this Chapter 71 amended June 17, 1972, 2 Pa.B. 1039. Immediately preceding text appears at serial pages (1661) to (1666).

7 Pa. Code § 71.2 Definitions.

The following words and terms, when used in this Chapter, shall have the following meanings, unless the context clearly indicates otherwise: Act—The Pennsylvania Commercial Feed Law (3 P. S. § § 58.1—58.16) (Repealed). Prohibited weed seeds—The seeds of perennial weeds such as not only reproduce by seed but also spread by underground roots, stems, and other reproductive parts, and which, when well established, are highly destructive and difficult to control in this Commonwealth ordinary good cultural practice. Restricted weed seed—The seeds of such weeds as are very objectionable in fields, lawns, and gardens of this Commonwealth, but can be controlled by good cultural practices. Secretary—The Secretary of Agriculture of the Commonwealth.

History

Authority: The provisions of this Chapter 71 issued under section 10 of the Pennsylvania Commercial Feed Law of 1966 (3 P. S. § 58.10) (Repealed), unless otherwise noted.
Source: The provisions of this Chapter 71 amended June 17, 1972, 2 Pa.B. 1039. Immediately preceding text appears at serial pages (1661) to (1666).

7 Pa. Code § 71.3 Label format.

(a) Commercial feeds shall be labeled with the information prescribed in this Chapter on the principal display panel of the product and in the following format:

(1) Net weight.

(2) Product name and any brand name.

(3) Drug labeling information.

(4) Guaranteed analysis of the feed.

(5) Feed ingredients, collective terms for the grouping of feed ingredients, or appropriate statements under the provisions of section 5(a)(4) of the act (3 P. S. § 58.5(a)(4)).

(6) Name and principal mailing address of the manufacturer or person responsible for distributing the feed. The principal mailing address shall include the street address, city, state and ZIP code; however, the street address may be omitted if it is shown in the current city directory or telephone directory.

(7) Directions for use and precautionary statements.

(b) The directions for use and precautionary statements required by subsection (a)(7) may appear on a portion of the label other than the principal display panel if the principal display panel contains an appropriate reference to the location of such directions for use and precautionary statements.

History

Authority: The provisions of this Chapter 71 issued under section 10 of the Pennsylvania Commercial Feed Law of 1966 (3 P. S. § 58.10) (Repealed), unless otherwise noted.
Source: The provisions of this Chapter 71 amended June 17, 1972, 2 Pa.B. 1039. Immediately preceding text appears at serial pages (1661) to (1666).

7 Pa. Code § 71.4 Drug labeling.

If drugs are contained in the feed, all of the following information shall appear on the principal display panel of the product:

(1) The word ‘‘medicated’’ directly following and below the product name in type size no smaller than 1/2 the type size of the product name.

(2) The purpose of the medication (claim statement).

(3) An active drug ingredient statement listing the active drug ingredients by their established name and the amounts in accordance with the requirements of § 71.5(g) (relating to guaranteed analysis requirements).

History

Authority: The provisions of this Chapter 71 issued under section 10 of the Pennsylvania Commercial Feed Law of 1966 (3 P. S. § 58.10) (Repealed), unless otherwise noted.
Source: The provisions of this Chapter 71 amended June 17, 1972, 2 Pa.B. 1039. Immediately preceding text appears at serial pages (1661) to (1666).

7 Pa. Code § 71.5 Guaranteed analysis requirements.

(a) All of the following items of information shall be stated in the guaranteed analysis, in the order listed, subject to the exemptions contained in subsection (b) of this section:

(1) Minimum percentage of crude protein.

(2) Maximum percentage of equivalent protein from nonprotein nitrogen.

(3) Minimum percentage of crude fat.

(4) Maximum percentage of crude fiber.

(5) Minerals, to include, in the following order:

(i) Minimum and maximum percentage of calcium (Ca).

(ii) Minimum percentage of phosphorus (P).

(iii) Minimum and maximum percentage of salt (NaCl).

(iv) Other minerals.

(6) Vitamins, in accordance with the provisions of subsection (e).

(7) Total sugars as invert in dried molasses products or products being sold primarily for their molasses content.

(b) The following shall constitute exemptions from the guaranteed analysis requirements set forth in subsection (a) of this section:

(1) Guarantees for minerals are not required when there are no specific label claims and when the commercial weed contains less than 6.5% of mineral elements.

(2) Guarantees for vitamins are not required when the commercial feed is neither formulated for nor represented in any manner as a vitamin supplement.

(3) Guarantees for crude protein, crude fat, and crude fiber are not required when the commercial feed is intended for purposes other than to furnish these substances or they are of minor significance relating to the primary purpose of the product, such as drug premixes, mineral or vitamin supplements, and molasses.

(c) The guaranteed analyses for crude protein, equivalent protein from nonprotein nitrogen, crude fat, crude fiber and minerals (when required) will be expressed in terms of percentage by weight.

(d) Commercial feeds containing 6.5% or more mineral elements shall include in the guaranteed analysis the minimum and maximum percentage of calcium (Ca), the minimum percentage of phosphorus (P), and, if salt is added, the minimum and maximum percentage of salt (NaCl). Minerals, except salt (NaCl), shall be guaranteed in terms of percentage of the element. When calcium or salt guarantees, or both, are given in the guaranteed analysis, such guarantees shall conform to the following requirements:

(1) When the minimum is 5.0% or less, the maximum shall not exceed the minimum by more than 20% and in no case shall the maximum exceed the minimum by more than five percentage points.

(2) When the minimum is above 5.0% the maximum shall not exceed the minimum by more than 20% and in no case shall the maximum exceed the minimum by more than five percentage points.

(e) Guarantees for minimum vitamin content of commercial feeds and feed supplements, when made, shall be stated on the label in milligrams per pound of feed supplements, when made, shall be stated on the label in milligrams per pound of feed, except that:

(1) Vitamin A, other than precursors of vitamin A, shall be stated in U.S.P. units per pound.

(2) Vitamin D, in products offered for poultry feeding, shall be stated in international chick units per pound.

(3) Vitamin D for other uses shall be stated in U.S.P. units per pound.

(4) Vitamin E shall be stated in International or U.S.P. units per pound.

(5) Oils and premixes containing vitamin A or vitamin D, or both may be labeled to show vitamin content in terms of units per gram.

(f) Guarantees for vitamin content on the label of a commercial feed shall state the guarantee as true vitamins, not compounds, with the exception of the compounds, pyridoxine hydrochloride, choline, choloride, thiamine, and d-pantothenic acid.

(g) Guarantees for drugs shall be stated in terms of percent by weight except:

(1) Antibiotics present at less than 2,000 grams per ton (total) of commercial feed.

(2) Antibiotics present at more than 2,000 grams per ton (total) of commercial feed.

(3) Labels for commercial feeds containing growth promotion and feed efficiency levels of antibiotics, which are to be fed continuously as the sole ration, are not required to make quantitative guarantees except as specifically noted in the Federal Food Additive Regulations, 30 FR 15845, 21 CFR Part 121, Subpart C, for certain antibiotics, wherein quantitative guarantees are required regardless of the level or purpose of the antibiotic.

(4) The term ‘‘milligrams per pound’’ may be used for drugs or antibiotics in those cases where a dosage is given in ‘‘milligrams’’ in the feeding directions.

(h) Commercial feeds containing any added nonprotein nitrogen shall be labeled as follows:

(1) Complete feeds, supplements and concentrates containing added nonprotein nitrogen and containing more than 5.0% protein from natural sources shall be guaranteed as follows:

‘‘Crude Protein, minimum

History

Authority: The provisions of this Chapter 71 issued under section 10 of the Pennsylvania Commercial Feed Law of 1966 (3 P. S. § 58.10) (Repealed), unless otherwise noted.
Source: The provisions of this Chapter 71 amended June 17, 1972, 2 Pa.B. 1039. Immediately preceding text appears at serial pages (1661) to (1666).

7 Pa. Code § 71.6 Ingredient listing requirements.

(a) The name of each ingredient shall be as defined in the Official Definitions of Feed Ingredients published in the current Official Publication of the Association of American Feed Control Officials, the common or usual name or a name approved by the Secretary.

(b) Collective terms for the grouping of feed ingredients, as defined in the Official Definitions of Feed Ingredients published in the current Official Publication of the Association of American Feed Control Officials, may be used in lieu of the individual ingredients.

(c) When a collective term for a group of ingredients is used on the label, individual ingredients within that group shall not be listed on the label.

(d) The manufacturer shall provide the Secretary, upon request, with a listing of individual ingredients, within a defined group of feed ingredients that are or have been used at manufacturing facilities distributing in or into this State.

(e) The name of each ingredient must be shown in letters or type of the same size.

(f) No reference to quality or grade of an ingredient shall appear in the ingredient statement of a feed.

(g) The term ‘‘dehydrated’’ shall precede the name of any product that has been artificially dried.

(h) A single ingredient product, as contained in the current listing of the Association of American Feed Control Officials, is not required to have an ingredient statement.

(i) Tentative definitions for ingredients shall not be used until adopted as official unless no official definition exists or the ingredient has a common accepted name that requires no definition for example, sugar.

(j) When the word ‘‘iodized’’ is used in connection with a feed ingredient, the feed ingredient shall contain not less than 0.007% iodine (I), uniformly distributed.

History

Authority: The provisions of this Chapter 71 issued under section 10 of the Pennsylvania Commercial Feed Law of 1966 (3 P. S. § 58.10) (Repealed), unless otherwise noted.
Source: The provisions of this Chapter 71 amended June 17, 1972, 2 Pa.B. 1039. Immediately preceding text appears at serial pages (1661) to (1666).

7 Pa. Code § 71.7 Nonprotein nitrogen.

(a) Urea and other nonprotein nitrogen products defined in the Official Publication of the Association of American Feed Control Officials are acceptable ingredients only in commercial feeds for ruminant animals as a source of equivalent crude protein and are not to be used in commercial feeds for other animals and birds.

(b) If the commercial feed contains more than 8.75% of the equivalent crude protein from all forms of nonprotein nitrogen added as such, or the equivalent crude protein from all forms of nonprotein nitrogen added as such exceeds 1/3 of the total crude protein, the label shall bear adequate directions for the safe use of feeds and the following precautionary statement:

The directions for use and the caution statement shall be in type of such size and be so placed on the label that they will be read and understood by ordinary persons under customary conditions of purchase and use.

(c) On labels such as those for medicated feeds which bear adequate feeding directions or warning statements, or both the presence of added nonprotein nitrogen shall not require a duplication of the feeding directions or the precautionary statements provided those statements include sufficient in those statements include sufficient information to ensure the safe and effective use of this product due to the presence of nonprotein nitrogen.

This section cited in 7 Pa. Code § 71.11 (relating to directions for use and precautionary statements).

History

Authority: The provisions of this Chapter 71 issued under section 10 of the Pennsylvania Commercial Feed Law of 1966 (3 P. S. § 58.10) (Repealed), unless otherwise noted.
Source: The provisions of this Chapter 71 amended June 17, 1972, 2 Pa.B. 1039. Immediately preceding text appears at serial pages (1661) to (1666).

7 Pa. Code § 71.8 Drug and feed additives.

(a) Prior to approval of a facility registration for commercial feed which contains additives, including drugs, other special purpose additives or nonnutritive additives, the distributor may be required to submit evidence to prove the safety and efficacy of the commercial feed when used according to the directions furnished on the label.

(b) Satisfactory evidence of safety and efficacy of a commercial feed may consist of either of the following:

(1) When the commercial feed contains such additives, the use of which conforms to the requirements of the applicable regulation in Title 21 of the Code of Federal Regulations, or which are ‘‘prior sanctioned’’ or ‘‘generally recognized as safe’’ for such use.

(2) When the commercial feed is itself a drug as defined in section 3(16) of the act (3 P. S. § 58.3(16)) and is generally recognized as safe and effective for the labeled use or is marketed subject to an application approved by the United States Food and Drug Administration under the Federal Food, Drug and Cosmetic Act, section 302, 76 Stat. 794, 21 U.S.C.A. § 360(b).

History

Authority: The provisions of this Chapter 71 issued under section 10 of the Pennsylvania Commercial Feed Law of 1966 (3 P. S. § 58.10) (Repealed), unless otherwise noted.
Source: The provisions of this Chapter 71 amended June 17, 1972, 2 Pa.B. 1039. Immediately preceding text appears at serial pages (1661) to (1666).

7 Pa. Code § 71.9 Adulterants.

(a) For the purpose of section 7(1) of the act (3 P. S. § 58.7(1)), poisonous and deleterious ingredients include, but are not limited to, the following:

(1) Fluorine and any mineral or mineral mixture which is to be used directly for the feeding of domestic animals and in which the fluorine exceeds the following amounts:

(i) 0.30% for cattle.

(ii) 0.35% for sheep.

(iii) 0.45% for swine.

(iv) 0.60% for poultry.

(2) Fluorine-bearing ingredients when used in such amounts that they raise the fluorine content of the total ration above the following amounts:

(i) 0.009% for cattle.

(ii) 0.01% for sheep.

(iii) 0.014% for swine.

(iv) 0.035% for poultry.

(3) Soybean meal, flakes, or pellets or other vegetable meals, flakes or pellets which have been extracted with trichlorethylene or other chlorinated solvents.

(4) Sulfur dioxide, sulfurous acid and salts of sulfurous acid when used in or on feeds or feed ingredients which are deemed to be a significant source of vitamin B1 (Thiamine).

(b) All screenings or byproducts of grains and seeds containing weed seeds, when used in commercial feed or sold as such to the ultimate consumer, shall be ground fine enough or otherwise treated to destroy the viability of such weed seeds so that the finished product contains no more than ten viable prohibited weed seeds per pound and not more than 100 viable restricted weed seeds per pound.

History

Authority: The provisions of this Chapter 71 issued under section 10 of the Pennsylvania Commercial Feed Law of 1966 (3 P. S. § 58.10) (Repealed), unless otherwise noted.
Source: The provisions of this Chapter 71 amended June 17, 1972, 2 Pa.B. 1039. Immediately preceding text appears at serial pages (1661) to (1666).

7 Pa. Code § 71.10 Brand and product names.

(a) The brand or product name shall be appropriate for the intended use of the feed and shall not be misleading. If the name indicates the feed is made for a specific use, the character of the feed shall conform therewith.

(b) Commercial, registered brand or trade names are not permitted in guarantees or ingredient listings.

(c) The name of a commercial feed shall not be derived from one or more ingredients of a mixture to the exclusion of other ingredients and shall not be one representing any components of a mixture unless all components are included in the name. If any ingredient or combination of ingredients is intended to impart a distinctive characteristic to the product which is of significance to the purchaser, the name of that ingredient or combination of ingredients may be used as a part of the brand name or product name if the ingredient or combination of ingredients is quantitatively guaranteed in the guaranteed analysis, and the brand or product name is not otherwise false or misleading.

(d) The word ‘‘protein’’ shall not be included in the product name of a feed that contains added nonprotein nitrogen.

(e) When the name carries a percentage value it shall be understood to signify protein and equivalent protein content only, even though it may not explicitly modify the percentage with the word ‘‘protein.’’ Other percentage values may be permitted if they are followed by the proper description and conform to good labeling practice. When a figure is used in the brand name (except in mineral, vitamin, or other products where the protein guarantee is nil or unimportant), it shall be preceded by the word ‘‘number’’ or some other suitable designation.

(f) Single ingredient feeds shall have a product name in accordance with the designated definition of feed ingredients as recognized by the Association of American Feed Control Officials unless the Secretary designates otherwise.

(g) The word ‘‘vitamin,’’ or a contraction thereof, or any word suggesting vitamin, may be used only in the name of a feed which is represented to be a vitamin supplement, and which is labeled with the minimum content of each vitamin declared as specified in § 71.5 (relating to guaranteed analysis requirements).

(h) The term ‘‘mineralized’’ shall not be used in the name of a feed, except in the phrase ‘‘Trace Mineralized Salt.’’ When so used, the product shall contain significant amounts of trace minerals which are recognized as essential for animal nutrition.

(i) The term ‘‘meat’’ and ‘‘meat byproducts’’ shall be used only if the meat and meat byproducts are from cattle, swine, sheep and goats.

History

Authority: The provisions of this Chapter 71 issued under section 10 of the Pennsylvania Commercial Feed Law of 1966 (3 P. S. § 58.10) (Repealed), unless otherwise noted.
Source: The provisions of this Chapter 71 amended June 17, 1972, 2 Pa.B. 1039. Immediately preceding text appears at serial pages (1661) to (1666).

7 Pa. Code § 71.11 Directions for use and precautionary statements.

(a) Directions for use and precautionary statements on the labeling of all commercial feeds and customer-formula feeds containing additives including drugs, special purpose additives or nonnutritive additives shall:

(1) be adequate to permit safe and effective use for the intended purposes by users with no special knowledge of the purpose and use of such articles; and

(2) include all information prescribed by 11 applicable regulations adopted under the Federal Food, Drug, and Cosmetic Act of 1938, ch. 675, 52 Stat. 1040, 21 U.S.C.A. § 321, as amended.

(b) Adequate directions for use and precautionary statements are required for feeds containing nonprotein nitrogen as specified in § 71.7 (relating to nonprotein nitrogen).

(c) Adequate directions for use and precautionary statements necessary for safe and effective use are required on commercial feeds distributed to supply particular dietary needs or for supplementing or fortifying the usual diet or ration with any vitamin, mineral or other dietary nutrient or compound.

History

Authority: The provisions of this Chapter 71 issued under section 10 of the Pennsylvania Commercial Feed Law of 1966 (3 P. S. § 58.10) (Repealed), unless otherwise noted.
Source: The provisions of this Chapter 71 amended June 17, 1972, 2 Pa.B. 1039. Immediately preceding text appears at serial pages (1661) to (1666).

7 Pa. Code § 71.12 Good manufacturing practices.

For the purpose of enforcement of the act, the Federal regulations relating to the production of medicated feeds, 30 FR 6475, 21 CFR 133.100—110 and relating to medicated premixes, 32 FR 15109, 21 CFR 133.200—210, are adopted as standards of good manufacturing practices.

History

Authority: The provisions of this Chapter 71 issued under section 10 of the Pennsylvania Commercial Feed Law of 1966 (3 P. S. § 58.10) (Repealed), unless otherwise noted.
Source: The provisions of this Chapter 71 amended June 17, 1972, 2 Pa.B. 1039. Immediately preceding text appears at serial pages (1661) to (1666).

Chapter 72 Pet Food

7 Pa. Code § 72.1 Definitions.

The following words and terms, when used in this Chapter, shall have the following meanings, unless the context clearly indicates otherwise: Act—The Pennsylvania Commercial Feed Law of 1966 (3 P. S. § § 58.1—58.16) (Repealed). Immediate container—The unit, can, box, tin, bag or other receptacle or covering in which a pet food is displayed for sale at retail. Ingredient statement—A complete listing on the label of the ingredients of which the pet food is composed. Principal display panel—That part of a label on an immediate container that is most likely to be displayed or examined under normal and customary conditions of display for sale at retail.

History

Authority: The provisions of this Chapter 72 issued under the Pennsylvania Commercial Feed Law of 1966 (3 P. S. § § 58.1—58.16) (Repealed), unless otherwise noted.
Source: The provisions of this Chapter 72 adopted June 29, 1972, 2 Pa.B. 1330, unless otherwise noted.

7 Pa. Code § 72.2 Label format.

(a) The following information shall be shown on the principal display panel:

(1) Statement of net content.

(2) Product name.

(3) The words ‘‘Dog Food,’’ ‘‘Cat Food’’ or similar designations.

(b) The following information shall be shown either on the principal display panel or elsewhere on the label and shall be sufficiently conspicuous as to render it easily read by the average purchaser under ordinary conditions of sale:

(1) Guaranteed analysis.

(2) Ingredients list.

(3) Listing of artificial color, drugs, and other additives, if any.

(4) Directions for use, if a limited purpose food.

(5) Name and address of the manufacturer, packer or distributor.

History

Authority: The provisions of this Chapter 72 issued under the Pennsylvania Commercial Feed Law of 1966 (3 P. S. § § 58.1—58.16) (Repealed), unless otherwise noted.
Source: The provisions of this Chapter 72 adopted June 29, 1972, 2 Pa.B. 1330, unless otherwise noted.

7 Pa. Code § 72.3 Statement of net content.

The declaration of net content shall be made in conformity with the Fair Packaging and Labeling Act (15 U.S.C.A. § 1451 et seq.).

History

Authority: The provisions of this Chapter 72 issued under the Pennsylvania Commercial Feed Law of 1966 (3 P. S. § § 58.1—58.16) (Repealed), unless otherwise noted.
Source: The provisions of this Chapter 72 adopted June 29, 1972, 2 Pa.B. 1330, unless otherwise noted.

7 Pa. Code § 72.4 Guaranteed analysis.

(a) The guaranteed analysis shall be stated in the following order:

(1) Crude protein (minimum).

(2) Crude fat (minimum).

(3) Crude fiber (maximum).

(4) Moisture (maximum).

(5) Any additional guarantees.

(b) The sliding scale method of expressing a guaranteed analysis, such as ‘‘protein 15-18%,’’ is prohibited.

(c) The label of a pet food which is formulated as, and represented to be, a mineral supplement shall include a guarantee of all the minerals contained in the ingredient statement.

(d) Pet foods containing 5.0% or more mineral ingredients shall include in the guaranteed analysis the minimum and maximum percentage of calcium (Ca) and salt (NaCl) and the minimum percentage of any added phosphorus (P) and iodine (I). Minerals (except salt NaCl) shall be stated in terms of percentage of the element when quantitatively guaranteed.

(e) The label of a pet food which is formulated as, and represented to be, a vitamin supplement shall include a guarantee of the minimum content of each vitamin contained in the ingredient statement.

(f) Vitamin guarantees shall be stated in units or milligrams per pound or parts per million, with the following exceptions:

(1) Vitamin E shall be stated in U.S.P. or International units.

(2) Vitamin A, other than percursors of vitamin A, shall be stated in U.S.P. units.

(3) The compounds pyridoxine hydrochloride, choline chloride and thiamine need not be stated in true vitamin units.

(g) Oils and concentrates containing vitamin A or vitamin D or both may be additionally labeled to show vitamin contents in units per gram.

(h) The term ‘‘d-pantothenic acid’’ may be used in stating the pantothenic acid guarantee.

(i) The vitamin potency of pet foods distributed in container smaller than one pound may be guaranteed in approved units per ounce.

(j) If the label of a pet food does not represent the product to be either a vitamin or a mineral supplement, but does include a table of comparison of a typical analysis of the vitamin, mineral or nutrient content of the product with levels recommended by a recognized animal nutrition authority, such comparison may be stated in the units of measurement used by such recognized authroity. The statement, in a table of comparison, of the vitamin, mineral or nutrient content shall constitute a guarantee and need not be repeated in the guaranteed analysis.

History

Authority: The provisions of this Chapter 72 issued under the Pennsylvania Commercial Feed Law of 1966 (3 P. S. § § 58.1—58.16) (Repealed), unless otherwise noted.
Source: The provisions of this Chapter 72 adopted June 29, 1972, 2 Pa.B. 1330, unless otherwise noted.

7 Pa. Code § 72.5 Ingredients statement.

(a) Each ingredient of the pet food shall be listed in the ingredient statement in descending order of predominance by weight and names of all ingredients in the ingredient statement shall be shown in letters or type of the same size. Any ingredient for which the Association of American Feed Control Officials has established a name and definition shall be identified by by the name so established. Any ingredient for which no name and definition has been so established shall be identified by the common or usual name of the ingredient. Brand or trade names shall not be used in the ingredient statement.

(b) The term ‘‘dehydrated’’ shall precede the name of any ingredient in the ingredient list that has been artificially dried.

(c) No reference to quality or grade of an ingredient shall appear in the ingredient statement of a pet food product label.

History

Authority: The provisions of this Chapter 72 issued under the Pennsylvania Commercial Feed Law of 1966 (3 P. S. § § 58.1—58.16) (Repealed), unless otherwise noted.
Source: The provisions of this Chapter 72 adopted June 29, 1972, 2 Pa.B. 1330, unless otherwise noted.

7 Pa. Code § 72.6 Brand and product names.

(a) No flavor designation shall be used on a pet food label unless the designated flavor is detectable by a recognized test method, or is one the presence of which provides a characteristic distinguishable by the pet. Any flavor designation on a pet food label must either conform to the name of its source as shown in the ingredient statement or the ingredient statement shall show the source of the flavor. Distributors of pet food employing such flavor designation or claims on the labels of the product distributed by them shall, upon request, supply verification of the designated or claimed flavor to the Secretary.

(b) The designation ‘‘100%’’ or ‘‘All’’ or words of similar connotation shall not be used in the brand or product name of a pet food if it contains more than one ingredient. Water sufficient for processing, required decharacterizing agents, and trace amounts or preservatives and condiments shall not be considered ingredients for the purpose of this subsection.

(c) The terms ‘‘meat’’ and ‘‘meat byproducts’’ shall be used on a pet food label only if the meat and meat byproducts are from cattle, swine, sheep and goats.

(d) The name of the pet food shall not be derived from one or more ingredients of a mixture to the exclusion of other ingredients and may not be one representing any components of a mixture of a pet food product unless all components or ingredients are included in the name except as specified in subsection (a), (e) or (f). If any ingredient or combination of ingredients is intended to impart a distinctive characteristic to the product which is significant to the purchaser, the name of the ingredient or combination of ingredients may be used as a part of the name of the pet food provided the following conditions exist:

(1) The ingredient or combination of ingredients is present in sufficient quantity to impart a distinctive characteristic to the product.

(2) It does not constitute a representation that the ingredient or combination of ingredients is present to the exclusion of other ingredients.

(3) It is not otherwise false or misleading.

(e) When an ingredient or a combination of ingredients derived from animals poultry or fish constitutes 95% or more of the total weight of all ingredients of a pet food mixture, the name or names of such ingredients may form a part of the product name of the pet food. Where more than one ingredient is part of such product name, then all such ingredient names shall be in the same size, style and color printing.

(f) If an ingredient or a combination of ingredients derived from animals, poultry or fish constitutes at least 25% but less than 95% of the total weight of all ingredients of a pet food mixture, the name or names of such ingredient or ingredients may form a part of the product name of the pet food only if the product name also includes a primary descriptive term, such as ‘‘meatballs’’ or ‘‘fishcakes,’’ so that the product name describes the contents of the product in accordance with an established law, custom or usage or so that the product name is not misleading. All such ingredient names and the primary descriptive term shall be in the same size, style and color printing.

(g) Contractions or coined names referring to ingredients shall not be used in the brand name of a pet food unless it is in compliance with subsection (a), (d), (e) or (f).

History

Authority: The provisions of this Chapter 72 issued under the Pennsylvania Commercial Feed Law of 1966 (3 P. S. § § 58.1—58.16) (Repealed), unless otherwise noted.
Source: The provisions of this Chapter 72 adopted June 29, 1972, 2 Pa.B. 1330, unless otherwise noted.

7 Pa. Code § 72.7 Balanced and complete rations.

(a) The label of a pet food shall not contain an unqualified representation or claim, directly or indirectly, that the pet food therein contained, or a recommended feeding thereof, is or meets the requisites of a complete, perfect, scientific, or balanced ration for dogs or cats unless such product or feeding meets one of the following requisites:

(1) If contains ingredients in quantities sufficient to provide the estimated nutrient requirements for all stages of the life of a dog or cat, as the case may be, which have been established by a recognized authority on animal nutrition, such as the Committee on Animal Nutrition of the National Research Council of the National Academy of Sciences.

(2) It contains a combination of ingredients which when fed to a normal animal as the only source of nourishment will provide satisfactorily for fertility of male and female gestation and lactation, normal growth from weaning to maturity without supplementary feeding, and will maintain the normal weight of an adult animal whether working or at rest and has had its capabilities in this regard demonstrated by adequate testing.

(b) To the extent that the ingredients of the product provide nutrients in amounts which substantially deviate from those nutrient requirements estimated by a recognized authority on animal nutrition, or in the event that no estimation has been made by a recognized authority on animal nutrition of the requirements of animals for one or more states of these animals lives, the represented capabilities of the product in this regard shall have been demonstrated by adequate testing.

History

Authority: The provisions of this Chapter 72 issued under the Pennsylvania Commercial Feed Law of 1966 (3 P. S. § § 58.1—58.16) (Repealed), unless otherwise noted.
Source: The provisions of this Chapter 72 adopted June 29, 1972, 2 Pa.B. 1330, unless otherwise noted.

7 Pa. Code § 72.8 Limited purpose pet foods.

(a) The label of a pet food product which is suitable only for intermittent or supplemental feeding or for some other limited purpose shall either bear a clear and conspicuous disclosure to that effect or contain specific feeding directions which clearly state that the product should be used only in conjunction with other foods.

(b) Labels for products which are compounded for or which are suitable for only a limited purpose may contain representations that the particular pet food product or a recommended feeding thereof is or meets the requisites of a complete, perfect, scientific, or balanced ration for dogs or cats only in conjunction with a statement of the limited purpose for which the product is intended or suitable, for such as ‘‘a complete food for puppies.’’ Such representations and the required qualifications of purpose shall be juxtaposed on the same panel and in the same size, style and color printing.

(c) Qualified representations for limited purpose pet food products may appear on labels only if one of the following conditions exist:

(1) The pet food contains ingredients in quantities sufficient to satisfy the estimated nutrient requirements established by a recognized authority on animal nutrition, such as the Committee on Animal Nutrition of the National Research Council of the National Academy of Sciences for such limited or qualified purpose.

(2) The pet food product contains a combination of ingredients which when fed for such limited purpose will satisfy the nutrient requirements for such limited purpose and has had its capabilities in this regard demonstrated by adequate testing.

History

Authority: The provisions of this Chapter 72 issued under the Pennsylvania Commercial Feed Law of 1966 (3 P. S. § § 58.1—58.16) (Repealed), unless otherwise noted.
Source: The provisions of this Chapter 72 adopted June 29, 1972, 2 Pa.B. 1330, unless otherwise noted.

7 Pa. Code § 72.9 Moisture limitation.

The maximum moisture in all pet foods shall not exceed 78% or the natural moisture content of the constituent ingredients of the product, whichever is greater. Pet foods such as those consisting principally of stew, gravy, sauce, broth or juice which are so labeled, may contain moisture in excess of 78%.

History

Authority: The provisions of this Chapter 72 issued under the Pennsylvania Commercial Feed Law of 1966 (3 P. S. § § 58.1—58.16) (Repealed), unless otherwise noted.
Source: The provisions of this Chapter 72 adopted June 29, 1972, 2 Pa.B. 1330, unless otherwise noted.

7 Pa. Code § 72.10 Drugs and additives.

(a) An artificial color may be used in a pet food only if it has been shown to be harmless to pets. The permanent or provisional listing of an artificial color by the United States Food and Drug Administration at 21 CFR Parts 8 and 9 as safe for use, together with the conditions, limitations and tolerances, if any, incorporated therein, shall be deemed to be satisfactory evidence that the color is, when used, under the regulations, harmless to pets.

(b) Prior to approval of a facility registration for pet foods which contain additives, including drugs, other special purpose additives or nonnutritive additives, the distributor may be required to submit evidence to prove the safety and efficacy of the pet food, when used according to directions furnished on the label. Evidence of the safety and efficacy of a pet food is not required under the following conditions:

(1) The pet food contains additives which conforms to the requirements of Federal standards set forth at 21 CFR 121.101(a)—(h), or which are prior sanctioned or generally recognized as safe for that use.

(2) The pet food itself is a drug as defined in section 3 of the act (3 P. S. § 58.3) and is generally recognized as safe and effective for use or is marketed subject to an application approved by the United States Food and Drug Administration under the provisions of sections 505 and 507 of the Food, Drug and Cosmetic Act of 1938 (21 U.S.C.A. § § 355 and 357).

History

Authority: The provisions of this Chapter 72 issued under the Pennsylvania Commercial Feed Law of 1966 (3 P. S. § § 58.1—58.16) (Repealed), unless otherwise noted.
Source: The provisions of this Chapter 72 adopted June 29, 1972, 2 Pa.B. 1330, unless otherwise noted.

7 Pa. Code § 72.11 Misrepresentations

(a) A vignette, graphic or pictorial representation of a product on a pet food label shall not misrepresent the contents of the package.

(b) The use of the word ‘‘proven’’ in connection with label claims for a pet food is prohibited unless scientific or other empirical evidence establishing the claim is first submitted to the Secretary for review.

(c) No statement may appear upon the label of a pet food which makes false or misleading comparisons between that pet food and another pet food.

(d) Personal or commercial endorsements are permitted on pet food labels where said endorsements are factual and not otherwise misleading.

History

Authority: The provisions of this Chapter 72 issued under the Pennsylvania Commercial Feed Law of 1966 (3 P. S. § § 58.1—58.16) (Repealed), unless otherwise noted.
Source: The provisions of this Chapter 72 adopted June 29, 1972, 2 Pa.B. 1330, unless otherwise noted.

7 Pa. Code § 72.12 Identification of producer

(a) The label of a pet food shall specify the name and address of the manufacturer, packer or distributor of the pet food. The statement of the place of business shall include the street address, if any, of the place unless the street address is shown in a current city directory or telephone directory.

(b) If a person manufactures, packages or distributes a pet food in a place other than his principal place of business, the label may state the principal place of business in lieu of the actual place where each package of the pet food was manufactured or packaged or is to be distributed, if the statement is not misleading in any particular.

History

Authority: The provisions of this Chapter 72 issued under the Pennsylvania Commercial Feed Law of 1966 (3 P. S. § § 58.1—58.16) (Repealed), unless otherwise noted.
Source: The provisions of this Chapter 72 adopted June 29, 1972, 2 Pa.B. 1330, unless otherwise noted.

7 Pa. Code § 72.13 Outer containers or wrappers.

When a pet food is enclosed in an outer container or wrapper which is intended for retail sale, the required label information shall appear on the outside wrapper or container unless all of the required label information is readily legible through apertures or transparencies in the outside container or wrapper.

History

Authority: The provisions of this Chapter 72 issued under the Pennsylvania Commercial Feed Law of 1966 (3 P. S. § § 58.1—58.16) (Repealed), unless otherwise noted.
Source: The provisions of this Chapter 72 adopted June 29, 1972, 2 Pa.B. 1330, unless otherwise noted.

Chapter 73 Fertilizers

7 Pa. Code § 73.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Act—The Pennsylvania Fertilizer, Soil Conditioner and Plant Growth Substance Law (3 P. S. § § 68.1—68.23). Primary plant nutrient—A fertilizer component consisting of nitrogen, phosphorus and potassium compounds. Secondary plant nutrient—A fertilizer nutrient component other than primary plant nutrients.

The provisions of this § 73.1 adopted July 28, 1972, effective July 29, 1972, 2 Pa.B. 1435.

History

Authority: The provisions of this Chapter 73 issued under the Pennsylvania Fertilizer Soil Conditioner and Plant Growth Substance Law (3 P. S. § § 68.1—68.23), unless otherwise noted.
Source: The provisions of this § 73.11 adopted July 28, 1972, effective July 29, 1972, 2 Pa.B. 1435.

7 Pa. Code § 73.2 Fertilizer terms, names and definitions.

(a) The fertilizer terms used shall be those contained in the current edition of the Official Publication of the Association of American Plant Food Control Officials, Inc.

(b) Except as the Secretary designates otherwise in specific cases, the names and definitions for commercial fertilizers shall be those adopted by the Association of American Plant Food Control Officials.

The provisions of this § 73.2 adopted July 28, 1972, effective July 29, 1972, 2 Pa.B. 1435.

History

Authority: The provisions of this Chapter 73 issued under the Pennsylvania Fertilizer Soil Conditioner and Plant Growth Substance Law (3 P. S. § § 68.1—68.23), unless otherwise noted.
Source: The provisions of this § 73.11 adopted July 28, 1972, effective July 29, 1972, 2 Pa.B. 1435.

7 Pa. Code § 73.3 Secondary plant nutrients.

(a) A plant nutrient other than nitrogen, phosphorus and potassium, if mentioned in any form or manner, shall be registered and shall be guaranteed on the elemental basis. Sources of the elements guaranteed and proof of availability shall be submitted to the Secretary upon request.

(b) The minimum percentages of nutrients which will be accepted for registration are shown in the following table:

(c) The guarantee or claim for the plant nutrients listed in subsection (b) and immediately following the guarantees for the primary plant nutrients.

(e) A proposed label and direction for use of the fertilizer shall be furnished with the application for registration.

The provisions of this § 73.3 adopted July 28, 1972, effective July 29, 1972, 2 Pa.B. 1435.

History

Authority: The provisions of this Chapter 73 issued under the Pennsylvania Fertilizer Soil Conditioner and Plant Growth Substance Law (3 P. S. § § 68.1—68.23), unless otherwise noted.
Source: The provisions of this § 73.11 adopted July 28, 1972, effective July 29, 1972, 2 Pa.B. 1435.

7 Pa. Code § 73.4 Warning statements.

(a) A warning statement is required on the label for a product which contains .03% or more of boron in a water-soluble form. The statement shall contain the following:

(1) The word warning in a conspicuous manner.

(2) The crops for which the fertilizer is to be used.

(3) A warning that the use of the fertilizer on crops other than those recommended may result in serious injury to the crops.

(b) Products containing .001% or more of molybdenum require a warning statement on the label. The statement shall contain the following:

(1) The word warning.

(2) A warning that the application of fertilizers containing molybdenum may result in forage crops containing levels of molybdenum which are toxic to grazing animals.

The provisions of this § 73.4 adopted July 28, 1972, effective July 29, 1972, 2 Pa.B. 1435.

History

Authority: The provisions of this Chapter 73 issued under the Pennsylvania Fertilizer Soil Conditioner and Plant Growth Substance Law (3 P. S. § § 68.1—68.23), unless otherwise noted.
Source: The provisions of this § 73.11 adopted July 28, 1972, effective July 29, 1972, 2 Pa.B. 1435.

7 Pa. Code § 73.5 Specialty fertilizer labels.

The following information shall appear in a readable and conspicuous form and shall occupy at least the upper 1/3 of one side of the container:

(1) Net weight.

(2) Brand name.

(3) Grade.

(4) Guaranteed analysis, as follows:

(i) The percentage of total nitrogen.

(ii) The percentage of ammoniacal nitrogen, of claimed.

(iii) The percentage of water-insoluble nitrogen, if claimed or the statement ‘‘organic’’ or ‘‘slow-acting’’ nitrogen on the label.

(iv) The percentage of available phosphoric acid.

(v) The percentage of soluble potash.

(vi) Additional plant nutrients.

(vii) Potential acidity or alkalinity, the percentage or pounds of calcium carbonate equivalent per ton of claimed.

(5) Name and address of registrant.

The provisions of this § 73.5 adopted July 28, 1972, effective July 29, 1972, 2 Pa.B. 1435.

History

Authority: The provisions of this Chapter 73 issued under the Pennsylvania Fertilizer Soil Conditioner and Plant Growth Substance Law (3 P. S. § § 68.1—68.23), unless otherwise noted.
Source: The provisions of this § 73.11 adopted July 28, 1972, effective July 29, 1972, 2 Pa.B. 1435.

7 Pa. Code § 73.6 Slowly available plant nutrients.

(a) No fertilizer label may bear a statement that implies the presence of a slowly available plant nutrient unless the nutrient is identified on the label.

(b) If a fertilizer label implies that nitrogen is slowly available, for example, organic nitrogen, the guaranteed analysis shall indicate the percentage of water-insoluble nitrogen in the material.

(c) If the label states the amount of organic nitrogen present in a phrase such as ‘‘25% of the nitrogen from ureaformaldehyde (Ureaform),’’ the water-insoluble nitrogen guarantee may be not less than 60% of the nitrogen so designated.

(d) If the water-insoluble nitrogen is less than 15% of the total nitrogen, the label may not bear designations such as ‘‘organic,’’ ‘‘ureaform’’ or similar terms.

(e) The phrases ‘‘coated-slow release fertilizer’’ and ‘‘coated-slow releast’’ are acceptable descriptive terms for products for which a testing program has substantiated the claim. Water-insoluble nitrogen shall be guaranteed at 15% of the total nitrogen level for slow release materials.

(f) The Association of Official Analytical Chemists Test Method as prescribed in Methods of Analysis shall be used to substantiate the presence of slow release materials. It is permissible to eliminate grinding during sample preparation.

The provisions of this § 73.6 adopted July 28, 1972, effective July 29, 1972, 2 Pa.B. 1435; amended February 9, 1979, effective February 10, 1979, 9 Pa.B. 498. Immediately preceding text appears at serial page (6734).

History

Authority: The provisions of this Chapter 73 issued under the Pennsylvania Fertilizer Soil Conditioner and Plant Growth Substance Law (3 P. S. § § 68.1—68.23), unless otherwise noted.
Source: The provisions of this § 73.11 adopted July 28, 1972, effective July 29, 1972, 2 Pa.B. 1435.

7 Pa. Code § 73.7 Percentage.

The term ‘‘percentages,’’ by symbol or word if used on a fertilizer label, shall be deemed to represent only the amount of individual plant nutrients or other factors in relation to the total product by weight.

The provisions of this § 73.7 adopted July 28, 1972, effective July 29, 1972, 2 Pa.B. 1435.

History

Authority: The provisions of this Chapter 73 issued under the Pennsylvania Fertilizer Soil Conditioner and Plant Growth Substance Law (3 P. S. § § 68.1—68.23), unless otherwise noted.
Source: The provisions of this § 73.11 adopted July 28, 1972, effective July 29, 1972, 2 Pa.B. 1435.

7 Pa. Code § 73.8 Investigational allowances or tolerances.

(a) A commercial fertilizer shall be deemed deficient if the analysis of any nutrient is below the guarantee by an amount exceeding the values in the following schedule:

(b) For guarantees not listed in the table set forth in subsection (a), the appropriate value shall be calculated by interpolation.

(c) For the investigational allowances listed in subsection (a) to be applicable, the Association of Official Analytical Chemists procedures for obtaining samples, sample preparation and analysis shall be used. The procedures are described in Methods of Analysis, published by the Association of Official Analytical Chemists.

(d) The sampling equipment and procedures shall be those adopted by the Association of Official Analytical Chemists wherever applicable.

(e) The practice of averaging at least two values shall be adhered to. If more than two values are obtained, all significant values shall be averaged. Values carried to two decimals shall be used in applying averages to this table. Values shall be rounded to one place in reporting.

(f) Secondary and micronutrient elements shall be deemed deficient if any element is below the guarantee by an amount exceeding the values in the following table:

(g) The maximum allowance when calculated in accordance with subsection (f) shall be one unit, 1%.

The provisions of this § 73.8 adopted July 28, 1972, effective July 29, 1972, 2 Pa.B. 1435; amended February 9, 1979, effective February 10, 1979, 9 Pa.B. 498. Immediately preceding text appears at serial pages (6734) and (6735).

It was not necessary for the Department to establish where a particular fertilizer deficiency actually occurred but only to establish by substantial evidence that the fertilizer manufactured was deficient in its guaranteed nutrient components. Willard Agri-Service, Inc. v. Department of Agriculture, 554 A.2d 596 (Pa. Cmwlth. 1989).

The procedures adopted by the Association of Official Analytical Chemists (AOAC) and utilized by the Department for obtaining samples, sample preparation and analysis were adequate. Willard Agri-Service, Inc. v. Department of Agriculture, 554 A.2d 596 (Pa. Cmwlth. 1989).

History

Authority: The provisions of this Chapter 73 issued under the Pennsylvania Fertilizer Soil Conditioner and Plant Growth Substance Law (3 P. S. § § 68.1—68.23), unless otherwise noted.
Source: The provisions of this § 73.11 adopted July 28, 1972, effective July 29, 1972, 2 Pa.B. 1435.

7 Pa. Code § 73.9 Computation of townages.

In determining tonnages for payment of the inspection fee, the tonnages of all fillers added to dry fertilizers and of water added to liquid fertilizers shall be included.

The provisions of this § 73.9 adopted July 28, 1972, effective July 29, 1972, 2 Pa.B. 1435.

History

Authority: The provisions of this Chapter 73 issued under the Pennsylvania Fertilizer Soil Conditioner and Plant Growth Substance Law (3 P. S. § § 68.1—68.23), unless otherwise noted.
Source: The provisions of this § 73.11 adopted July 28, 1972, effective July 29, 1972, 2 Pa.B. 1435.

7 Pa. Code § 73.10 Labeling.

No person may distribute in this Commonwealth any type of fertilizer in bulk unless the bulk distribution container is properly labeled with all of the following information:

(1) The name and address of the licensee or registrant.

(2) The name of the product.

(3) The guaranteed analysis showing the precentage of plant food claimed, in the following format:

(i) The percentage of total nitrogen.

(ii) The percentage of a vailable phosphoric acid.

(iii) The percentage of soluble potash.

(iv) The percentage of secondary and micronunutrient elements.

The provisions of this § 73.10 adopted July 28, 1972, effective July 29, 1972, 2 Pa.B. 1435.

History

Authority: The provisions of this Chapter 73 issued under the Pennsylvania Fertilizer Soil Conditioner and Plant Growth Substance Law (3 P. S. § § 68.1—68.23), unless otherwise noted.
Source: The provisions of this § 73.11 adopted July 28, 1972, effective July 29, 1972, 2 Pa.B. 1435.

7 Pa. Code § 73.11 Fertilizer grade.

The fertilizer tonnage reports required under section 11 of the act (3 P. S. § 68.11) shall be rendered in the format specified by Computer Reporting Procedures in the Uniform Fertilizer Tonnage Reporting System, Association of American Plant Food Control Officials, Inc., whether the semiannual reporting system or the invoice reporting system is used. If a licensee does not have electronic data processing equipment, a typewritten or a legibly handwritten report in the prescribed format may be used.

The provisions of this § 73.11 adopted July 28, 1972, effective July 29, 1972, 2 Pa.B. 1435.

History

Authority: The provisions of this Chapter 73 issued under the Pennsylvania Fertilizer Soil Conditioner and Plant Growth Substance Law (3 P. S. § § 68.1—68.23), unless otherwise noted.
Source: The provisions of this § 73.11 adopted July 28, 1972, effective July 29, 1972, 2 Pa.B. 1435.

Chapter 77 Sale and Manufacture of Whey

7 Pa. Code § 77.1 General.

(a) The sale or transfer for animal consumption of whey produced from dried milk products shall only take place from countries declared free of Foot and Mouth Disease (FMD) by the United States Department of Agriculture (USDA).

(b) The discharge onto the surface of the soil of whey produced from dried milk products manufactured in any country not declared free of Foot and Mouth Disease by USDA is prohibited.

History

Source: The provisions of this Chapter 77 adopted June 13, 1975, effective June 14, 1975, 5 Pa.B. 1539, unless otherwise noted.

7 Pa. Code § 77.2 Current list of countries free of Foot and Mouth Disease.

The following countries currently have been declared free of Foot and Mouth Disease by the USDA: Finland, Canada, Mexico, Great Britain, Northern Ireland, Ireland, Norway, Sweden, Japan, Australia, New Zealand, Fiji Islands and all Central American countries.

History

Source: The provisions of this Chapter 77 adopted June 13, 1975, effective June 14, 1975, 5 Pa.B. 1539, unless otherwise noted.

7 Pa. Code § 77.3 Notification.

Milk handlers, upon obtaining dried milk powder manufactured in a country other than on the USDA designated FMD-free list, shall notify the Bureau of Foods and Chemistry, Department of Agriculture immediately.

History

Source: The provisions of this Chapter 77 adopted June 13, 1975, effective June 14, 1975, 5 Pa.B. 1539, unless otherwise noted.

Chapter 82 Seasonal Farm Labor Camps

7 Pa. Code § 82.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Act—The Seasonal Farm Labor Act (43 P. S. § § 1301.101—1301.606). Central kitchen—The area in which a person designated by the employer or farm labor contractor is to be responsible for the preparation, cooking and storage of food for more than their immediate family. Communal kitchen—The area intended for the use of more than one family or person for preparation, cooking and storage of food. Communicable disease—An illness due to a specific infectious agent or its toxic products which arises through transmission of that agent or its products from a reservoir to a susceptible host, either directly as from an infected person or animal or indirectly through an intermediate plant or animal host or vector or the inanimate environment. Department—The Department of Environmental Resources of the Commonwealth, or its designated agent. Domicile—A place of residence at which a person intends to remain for an unlimited time and which the person considers to be the person’s permanent home. Employer—An individual, firm, partnership, association, trust, corporation, receiver or other officer of a court of the Commonwealth and a person or group of persons acting directly or indirectly in the interest of an employer in relation to an employe employing or permitting to work a seasonal farm worker in this Commonwealth. The term includes a farmer, grower, nurseryman or landowner who employs or on whose premises or in whose interest is employed, a seasonal farm worker. Farm labor contractor—A person who, for payment, wages, salary, fees or other consideration, either for himself or on behalf of another person recruits, solicits, hires, furnishes or transports five or more seasonal farm workers (excluding members of his immediate family) in a calendar year for employment in agriculture or in agriculture-related industry. In any case in which a firm, partnership, association, corporation or organization engages in these activities for the purpose of supplying seasonal farm workers solely for its own operation, the term means that officer, official, supervisor or employe most directly responsible for the activity. The term does not include one or more of the following:

(i) A person, firm, partnership, association or corporation which is the holder of a valid and current license under the Employment Agency Law (43 P. S. § § 535—581).

(ii) A nonprofit charitable organization, public or nonprofit private educational institution or similar organization.

(iii) An individual farmer, grower, nurseryman or landowner who engages in the activity for the purpose of supplying seasonal farm workers solely for his own operation, except that an employe of an individual farmer who engages in the activity on the farmer’s behalf shall be considered a ‘‘farm labor contractor’’ for the purposes of the act.

(iv) A person who engages in the activity for the purpose of obtaining seasonal farm workers of a foreign nation for employment in the United States if the employment is subject to one of the following:

(A) An agreement between the United States and the foreign nation.

(B) An arrangement with the government of a foreign nation under which written contracts for the employment of the workers are provided for through the United States by an instrumentality of the foreign nation. Fire and Panic Act—The act of April 27, 1927 (P. L. 465, No. 299) (35 P. S. § § 1221—1235). Four or more unrelated persons—Four or more unrelated individuals who occupy living quarters owned, leased or operated by an employer or a farm labor contractor. Related persons refers only to farm workers and their immediate family members. All other persons shall be considered unrelated. As used in this definition, ‘‘immediate family’’ means a husband, wife, parent, stepparent, child, stepchild, brother, stepbrother, sister or stepsister of the farm worker. The term ‘‘four or more unrelated persons’’ does not include the following: a farmer, grower, nurseryman or landowner, including the owner of a farm corporation or partnership, who owns or controls the land occupied by farm workers and family members of the farmer, grower, nurseryman or landowner. Garbage—Putrescible wastes, except sewage and body waste, including animal and vegetable offal. Habitable room—A room or enclosed floor space used or intended to be used for living, sleeping, cooking or eating purposes, excluding bathrooms, water closet compartments, privies, laundries, pantries, foyers, communication corridors, closets and storage spaces. Hot water—Water heated to a temperature of at least 120°F. Laundry tray—A permanently fixed receptacle to a drain and water supply usually containing double tubs. Laundry tub—A portable container, large enough to use for washing clothes. Living quarters—The aggregate of all dwelling units and domestic housing accommodations on the premises. The term includes sleeping rooms, kitchens, dining and general assembly rooms, and rooms used by seasonal farm workers. The term does not include buildings reserved exclusively for the personal use of the landowner. Mobile home—A transportable, single family dwelling intended for permanent occupancy, office or place of assembly contained in one unit, or in two units designed to be joined into one integral unit capable of later being separated for repeated towing, which arrives at a site complete and ready for occupancy except for minor and incidental unpacking and assembly operations, and constructed so that it may be used without permanent foundation. This term, however, may not include transport trucks or vans equipped with sleeping space for a driver or drivers. Nonpublic water system—A system providing water for human consumption that is not subject to the requirements of the Pennsylvania Safe Drinking Water Act and the regulations under that act. The term includes collection, treatment, storage and distribution facilities under the control of the operator of the system and used in connection with the system. Normal operating pressure—A minimum, fairly constant, water service pressure, at the point of outlet discharge not less than 8 pounds per square inch for fixtures except for direct flush valves, which may be not less than 15 pounds per square inch, and except where special equipment is used requiring higher pressure. Other temporary basis—

(i) In the context of employment, employment which is to last for less than 1 year or for the time contemplated to complete a particular piece of work.

(ii) In the context of residence, occupancy of living quarters away from the person’s domicile for the purpose of agricultural employment.

(iii) Where a person is presumed to be working on a temporary basis for less than 1 year, the employer may rebut this presumption. Pennsylvania Safe Drinking Water Act—35 P. S. § § 721.1—721.17. Person—An individual, firm, partnership, association, trust, corporation, receiver or other organization. In the case of a corporation, association or other organization, the term includes an officer, director, manager, agent or employe who has knowledge of any conduct or condition, and has supervisory responsibility over the conduct or condition. Plumbing—Includes the following supplied facilities and equipment: water pipes, waste pipes, drains, vents, water closets, sinks, lavatories, bathtubs, shower baths, laundry trays or tubs, garbage disposal units, installed dishwashers, installed clothing washing machines, catch basins and other similar supplied fixtures, together with connections to water systems or sewerage systems. Private kitchen—The area intended for the use of one family or person for preparation, cooking and storage of food. Public water system—A system regulated under the Pennsylvania Safe Drinking Water Act for the provision to the public of water for human consumption which has at least 15 service connections or regularly serves an average of at least 25 individuals daily at least 60 days out of the year. The term includes collection, treatment, storage and distribution facilities under control of the operator of the system and used in connection with the system. The term includes collection or pretreatment storage facilities not under control of the operator which are used in connection with the system. The term also includes a system which provides water for bottling or bulk hauling for human consumption. Water for human consumption includes water that is used for drinking, bathing and showering, cooking, dishwashing or maintaining oral hygiene. Refuse—Materials which are discarded as useless. Seasonal employment—Employment ordinarily pertaining to or of the kind performed at certain seasons or periods of the year and from its nature cannot be continuous or carried on throughout the year. Seasonal farm labor camp—Living quarters, including without limitation housing accommodations, motels, rooming houses, dormitories and mobile homes, maintained directly or indirectly in connection with any work of or place where work is being performed by seasonal farm workers whether or not rent is paid or reserved for use or occupancy. The term includes the immediate premises or site upon which these buildings are situated; the facilities necessary to or associated with the buildings; and any area or site set aside and provided for camping of seasonal farm workers. The term does not include buildings reserved exclusively for the personal use of the landowner, including the primary residence of the landowner which serves as housing for the landowner, family members and friends of the family. In determining whether any living quarters is a seasonal farm labor camp under the act, the Department may consider factors which include, but are not limited to, the following:

(i) Whether the living quarters are owned, leased, operated or contracted for in whole or in part by an employer or farm labor contractor.

(ii) Whether the seasonal farm worker has reasonable alternative choices of housing in connection with his work or place of work.

(iii) Whether persons other than seasonal farm workers are housed in the living quarters. Seasonal farm worker—An individual who meets any of the following conditions:

(i) The individual resides in living quarters owned, leased or operated by an employer or a farm labor contractor and occupied by four or more unrelated persons.

(ii) The individual is employed in raising, cultivating, fertilizing, seeding, planting, pruning, harvesting, gathering, washing, sorting, weighing or handling, drying, packing, packaging, grading, storing or delivering to market or to storage or to a carrier for transportation to market in its unmanufactured state an agricultural commodity as defined in the Pennsylvania Agricultural Commodities Marketing Act of 1968 (3 P. S. § § 1001—1013) or a farm product as defined in 1 Pa.C.S. § 1991 (relating to definitions) on a seasonal or other temporary basis.

(iii) The individual, irrespective of his primary employment, performs agricultural labor on a seasonal or other temporary basis except this subparagraph excepts an individual who commutes daily from his permanent residence to the work site unless transportation is provided an individual by a farm labor contractor. Sewage—A substance that contains any of the waste products, excrement or other discharge from the bodies of human beings or animals; noxious or deleterious substances being harmful or inimical to the public health, to animal or aquatic life, or to the use of water for domestic water supply or for recreation, and a substance that constitutes pollution under The Clean Streams Law (35 P. S. § § 691.1—691.1001). Shower bath—Plumbing fixtures permanently installed to provide a waterspray under pressure. Sink—A receptacle or fixture used for general cleaning purposes or for disposing of waste water. Store room—An enclosed storage area having a floor area of greater than 20 square feet. Toilet facilities—Water closets, privies, urinals, chemical toilets and the rooms provided for installation of these units. Wash basin—A basin or bowl used for the purpose of obtaining personal cleanliness. Washroom—A room equipped with troughs, washbowls, shower baths, laundry and other facilities for the purpose of obtaining personal cleanliness. Water closet—Sanitary facilities for defecation equipped with a hopper or tray and a device for flushing the bowl by water under pressure. Wood frame construction—That type of construction in which the structural parts and materials are of wood or are dependent upon a wood frame for support, including a construction having a noncombustible exterior veneer.

The provisions of this § 82.1 issued under sections 301 and 603 of the Seasonal Farm Labor Act (43 P. S. § § 1301.301 and 1301.603); amended under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Act of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).

The provisions of this § 82.1 adopted September 28, 1973, effective September 29, 1973, 3 Pa.B. 2178; amended March 28, 1975, effective April 14, 1975, 5 Pa.B. 626; amended January 2, 1981, effective January 3, 1981, 11 Pa.B. 11; amended January 28, 1994, effective January 29, 1994, 24 Pa.B. 709. Immediately preceding text appears at serial pages (97737) to (97738) and (105251) to (105253).

This section cited in 7 Pa. Code § 82.1b (relating to rebutting the presumption of employment of a seasonal farm worker on a temporary basis).

History

Authority: The provisions of this § 82.20 issued under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Plan of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).
Source: The provisions of this § 82.20 adopted January 28, 1994, effective January 29, 1994, 24 Pa.B. 709.

7 Pa. Code § 82.1a Scope.

This chapter establishes standards for conditions of work, living quarters, occupancy, camp sanitation, work area sanitation, food facilities, fire protection and safety of seasonal farm workers. This chapter implements the act. This chapter applies to a seasonal farm labor camp used as living quarters for one or more individuals employed in agricultural labor on a seasonal or other temporary basis and a seasonal farm labor camp owned, leased or operated by an employer or farm labor contractor and occupied by four or more unrelated persons. This chapter also creates a rebuttable presumption of employment for seasonal farm workers employed on a temporary basis.

The provisions of this § 82.1a issued under sections 301 and 603 of the Seasonal Farm Labor Act (43 P. S. § § 1301.301 and 1301.603); amended under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Act of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).

The provisions of this § 82.1a adopted January 2, 1981, effective January 3, 1981, 11 Pa.B. 11; amended January 28, 1994, effective January 29, 1994, 24 Pa.B. 709. Immediately preceding text appears at serial pages (105253) to (105254).

History

Authority: The provisions of this § 82.20 issued under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Plan of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).
Source: The provisions of this § 82.20 adopted January 28, 1994, effective January 29, 1994, 24 Pa.B. 709.

7 Pa. Code § 82.1b Rebutting the presumption of employment of a seasonal farm worker on a temporary basis.

Under the definition of ‘‘other temporary basis’’ in § 82.1 (relating to definitions), an individual is presumed to be employed on a temporary basis because the individual has been employed for less than 1 year. The employer may rebut the presumption by showing the following:

(1) The terms of the employment limit the ability of the employer to terminate the employe either for cause, based on work rules reasonably related to employment, or because the job has been eliminated and no new person will be hired to perform that job.

(2) The employer’s demand for labor of the type performed by the individual was constant.

The provisions of this § 82.1b issued under section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Act of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).

The provisions of this § 82.1b adopted January 28, 1994, effective January 29, 1994, 24 Pa.B. 709.

History

Authority: The provisions of this § 82.20 issued under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Plan of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).
Source: The provisions of this § 82.20 adopted January 28, 1994, effective January 29, 1994, 24 Pa.B. 709.

7 Pa. Code § 82.2 Permit to operate.

(a) A person who owns land, buildings or facilities may not allow the operation, use or occupancy thereof as a seasonal farm labor camp without first obtaining a permit authorizing the operation and occupancy of the seasonal farm labor camp from the Department.

(b) A separate permit shall be required for each camp.

(c) Application for the operation, maintenance and occupancy of a camp shall be submitted to the Department 60 days prior to the opening of a new camp.

(d) A camp shall be ready for inspection no later than 45 days prior to occupancy or the expiration date of the permit.

(e) The Department will not issue or renew a permit authorizing the occupancy of a seasonal farm labor camp until an inspection is completed and the Department finds that the camp facilities comply with this chapter and the act.

(f) Permits issued under this chapter shall be valid for 1 year from the beginning month of operation.

(g) Upon receipt of the permit, the owner or operator of the camp shall post the permit at a prominent location readily accessible to camp occupants.

(h) Permits may be revoked or suspended at any time for violation of this chapter or the act.

The provisions of this § 82.2 issued under sections 301 and 603 of the Seasonal Farm Labor Act (43 P. S. § § 1301.301 and 1301.603); amended under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Act of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).

The provisions of this § 82.2 adopted September 28, 1973, effective September 29, 1973, 3 Pa.B. 2178; amended January 2, 1981, effective January 3, 1981, 11 Pa.B. 11; amended January 28, 1994, effective January 29, 1994, 24 Pa.B. 709. Immediately preceding text appears at serial pages (105254) and (59099).

History

Authority: The provisions of this § 82.20 issued under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Plan of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).
Source: The provisions of this § 82.20 adopted January 28, 1994, effective January 29, 1994, 24 Pa.B. 709.

7 Pa. Code § 82.3 Submission of plans to Department.

Before beginning the construction, remodeling or alteration of a seasonal farm labor camp or the conversion of any existing establishment or facility to a seasonal farm labor camp, properly prepared plans and specifications shall be submitted in duplicate to and approved by the Department. The plans and specifications shall include where applicable data relating to the grounds, buildings, equipment, sewage disposal, water supply including plumbing, refuse disposal, kitchen facilities and other information as may be required by the Department.

The provisions of this § 82.3 issued under sections 301 and 603 of the Seasonal Farm Labor Act (43 P. S. § § 1301.301 and 1301.603).

The provisions of this § 82.3 adopted September 28, 1973, effective September 29, 1973, 3 Pa.B. 2178; amended January 2, 1981, effective January 3, 1981, 11 Pa.B. 11. Immediately preceding text appears at serial page (19725).

History

Authority: The provisions of this § 82.20 issued under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Plan of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).
Source: The provisions of this § 82.20 adopted January 28, 1994, effective January 29, 1994, 24 Pa.B. 709.

7 Pa. Code § 82.4 Site.

(a) Sites used for camps shall be adequately drained. A site may not be located within 500 feet of swamps, pools, sink holes or other surface collections of water unless the quiescent water surfaces can be subjected to mosquito control measures. The camp shall be located so the drainage from and through the camp will not endanger domestic or public water supply, or otherwise create a health hazard or nuisance. Sites shall be graded, ditched and rendered free from depressions in which water may become a nuisance.

(b) A camp site may not be located in, along, across or projecting into floodways or flood channels of a stream or other body of water, or in areas which are subject to ordinary or precedented flood flows.

(c) The principal camp area in which food is prepared and served and where sleeping quarters are located shall be at least 500 feet from an area in which livestock is kept unless the Department determines the following:

(1) The camp facilities in question were constructed prior to January 2, 1981.

(2) The camp facilities are located at least 50 feet from an area in which livestock are kept or are located at a site which was approved in writing by the Department.

(3) Adequate steps are being taken to avoid the creation of unsanitary conditions and to control vectors.

(4) No practical alternatives exist to increase the separation between the camp and areas in which livestock are kept.

(d) The grounds and open area of the seasonal farm labor camp shall be maintained in a clean and sanitary condition free from rubbish, debris, waste paper, garbage, noxious plants, uncontrolled weeds or brush, abandoned automobiles or other refuse.

(e) Whenever the camp is closed for the season or permanently, garbage, manure and other refuse shall be collected and so disposed as to prevent nuisance. Abandoned privy pits shall be filled with earth and the grounds and buildings left in a clean and sanitary condition. If privy buildings remain, they shall be locked or otherwise secured to prevent entrance.

(f) Animal wastes used or generated on the farm for agricultural purposes within 500 feet of a seasonal farm labor camp shall be properly managed so as not to be a nuisance or fly-breeding medium.

The provisions of this § 82.4 issued under sections 301 and 603 of the Seasonal Farm Labor Act (43 P. S. § § 1301.301 and 1301.603).

The provisions of this § 82.4 adopted September 28, 1973, effective September 29, 1973, 3 Pa.B. 2178; amended January 2, 1981, effective January 3, 1981, 11 Pa.B. 11. Immediately preceding text appears at serial pages (19725) to (19726).

This section cited in 7 Pa. Code § 82.18 (relating to occupant concurrent responsibility).

History

Authority: The provisions of this § 82.20 issued under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Plan of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).
Source: The provisions of this § 82.20 adopted January 28, 1994, effective January 29, 1994, 24 Pa.B. 709.

7 Pa. Code § 82.5 Camp housing.

(a) Housing for seasonal farm laborers and their families shall be confined to one of the following:

(1) Buildings used exclusively for the purpose of human habitation.

(2) Fully-partitioned rooms in buildings used for purposes other than human habitation, provided that persons may not be housed in buildings used for the shelter of livestock.

(3) Approved mobile homes.

(4) Separate dormitory or sleeping room shared by unrelated seasonal farm workers shall be provided for each sex.

(b) Every housing foundation, exterior and interior wall, floor, ceiling, roof, gutter, leader and downspout, stairway, door and appurtenances thereto shall be kept in sound condition and in good repair.

(c) Foundations, if used as a common wall for habitable rooms, shall be waterproofed exteriorly and interiorly and be more than 50% above ground level.

(d) Exterior walls of wood shall be painted or otherwise protected from weathering. Exterior walls of masonry or other weather resistant material need not be painted provided a waterproof paint, sealant or moisture barrier is used on the interior wall.

(e) The floors of habitable rooms, hallways, corridors, toilet rooms, laundries, pantries and storage areas shall be constructed of materials that are smooth, tight and easily cleanable. Floors shall be maintained in a sound and sanitary manner. Additionally, the following requirements shall be met:

(1) First story wooden floors shall be elevated 18 inches above ground level at all points.

(2) Shower and laundry floors shall be impervious to water; junctions of the floor to the wall shall be coved; and floor drains shall be provided.

(3) At least 1/2 of the floor area must have a minimum ceiling height of 7 feet to be considered usable space in determining habitable room size. Floor space may not be counted toward minimum requirements when the ceiling height is less than 5 feet.

(f) Every habitable room shall be provided with windows that are weathertight, operable and in good repair and comply with the following provisions:

(1) The window size shall equal 10% of the floor area.

(2) Forty-five percent of the window area shall be openable except where there is supplied an operable device to provide ventilation.

(3) Properly fitted screens of at least 16 mesh shall be provided for every openable window during the insect season.

(g) Exterior doors shall be weathertight and in sound operating condition. If the doorway is used for ventilation, a properly fitting screen door with a self-closing device shall be provided.

(h) Space heating equipment capable of safely and adequately heating all habitable rooms, bathrooms, showers, and laundry rooms to 68°F shall be provided if the camp is occupied prior to May 15 or after September 15.

(i) Heating equipment for water shall be supplied and be maintained in proper operating condition. Hot water shall be supplied to kitchens, lavatories, showers, tubs and laundry fixtures. Unvented or unventable heaters employing a flame are prohibited.

The provisions of this § 82.5 issued under sections 301 and 603 of the Seasonal Farm Labor Act (43 P. S. § § 1301.301 and 1301.603).

The provisions of this § 82.5 adopted September 28, 1973, effective September 29, 1973, 3 Pa.B. 2178; amended March 28, 1975, effective April 14, 1975, 5 Pa.B. 626; amended January 2, 1981, effective January 3, 1981, 11 Pa.B. 11. Immediately preceding text appears at serial pages (19726) to (19728).

This section cited in 7 Pa. Code § 82.5a (relating to occupancy).

History

Authority: The provisions of this § 82.20 issued under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Plan of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).
Source: The provisions of this § 82.20 adopted January 28, 1994, effective January 29, 1994, 24 Pa.B. 709.

7 Pa. Code § 82.5a Occupancy.

Occupancy of a camp shall be determined by the number of square feet of usable floor space in sleeping rooms and habitable rooms in the case of single family living units. The following ratios shall apply:

(1) In dormitory and other sleeping rooms shared by unrelated seasonal farm workers:

(i) Fifty square feet of floor space per adult.

(ii) Twenty-five square feet of floor space per occupant under 14 years of age.

(2) In living units of one or more rooms in which the occupants cook, live and sleep:

(i) One hundred square feet of floor space per adult.

(ii) Fifty square feet of floor space per occupant under 14 years of age.

(iii) If a family has children age 6 or older, at least one partition of rigid material shall be provided for reasonable privacy of the parents. The partitioned area does not have to comply with § 82.5(f) (relating to camp housing).

The provisions of this § 82.5a issued under sections 301 and 603 of the Seasonal Farm Labor Act (43 P. S. § § 1301.301 and 1301.603).

The provisions of this § 82.5a adopted January 2, 1981, effective January 3, 1981, 11 Pa.B. 11.

History

Authority: The provisions of this § 82.20 issued under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Plan of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).
Source: The provisions of this § 82.20 adopted January 28, 1994, effective January 29, 1994, 24 Pa.B. 709.

7 Pa. Code § 82.5b Sleeping room contents.

(a) Each occupant of the camp shall be provided with a bed, mattress and cover, pillow and case, sheets, and blankets, subject to the following conditions:

(1) Beds, bunks or cots shall be elevated at least 12 inches from the floor and spaced at least 36 inches apart on all sides.

(2) Double bunks shall be spaced at least 48 inches apart on all sides and have at least 27 inches between the upper and lower bunk.

(3) Triple deck bunks shall be prohibited.

(4) Beds designed for double occupancy may be used in single family sleeping rooms.

(5) In single family occupancy units:

(i) The permittee shall provide all bed linens.

(ii) The family who occupies the unit may provide the bed linen.

(iii) Bed linen shall be available when the camp is occupied.

(b) Each camp occupant shall be provided with suitable storage facilities in the sleeping room area. The following shall be acceptable:

(1) Wall lockers or closets.

(2) Three feet of rod and shelving.

(3) A dresser or equivalent storage space.

The provisions of this § 82.5b issued under sections 301 and 603 of the Seasonal Farm Labor Act (43 P. S. § § 1301.301 and 1301.603).

The provisions of this § 82.5b adopted January 2, 1981, effective January 3, 1981, 11 Pa.B. 11.

History

Authority: The provisions of this § 82.20 issued under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Plan of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).
Source: The provisions of this § 82.20 adopted January 28, 1994, effective January 29, 1994, 24 Pa.B. 709.

7 Pa. Code § 82.6 Maintenance of cleanliness.

(a) Living and sleeping rooms shall be aired and cleansed at intervals and in a manner approved by the Department.

(b) Bedding, including mattresses, shall be kept in a sanitary condition at all times. Blankets, covers and bed linen shall be washed or drycleaned as frequently as may be necessary to keep them clean and sanitary. The permittee shall use reasonable diligence, including but not limited to the establishment of a weekly schedule and procedure for changing linen. In single family housing accommodations, once the bedding and linens are supplied, it becomes the duty of the family to maintain the linen in a clean and sanitary manner.

(c) The Secretary or the Secretary’s authorized representative may at any time order the immediate cleansing, disinfection or fumigation by an approved method, of the premises or articles, or the complete and immediate destruction of such articles, if they constitute a menace to the health of the occupants.

The provisions of this § 82.6 issued under sections 301 and 603 of the Seasonal Farm Labor Act (43 P. S. § § 1301.301 and 1301.603).

The provisions of this § 82.6 adopted September 28, 1973, effective September 29, 1973, 3 Pa.B. 2178; amended January 2, 1981, effective January 3, 1981, 11 Pa.B. 11. Immediately preceding text appears at serial page (19728).

This section cited in 7 Pa. Code § 82.18 (relating to occupant concurrent responsibility).

History

Authority: The provisions of this § 82.20 issued under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Plan of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).
Source: The provisions of this § 82.20 adopted January 28, 1994, effective January 29, 1994, 24 Pa.B. 709.

7 Pa. Code § 82.7 Water supply.

(a) General. A seasonal farm labor camp shall have an approved water system that meets one of the following requirements:

(1) Public water systems. Public water systems shall comply with the requirements and standards established under the Pennsylvania Safe Drinking Water Act and 25 Pa. Code Chapter 109 (relating to safe drinking water).

(2) Nonpublic water systems for camps permitted prior to January 29, 1994. A system shall be approved as part of a permit by the Department, on an annual basis, that meets the requirements of 40 CFR Part 141 (relating to the national primary and secondary drinking water regulations) for total coliform and nitrates/nitrites. Testing shall be conducted for total coliforms at least annually at the time of the initial camp inspection.

(3) Nonpublic water systems for camps not permitted prior to January 29, 1994, or camps initially permitted on or after January 29, 1994. A system shall be approved as part of a permit by the Department that meets the maximum contaminant levels and treatment technique requirements established under the Pennsylvania Safe Drinking Water Act and 25 Pa. Code Chapter 109. Once a system is initially approved under this paragraph, the system need only meet the requirements under paragraph (2) for repermitting.

(b) Nonpublic water systems. The construction of nonpublic water systems shall be approved based upon consistency with the standards in the ‘‘Public Water Supply Manual’’ (relating to noncommunity design standards), published by the Department of Environmental Protection’s Bureau of Water Supply and Community Health, Rachel Carson State Office Building, 400 Market Street, 11th Floor, Harrisburg, Pennsylvania 17105-8467, including revisions thereto.

(c) Sampling and analysis. Sampling and analysis shall be conducted in accordance with the sampling procedures and analytical techniques established by the EPA under the National Primary and Secondary Drinking Water regulations, 40 CFR Parts 141 and 143.

(d) Additional requirements. Under section 304 of the act (43 P. S. § 1301.304), the Department may, by order, establish other requirements, including public notice, treatment, an alternative water supply or monitoring, on a case-by-case basis, for a nonpublic water system when there is a health risk to the users of that system.

(e) Camp expansion. If a nonpublic water system is approved under subsection (a)(2), for a camp permitted prior to January 29, 1994, an expansion of that camp will continue to be regulated under subsection (a)(2) unless the expansion includes substantial changes, such as new sources, to the nonpublic water system. If substantial changes to the nonpublic water system are required, the system shall be approved under subsection (a)(3).

(f) Unapproved water supplies. Unapproved water supplies shall be made inaccessible to the camp occupants in a manner deemed satisfactory by the Department.

(g) Water supply demand. A water supply shall be capable of delivering a minimum 50 gallons per person per day to the camp at a peak rate of 2 1/2 times the average hourly demand, and shall be capable of providing the maximum daily and hourly demands.

(h) Water distribution lines. Water distribution lines shall be capable of supplying water at normal operating pressures to all fixtures for simultaneous operation.

(i) Hot and cold water. Hot and cold water under normal operating pressure shall be piped to the kitchen and lavatory facilities.

(j) Drinking fountains. One or more drinking fountains shall be provided for each 100 occupants or fraction thereof excluding occupants of single family units, and shall be constructed of impervious material. Fountains shall have an anglejet nozzle protected by a nonoxidizing guard above the overflow rim of the bowl. Drinking fountains shall be equipped with a pressure regulating valve and shall be maintained in a sanitary manner. If the provision of a drinking fountain is impractical, an adequate supply of single service drinking cups shall be provided. Common drinking cups shall be prohibited. Suitable containers shall be provided for discarded individual drinking cups.

(k) Chemical treatment. If chemical treatment of the water supply is required to meet the drinking water standards provided in this section, an interruption in treatment of the drinking water supply shall be reported immediately to the Department.

(l) Change in treatment. A change in the source or in the method of treatment of a drinking water supply may not be made without first notifying and securing approval of the Department.

(m) Potable water supply. On all premises where seasonal farm workers are employed, the employer shall provide in the working area at a reasonable distance a sufficient supply of cool potable water in the following ratios:

(1) One drinking fountain for each 100 persons or each crew.

(2) Ten gallons of potable water for each 100 persons or each crew.

(n) Container standards. When water is provided in a portable container, the container shall meet the construction standards of the National Sanitation Foundation or its equivalent.

(o) Common drinking vessels. The use of common drinking vessels shall be prohibited.

The provisions of this § 82.7 issued under sections 301 and 603 of the Seasonal Farm Labor Act (43 P. S. § § 1301.301 and 1301.603); amended under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Act of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).

The provisions of this § 82.7 adopted September 28, 1973, effective September 29, 1973, 3 Pa.B. 2178; amended January 2, 1981, effective January 3, 1981, 11 Pa.B. 11; amended March 27, 1981, effective March 28, 1981, 11 Pa.B. 1089; amended January 28, 1994, effective January 29, 1994, 24 Pa.B. 709. Immediately preceding text appears at serial pages (59104) and (60686) to (60688).

This section cited in 7 Pa. Code § 82.20 (relating to single family homes).

History

Authority: The provisions of this § 82.20 issued under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Plan of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).
Source: The provisions of this § 82.20 adopted January 28, 1994, effective January 29, 1994, 24 Pa.B. 709.

7 Pa. Code § 82.8 Plumbing.

(a) Plumbing shall be so sized, installed and maintained as to safely carry adequate quantities of water to required locations throughout the camp and to properly convey sewage and liquid wastes from the establishment to the sewerage or sewage disposal system.

(b) Plumbing shall be installed and maintained in accordance with the provisions of the 1978 edition of the Basic Plumbing Code Building Officials and Code Administrators International, Inc., or any earlier edition in effect at the time of construction and in such manner as to prevent contamination of the water supply or the creation of an insanitary condition or nuisance.

The provisions of this § 82.8 issued under sections 301 and 603 of the Seasonal Farm Labor Act (43 P. S. § § 1301.301 and 1301.603).

The provisions of this § 82.8 adopted September 28, 1973, effective September 29, 1973, 3 Pa.B. 2178; amended March 28, 1975, effective April 14, 1975, 5 Pa.B. 626; amended January 2, 1981, effective January 3, 1981, 11 Pa.B. 11. Immediately preceding text appears at serial page (19730).

History

Authority: The provisions of this § 82.20 issued under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Plan of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).
Source: The provisions of this § 82.20 adopted January 28, 1994, effective January 29, 1994, 24 Pa.B. 709.

7 Pa. Code § 82.9 Toilet facilities.

(a) Toilet facilities adequate for the capacity of the camp shall be provided. Central toilet and handwashing facilities separate for each sex shall be provided on the premises of seasonal farm labor camps, except where the camp is composed entirely of family-type apartments, each with its own toilet facilities. In central toilet facilities, the water closets shall be separated by partitions.

(b) Where toilet facilities are shared, the number of water closets or privy seats provided for each sex shall be based on the maximum number of persons of that sex which the camp is designed to house at any one time, according to the following chart:

except that in camps with less than six occupants irrespective of sex, one water closet, privy or chemical toilet will suffice if in a single occupancy toilet room that can be locked from the inside.

(c) Urinals may be provided on the basis of one unit or 2 linear feet of urinal trough for each 18 men or fraction thereof. The required number of water closets, chemical toilets or privy seats for men may be reduced by up to 1/3, by installing urinals in this ratio. The floor from the wall and for a distance not less than 15 inches measured from the outward edge of the urinals shall be constructed of materials impervious to moisture. Urinals shall be provided with an adequate water flush.

(d) Toilet facilities, including rooms and fixtures, shall be of a sanitary design and readily cleanable.

(e) Except as provided in subsection (b), in shared toilet rooms in other than single family dwelling units, separate toilet rooms shall be provided for each sex. These rooms shall be distinctly marked ‘‘for men’’ and ‘‘for women’’ by signs printed in English and in the native languages of the persons occupying the camp, or marked with easily understood pictures or symbols. If the facilities for each sex are in the same building, they shall be separated by solid walls or partitions extending from the floor to the roof or ceiling.

(f) Toilet facilities shall be located within 200 feet of the door of each sleeping room. A privy may not be closer than 100 feet to a sleeping room, dining room, lunch area or kitchen.

(g) Toilet rooms shall have a window not less than 6 square feet in area opening directly to the outside area or shall be otherwise satisfactorily ventilated in a manner approved by the Department. Outside openings shall be screened with 16 mesh material. Each privy building may be ventilated by an opening or openings, properly screened, of at least 2 square feet.

(h) A fixture, water closet, chemical toilet or urinal may not be located in a room used for other than toilet purposes. Every water closet installed after January 3, 1981, shall be located in a separate compartment in a toilet room.

(i) Each privy, water closet or chemical toilet shall be well lighted (20 foot candles) at all hours of the night, and the day when necessary. Chemical toilets may be lighted using exterior lighting which admits adequate light both day and night. Approaches to privies, water closets or chemical toilets shall be free from obstruction.

(j) An adequate supply of toilet paper shall be provided in each privy, water closet or chemical toilet compartment.

(k) Toilet facilities shall be kept in a sanitary condition. They shall be cleaned at least daily.

(1) Privies may not be constructed in the camp area after January 3, 1981, unless approval is obtained from the Department.

(m) Toilet facilities shall be kept operational and in good repair.

(n) On the premises where seasonal farm workers are employed or permitted to work, the employer shall provide within a reasonable distance of the working area sufficient, suitable and separate toilet facilities. To determine the number of toilet facilities needed and the distance to them, the Department will use the following standards:

(1) For one to ten workers, male or female, one toilet facility within 1,000 feet of the work area or a written agreement in the native language of the workers that transportation to a toilet facility shall be provided at least once during any continuous 4 hours of work.

(2) For work crews of 11 to 15, males or females, one toilet facility within 500 feet of the work area or a written agreement in the native language of the workers that transportation to a toilet facility shall be provided at least once during any continuous 4 hours of work.

(3) For work crews of 16 or more, one toilet facility per every 15 males or fraction thereof and one toilet facility for every 15 females or fraction thereof; these toilet facilities shall be within 500 feet of the work area or as approved by the Department or a written agreement in the native language of the workers shall state that transportation to a toilet facility shall be provided at least once during any continuous 4 hours of work.

The provisions of this § 82.9 issued under sections 301 and 603 of the Seasonal Farm Labor Act (43 P. S. § § 1301.301 and 1301.603).

The provisions of this § 82.9 adopted September 28, 1973, effective September 29, 1973, 3 Pa.B. 2178; amended January 2, 1981, effective January 3, 1981, 11 Pa.B. 11. Immediately preceding text appears at serial pages (19730) to (19732).

This section cited in 7 Pa. Code § 82.18 (relating to occupant concurrent responsibility).

History

Authority: The provisions of this § 82.20 issued under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Plan of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).
Source: The provisions of this § 82.20 adopted January 28, 1994, effective January 29, 1994, 24 Pa.B. 709.

7 Pa. Code § 82.10 Sewage disposal.

All sewage disposal systems serving a seasonal farm labor camp shall be approved by the Department or the municipal Sewage Enforcement Officer, as appropriate. Approval of the sewage disposal system shall be based on satisfactory compliance with Chapters 71, 73 and 243 (relating to administration of sewage facilities planning program; standards for onlot sewage treatment facilities; and nuisances) and The Clean Streams Law (35 P. S. § § 691.1—691.1001).

The provisions of this § 82.10 issued under sections 301 and 603 of the Seasonal Farm Labor Act (43 P. S. § § 1301.301 and 1301.603).

The provisions of this § 82.10 adopted September 28, 1973, effective September 29, 1973, 3 Pa.B. 2178; amended March 28, 1975, effective April 14, 1975, 5 Pa.B. 626; amended January 2, 1981, effective January 3, 1981, 11 Pa.B. 11. Immediately preceding text appears at serial page (19732).

History

Authority: The provisions of this § 82.20 issued under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Plan of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).
Source: The provisions of this § 82.20 adopted January 28, 1994, effective January 29, 1994, 24 Pa.B. 709.

7 Pa. Code § 82.11 Laundry, handwashing and bathing facilities.

(a) Laundry, handwashing and bathing facilities shall be provided in the following ratio:

(1) One handwash basin per family shelter or per six persons or any fraction thereof in shared facilities.

(2) One shower head for every ten persons or any fraction thereof.

(3) One mechanical washing machine or one double laundry tray or two tubs for every 30 persons or any fraction thereof; or transportation at least weekly to nearby laundromat; or a contract with a commercial linen service.

(4) One slop sink in each camp.

(b) Floors shall be of nonslippery finish and shall be constructed of easily cleanable materials which are impervious to moisture. A floor drain shall be provided in rooms used for laundry and bathing. Junctions of the curbing and the floor in the rooms shall be coved.

(d) An adequate supply of hot and cold running water under normal operating pressure shall be provided for bathing and laundry purposes.

(e) Facilities for drying clothes shall be provided.

(f) Buildings containing laundry, handwashing and bathing facilities shall be kept clean.

(g) Bathing tubs with an adequate supply of hot and cold water under normal operating pressure, in the ratio of one tub for each six occupants or any fraction thereof, may be provided as an alternative to showers.

(h) Each toilet facility shall have at least one wash basin installed in a location convenient thereto unless the general washroom facilities are on the same floor and in convenient proximity thereto.

(i) The use of common towels is prohibited. In shared handwashing facilities, a single service paper towel dispenser or linen dispenser shall be provided. These dispensers shall be adequately supplied and maintained.

(j) A dry dressing area shall be provided in or adjacent to common use shower facilities.

The provisions of this § 82.11 issued under sections 301 and 603 of the Seasonal Farm Labor Act (43 P. S. § § 1301.301 and 1301.603).

The provisions of this § 82.11 adopted September 28, 1973, effective September 29, 1973, 3 Pa.B. 2178; amended January 2, 1981, effective January 3, 1981, 11 Pa.B. 11. Immediately preceding text appears at serial page (19733).

This section cited in 7 Pa. Code § 82.18 (relating to occupant concurrent responsibility).

History

Authority: The provisions of this § 82.20 issued under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Plan of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).
Source: The provisions of this § 82.20 adopted January 28, 1994, effective January 29, 1994, 24 Pa.B. 709.

7 Pa. Code § 82.12 Lighting and electrical.

(a) Electrical installations at seasonal farm labor camps shall comply with and be maintained in accordance with the requirements of the 1978 National Electrical Code published by the National Fire Protection Association. An exception to this requirement is that those camp facilities constructed prior to January 3, 1981, shall comply with the code in effect at the time of construction.

(b) Electrical installations at seasonal farm labor camps shall be inspected and approved in accordance with the provisions of this chapter and the 1978 National Electrical Code by an electrical inspection agency acceptable to the Department. Proof of electrical certification shall be submitted to the Department in duplicate. The original electrical inspection certificate acquired for a seasonal farm labor camp may be used for future applications subject to paragraph (2).

(d) The minimum number of electrical outlets shall be as follows. These outlets are not permitted on the floor surface.

(1) Food storage room—0.

(2) Existing central, communal and private kitchens—a minimum of two outlets, one of which shall be a 20-amp appliance circuit.

(3) New kitchens—a minimum of two 20-amp electrical circuits.

(4) Laundry rooms—at least one ceiling type or wall lighting fixture and at least one separate wall outlet.

(5) Halls/stairways—at least one ceiling type light fixture. Light switches at top and bottom of stairways.

(6) Habitable rooms/living quarters—at least one ceiling type light fixture and at least one separate wall outlet.

(7) Sleeping, private—at least one wall outlet per person.

(8) Sleeping, dormitory—one wall outlet for the first five persons, and one additional outlet for each additional five persons.

(9) Toilet and bathing rooms, private—at least one ceiling or wall lighting fixture and one wall outlet.

(10) Toilet and bathing rooms, shared—at least one ceiling or wall lighting fixture and one wall outlet for each two sinks.

The provisions of this § 82.12 issued under sections 301 and 603 of the Seasonal Farm Labor Act (43 P. S. § § 1301.301 and 1301.603).

The provisions of this § 82.12 adopted September 28, 1973, effective September 29, 1973, 3 Pa.B. 2178; amended January 2, 1981, effective January 3, 1981, 11 Pa.B. 11. Immediately preceding text appears at serial pages (19733) to (19734).

This section cited in 7 Pa. Code § 82.20 (relating to single family homes).

History

Authority: The provisions of this § 82.20 issued under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Plan of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).
Source: The provisions of this § 82.20 adopted January 28, 1994, effective January 29, 1994, 24 Pa.B. 709.

7 Pa. Code § 82.13 Refuse.

(a) Garbage and refuse containing food wastes shall, prior to disposal, be kept in leak-proof, nonabsorbent, rust and corrosion resistant containers of adequate number. Containers shall be provided with tight fitting lids.

(b) Other refuse shall be stored in containers of sufficient number and size in a manner so as to prevent arthropod or rodent problems and other nuisances.

(c) Kitchens, dining rooms, living quarters and toilet rooms shall have in a place adjacent and convenient thereto a sufficient number of containers as required in subsections (a) and (b). Garbage and refuse shall be placed therein at once.

(d) Garbage and refuse containers shall be emptied at least weekly, or whenever full.

(e) Garbage and refuse containers and areas where the containers are located shall be cleaned after each removal operation. Adequate facilities shall be provided to clean garbage and refuse containers, unless liners are used in the containers or cleaning is provided as part of a contracted commercial refuse service.

(f) Disposal of garbage and refuse shall conform to the act of July 7, 1980 (P. L. 380, No. 97), the Solid Waste Management Act (35 P. S. § § 6018.101—6018.1003) and 25 Pa. Code Part I, Subpart D, Article VIII (relating to municipal waste).

The provisions of this § 82.13 issued under sections 301 and 603 of the Seasonal Farm Labor Act (43 P. S. § § 1301.301 and 1301.603).

The provisions of this § 82.13 adopted September 28, 1973, effective September 29, 1973, 3 Pa.B. 2178; amended March 28, 1975, effective April 14, 1975, 5 Pa.B. 626; amended January 2, 1981, effective January 3, 1981, 11 Pa.B. 11. Immediately preceding text appears at serial page (19735).

This section cited in 7 Pa. Code § 82.18 (relating to occupant concurrent responsibility).

History

Authority: The provisions of this § 82.20 issued under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Plan of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).
Source: The provisions of this § 82.20 adopted January 28, 1994, effective January 29, 1994, 24 Pa.B. 709.

7 Pa. Code § 82.14 Food service.

(a) Each private kitchen shall be a space separated but not necessarily partitioned from the sleeping area and shall be provided with the following:

(1) A cookstove or hot plate with not less than two burners.

(2) Adequate food storage shelves and a counter for food preparation that is smooth and impervious and may be readily cleaned.

(3) Mechanical refrigeration for food which will maintain a temperature of not more than 45°F capable of storing all perishable food. A compartment shall be available for the storage of frozen food.

(4) A table and chairs or equivalent accommodations commensurate with the capacity of the facility.

(5) Adequate lighting and ventilation.

(6) A sink with hot and cold running water under pressure.

(b) Each communal kitchen shall be in a room or building separate from the sleeping areas and shall be provided with the following:

(1) Stoves or hot plates, each with not less than two burners, in a ratio of at least two burners for each ten persons or two families.

(2) Adequate food storage shelves and a counter for food preparation that is smooth and impervious, and may be readily cleaned.

(3) Mechanical refrigeration for food which will maintain a temperature of not more than 45°F capable of storing all perishable food. A compartment shall be available for the storage of frozen food.

(4) A table and chairs or equivalent accommodations commensurate with the capacity of the facility.

(5) Adequate sinks with hot and cold running water under pressure.

(6) Adequate lighting and ventilation.

(c) In each central kitchen and dining facility appurtenant thereto the physical facilities, equipment, and operation shall be in accordance with the provisions of Chapter 78 (relating to food establishments). The kitchen and dining area shall be in proper proportion to the capacity of the camp and shall be separate from sleeping areas.

(d) In all kitchens, floors, ceilings and wall surfaces adjacent to or above food preparation and cooking areas shall be of nonabsorbent, easily cleanable materials. Wall surfaces adjacent to cooking areas shall be fire-resistant.

The provisions of this § 82.14 issued under sections 301 and 603 of the Seasonal Farm Labor Act (43 P. S. § § 1301.301 and 1301.603).

The provisions of this § 82.14 adopted September 28, 1973, effective September 29, 1973, 3 Pa.B. 2178; amended March 28, 1975, effective April 14, 1975, 5 Pa.B. 626; amended January 2, 1981, effective January 3, 1981, 11 Pa.B. 11. Immediately preceding text appears at serial page (19735).

History

Authority: The provisions of this § 82.20 issued under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Plan of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).
Source: The provisions of this § 82.20 adopted January 28, 1994, effective January 29, 1994, 24 Pa.B. 709.

7 Pa. Code § 82.15 Insect and rodent control.

(a) Effective control measures and environmental changes approved by the Department shall be taken to prevent or eliminate infestation by and harborage of animal or insect vectors to include rodents, flies, mosquitoes, bedbugs, cockroaches, lice and other pestiferous insects.

(b) Openable windows and door openings in rooms used for living, dining, cooking, bathing, toilet, hand washing or sleeping purposes shall be provided and maintained with insect screening of at least 16 mesh materials. Screen doors shall be equipped with self-closing devices. Solid doors with self-closing devices may be used in lieu thereof if approved by the Department.

The provisions of this § 82.15 issued under sections 301 and 603 of the Seasonal Farm Labor Act (43 P. S. § § 1301.301 and 1301.603).

The provisions of this § 82.15 adopted September 28, 1973, effective September 29, 1973, 3 Pa.B. 2178; amended March 28, 1975, effective April 14, 1975, 5 Pa.B. 626; amended January 2, 1981, effective January 3, 1981, 11 Pa.B. 11. Immediately preceding text appears at serial page (19736).

History

Authority: The provisions of this § 82.20 issued under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Plan of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).
Source: The provisions of this § 82.20 adopted January 28, 1994, effective January 29, 1994, 24 Pa.B. 709.

7 Pa. Code § 82.16 First aid.

(a) First aid kit, approved by the Department, shall be provided in the ratio of one per 50 persons, or fraction thereof. Each kit shall contain the following:

50 3/4 inch or 1 inch adhesive compress

10 gauze pads (4 inches x 4 inches)

20 gauze pads (3 inches x 3 inches)

10 gauze pads (2 inches x 2 inches)

2 gauze roller bandage (2 inches x 6 yards)

1 roll surgical or adhesive tape (1 inch)

1 roll surgical or adhesive tape (1/2 inch)

50 cotton balls or equivalent

50 cotton tipped applicators

12 aromatic ammonia inhalants (for use as smelling salts)

1 eight ounce container of ethyl or isopropyl alcohol (70%)

1 eight ounce container of benzalkonium chloride (aqueous solution 1:750)

1 scissors

1 tweezers

(b) The first aid kit shall be in the charge of a person designated by the permittee. This person shall be trained to administer first aid. The first aid kit and the designated person shall be readily available at all times.

The provisions of this § 82.16 issued under sections 301 and 603 of the Seasonal Farm Labor Act (43 P. S. § § 1301.301 and 1301.603).

The provisions of this § 82.16 adopted September 28, 1973, effective September 29, 1973, 3 Pa.B. 2178; amended January 2, 1981, effective January 3, 1981, 11 Pa.B. 11. Immediately preceding text appears at serial page (19737).

History

Authority: The provisions of this § 82.20 issued under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Plan of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).
Source: The provisions of this § 82.20 adopted January 28, 1994, effective January 29, 1994, 24 Pa.B. 709.

7 Pa. Code § 82.17 Safety—fire prevention and egress.

(a) A building to be used as living quarters in a seasonal farm labor camp shall comply with the following requirements:

(1) Exits provided shall be safe, adequate, reliable, accessible and unobstructed. Locks or other devices which prevent egress are not permitted.

(2) A fire extinguisher with a minimum 10-B rating, consistent with 34 Pa. Code Chapters 49—59, shall be installed and properly maintained in each kitchen area.

(3) A fire extinguisher with a minimum 2-A rating, consistent with 34 Pa. Code Chapters 49—59, shall be installed and properly maintained:

(i) At a convenient location in each dormitory room.

(ii) At a central and convenient location for each group of private or shared sleeping rooms.

(iii) For each 3,000 square feet of floor area or fraction thereof not otherwise covered under subparagraph (i) or (ii). There shall be at least one fire extinguisher per floor, including the basement.

(4) In a building of wood frame construction only the first and second floors may be occupied or used. The third floor and above shall be effectively secured to prevent entrance.

(5) If a stove, or other device which uses liquid or solid fuel or electricity for heating or cooking, is closer than 36 inches to a wall, the wall shall be covered with fireproof sheeting of at least 6 inches greater in each direction than the stove or heating device. Units tested and approved by the American Gas Association, or Underwriters Laboratories, Inc. may be installed closer than 36 inches without fireproof sheeting if installed according to the manufacturer’s specifications.

(6) Stovepipes shall be insulated with fireproof material where they pass through walls, ceilings or floors.

(7) Fuel lines shall be located and protected to prevent accidental breakage.

(8) When liquified petroleum gas is used, the storage vessel shall be located outside the building. The vessel shall be securely but not permanently fastened to prevent accidental overturning. A shutoff valve outside of the building shall be provided. Storage vessels for liquified petroleum gas may not be stored under or adjacent to fire escapes or outside stairs.

(9) Flammable or volatile liquid or materials may not be stored in or adjacent to rooms used for living purposes except for those needed for current household use.

(b) A building subject to the Fire and Panic Act and 34 Pa. Code Chapters 49—59 shall comply with the following requirements in addition to the requirements in subsection (a):

(1) The building shall have an occupancy permit issued by the Department of Labor and Industry under the Fire and Panic Act. The building shall obtain the occupancy permit by January 29, 1996.

(2) A minimum of two exits from each floor shall be provided. In situations where regulations adopted under the Fire and Panic Act require two exits per floor, neither of the exits may be a window. When 34 Pa. Code Chapters 49—59 require only one exit per floor, a window may act as the second exit. If a window is to act as the second exit under this provision, the following requirements shall be met:

(i) Ground floor windows shall be readily accessible with an openable space of at least 24 inches on each side and not more than 6 feet from the exterior ground.

(ii) Windows above the ground floor shall be readily accessible with an openable space of 24 inches on each side, shall be within 3 feet of the floor and, if over 6 feet from the exterior ground, shall have approved outside stairs or an approved fire escape to the ground. The stairs or fire escape shall meet the requirements of subsection (c)(7).

(3) A building constructed after January 2, 1981, shall conform with the following. The building shall be:

(i) A one-story construction unless otherwise approved by the Department.

(ii) Protected by 1-hour rated construction. A 1-hour rate construction resists the penetration and effects of fire for 1 hour.

(c) Occupied buildings within cities of the first class, second class and second class A, which are not subject to the requirements of the Fire and Panic Act and 34 Pa. Code Chapters 49—59, except buildings subject to subsection (d), shall comply with the following requirements in addition to the requirements in subsection (a):

(1) In buildings of one-story construction housing eight or fewer persons, two means of egress shall be provided. One of the two means of egress may be a readily accessible window with an openable space of at least 24 inches on each side and which is not more than 6 feet from the exterior ground.

(2) Sleeping quarters intended for use by nine or more persons, central dining facilities and common assembly rooms shall have at least two doors remotely separated to provide alternate means of egress to the outside or to an interior hall leading to safe and open space at ground level.

(3) Where flights of stairs serve more than two occupied floors in a building, there shall be a self-closing door at both the lower and upper end of each flight of stairs between two floors, and the stairwell door shall swing in the direction of exit travel. A landing shall be provided beyond each door opening and shall have a width and depth not less than the width of the stairs. The flight of stairs shall be enclosed within smoke-tight walls.

(4) At least two safe means of egress to the exterior ground located at opposite sides or ends of the structure shall be provided where persons occupy the second floor. If one means of egress from the second floor is a window, it shall have an openable space of at least 24 inches on each side, shall be within 3 feet of the floor and, if over 6 feet from the exterior ground, shall have approved outside stairs or an approved fire escape to the exterior ground. The outside stair or fire escape shall have a landing at the window. The landing may be no more than 8 inches below the window sill. The stairs or fire escape shall meet the requirements of paragraph (7).

(5) If nine or more persons occupy the second floor, both means of egress shall be a standard stairway with a landing and handrails.

(6) At least two safe means of egress to the exterior ground located at opposite sides or ends of the structure shall be provided where persons occupy the third floor. The method of egress shall be outside stairs or fire escapes meeting the requirements of paragraph (7).

(7) Outside stairs and fire escapes shall be constructed of metal or fire-retardant or pressure treated wood and shall have at least a 3-foot landing equipped with safety rails immediately under the door or window used as an emergency or fire exit. The stairs or fire escape shall be adequately maintained in a safe condition.

(8) Each suite of rooms, consisting of sanitation facilities and cooking facilities, if present, and common living areas, shall have a minimum of one single-station smoke detector which shall be listed by Underwriters Laboratories, Inc. and maintained in proper working order. The smoke detector shall be installed between the sleeping areas and the path of exit.

(9) Buildings constructed after January 2, 1981, shall conform with the following requirements. The building shall be:

(i) A one-story construction unless otherwise approved by the Department.

(ii) Protected by 1-hour rated construction. A 1-hour rated construction resists the penetration and effects of fire for 1 hour.

(d) A building which is used for group habitation in which living units or apartments are not mixed vertically and in which three or fewer nonfamily members reside, which is not subject to the Fire and Panic Act or 34 Pa. Code Chapters 49—59, shall comply with the following requirements in addition to those requirements in subsection (a):

(1) In single family residences of one-story construction, two means of egress shall be provided. One of the two required means of egress may be a readily accessible window with an openable space of at least 24 inches on each side, and not more than 6 feet from the exterior ground.

(2) At least two safe means of egress to the exterior ground located at opposite sides or ends of the structure shall be provided where persons occupy the second floor. If one means of egress from the second floor is a window, it shall have an openable space of at least 24 inches on each side and shall be within 3 feet of the floor.

(3) Each suite of rooms, consisting of sanitation facilities and cooking facilities, if present, and common living areas, shall have a minimum of one single-station smoke detector which shall be listed by Underwriters Laboratories, Inc. and maintained in proper working order. The smoke detector shall be installed between the sleeping areas and the path of exit.

The provisions of this § 82.17 issued under sections 301 and 603 of the Seasonal Farm Labor Act (43 P. S. § § 1301.301 and 1301.603); amended under section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Plan of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § 510-7, 510-19 and 510-20).

The provisions of this § 82.17 adopted September 28, 1973, effective September 29, 1973, 3 Pa.B. 2178; amended January 2, 1981, effective January 3, 1981, 11 Pa.B. 11; amended January 28, 1994, effective January 29, 1994, 24 Pa.B. 709. Immediately preceding text appears at serial pages (59117) to (59118) and (109685).

History

Authority: The provisions of this § 82.20 issued under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Plan of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).
Source: The provisions of this § 82.20 adopted January 28, 1994, effective January 29, 1994, 24 Pa.B. 709.

7 Pa. Code § 82.18 Occupant concurrent responsibility.

(a) The occupants of a seasonal farm labor camp shall be held legally responsible, concurrently with the permittee of the camp, for the maintenance and operation of the camp in compliance with § 82.4(d) (relating to site); § 82.6(a) and (b) (relating to maintenance of cleanliness); § 82.9(k) (relating to toilet facilities); § 82.11(f) (relating to laundry, handwashing and bathing facilities); and § 82.13(a), (c) and (e) (relating to refuse) provided that the following conditions are met:

(1) Prior to occupancy of the camp for the season, or before this section may be applied, the Department has inspected the camp and found it in compliance with the provisions of this chapter.

(2) Each occupant to be held so responsible has been informed of the applicable requirements of this chapter, in writing and in the native language of the occupant, and has acknowledged such responsibility in writing upon a form provided or approved by the Department.

(b) Nothing in this section shall be held to relieve the owner, operator or permittee of the camp of any responsibility imposed by any provision of this chapter, or otherwise provided by any other law or regulation.

The provisions of this § 82.18 issued under sections 301 and 603 of the Seasonal Farm Labor Act (43 P. S. § § 1301.301 and 1301.603).

The provisions of this § 82.18 adopted September 28, 1973, effective September 29, 1973, 3 Pa.B. 2178; amended January 2, 1981, effective January 3, 1981, 11 Pa.B. 11. Immediately preceding text appears at serial page (19739).

History

Authority: The provisions of this § 82.20 issued under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Plan of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).
Source: The provisions of this § 82.20 adopted January 28, 1994, effective January 29, 1994, 24 Pa.B. 709.

7 Pa. Code § 82.19 Obligations of owners and operators.

Nothing in this chapter relieves the owner, operator or occupant of a seasonal farm labor camp of the responsibilities imposed by other statutes or rules and regulations, including, but not limited to, the Disease Prevention and Control Law of 1955 (35 P. S. § § 521.1—521.21).

The provisions of this § 82.19 issued under sections 301 and 603 of the Seasonal Farm Labor Act (43 P. S § § 1301.301 and 1301.603); amended under section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Plan of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).

The provisions of this § 82.19 adopted September 28, 1973, effective September 29, 1973, 3 Pa.B. 2178; amended January 2, 1981, effective January 3, 1981, 11 Pa.B. 11; amended January 28, 1994, effective January 29, 1994, 24 Pa.B. 709. Immediately preceding text appears at serial page (109686).

History

Authority: The provisions of this § 82.20 issued under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Plan of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).
Source: The provisions of this § 82.20 adopted January 28, 1994, effective January 29, 1994, 24 Pa.B. 709.

7 Pa. Code § 82.20 Single family homes.

(a) A ‘‘single family home’’ is defined as a residential dwelling in which an individual or two or more persons related as spouses, children, parents, brothers or sisters to the seasonal farm worker occupant function as a single housekeeping unit and where the dwelling cannot be affected by the heating, plumbing, water, sewage and electrical systems of the other housing units.

(b) A permittee using single family homes as a component of a seasonal farm labor camp shall enter into written agreements with the seasonal farm workers occupying the single family homes or comply with the requirements for other living quarters. A permittee is eligible to use a written agreement only as long as housing is maintained in a habitable condition. The standards in this chapter which are applicable to other seasonal farm labor housing may be used as guidelines for single family homes unless there are specific requirements in this section.

(c) A permittee shall comply with the requirements for other living quarters in this chapter unless the permittee provides a written agreement, as to each single family home, specifying these requirements, and each single family home meets these requirements:

(1) An approved water supply which meets the requirements of § 82.7 (relating to water supply) and which provides hot and cold running water at a minimum pressure of 25 pounds per square inch under peak demand.

(2) An adequate and safe supply of electrical power, which complies with § 82.12(b) (relating to lighting and electrical).

(3) Adequate ventilation and weathertight windows and doors for all habitable rooms.

(4) A sound, weatherproof and defect-free physical structure.

(5) Adequate and safe prevention of rodent and insect infestations.

(6) Adequate toilet facilities and plumbing, including sewage disposal, which meet the requirements of this title.

(7) The availability of an adequate heat supply that can maintain temperatures of at least 68°F, on a continuous basis.

(8) Adequate garbage disposal, including containers with lids for temporary storage prior to removal and collection.

(9) The maintenance and provision of at least one fire extinguisher of eight units capacity rated ABC and at least one smoke alarm. The extinguisher shall be mounted in an accessible location within the dwelling.

(d) At a minimum, the written agreement shall include the following:

(1) A statement that the occupants consider the house their domicile.

(2) A statement that the seasonal farm labor camp permittee has an obligation to provide habitable housing to the occupants of the single family home.

(3) The living capacity of the home.

(4) A statement that the seasonal farm worker occupant or a representative of seasonal farm workers may request from the Department that the housing be inspected for a determination of habitability.

(5) A statement that the seasonal farm worker occupant and the worker’s family shall be given at least 2 weeks notice prior to eviction.

(6) A statement that actions by a permittee for the recovery of possession of a single family home shall conform to Pa.R.C.P.D.J. No. 500.

(e) Upon receipt of a written request, the Department may inspect a home to determine if housing is habitable under this chapter. A permittee that provides a home which is not habitable will not have the option of the written agreement. A determination by the Department of habitability is only intended to determine whether the permittee may use the agreement or shall comply with the requirements for other living quarters under this chapter.

(f) An agreement between a seasonal farm labor camp permittee and a seasonal farm worker to occupy a single family home shall be written both in English and in a language the worker understands, if not the same.

(g) As part of an annual application for renewal or issuance of a permit for a seasonal farm labor camp, a copy of a written agreement entered into under subsections (b)—(d) shall be provided to the Department.

The provisions of this § 82.20 issued under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Plan of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).

The provisions of this § 82.20 adopted January 28, 1994, effective January 29, 1994, 24 Pa.B. 709.

History

Authority: The provisions of this § 82.20 issued under the Seasonal Farm Labor Act (43 P. S. § § 1301.301—1301.606); section 9 of the act of May 18, 1937 (P. L. 654, No. 174) (43 P. S. § 25-9); the Reorganization Plan of 1955 (71 P. S. § 751-12); and sections 1907-A, 1919-A and 1920-A of The Administrative Code of 1929 (71 P. S. § § 510-7, 510-19 and 510-20).
Source: The provisions of this § 82.20 adopted January 28, 1994, effective January 29, 1994, 24 Pa.B. 709.

Part IV Bureau of Market Development

Chapter 85 Egg Certification

7 Pa. Code § 85.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Department—The Department of Agriculture of the Commonwealth. Organization—A marketing organization or producer who has entered into an agreement with the Department to prepare certified eggs. Personnel—Personnel licensed to certify eggs under this chapter.

History

Authority: The provisions of this Chapter 85 issued under act of April 4, 1929 (P. L. 144) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.
Source: The provisions of this Chapter 85 adopted July 1, 1965, unless otherwise noted.

7 Pa. Code § 85.2 Department responsibilities.

The Department will perform the following:

(1) Issue egg certification licenses to persons designated by the organization, when the Department is satisfied that such designee is fully qualified to classify eggs under Chapter 87 (relating to standards for grading and marketing eggs).

(2) Assign to each organization a code which shall be used to identify each wholesale or consumer lot of eggs certified.

(3) Permit the organization to use such insignia, stamps, labels or seals as may be adopted by the Department as official in the certification of eggs. The cost of such insignia, stamps, labels or seals shall be borne by the organization.

(4) Reserve the right to make unannounced periodic inspections of each plant employing licensed personnel to insure that the organization and licensee are properly certifying eggs and to inspect officially certified eggs in any of the marketing channels.

(5) Reserve the right to revoke any license for cause or terminate an agreement for failure of the organization or licensed employe of the organization to comply with any of the provisions of an agreement or Chapter 87. The revocation shall also terminate the use of insignia, stamps, labels, codes or seals authorized under paragraph (3).

(6) Inspect specific lots of eggs at the request of the organization when the organization has evidence that inaccurate grade determinations have been or are being made by personnel.

History

Authority: The provisions of this Chapter 85 issued under act of April 4, 1929 (P. L. 144) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.
Source: The provisions of this Chapter 85 adopted July 1, 1965, unless otherwise noted.

7 Pa. Code § 85.3 Personnel responsibilities.

Personnel shall perform the following:

(1) Prior to being licensed, take a written and practical egg quality test to determine accuracy in classifying eggs.

(2) Examine a sufficient number of eggs in each wholesale or consumer lot to satisfy themselves that the eggs meet the provisions of Chapter 87 (relating to standards for grading and marketing eggs).

(3) Be permitted to issue official certificates covering contract inspections and shall mail copies with covering work sheets to the Bureau of Market Development, Division of Eggs and Poultry, 2301 North Cameron Street, Harrisburg, Pennsylvania 17120 each month.

(4) Maintain a daily record of the number of cases of eggs certified and shall mail a signed record with the signature of the owner or manager, to the Bureau of Market Development, Division of Eggs and Poultry, 2301 North Cameron Street, Harrisburg, Pennsylvania 17120 each month.

History

Authority: The provisions of this Chapter 85 issued under act of April 4, 1929 (P. L. 144) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.
Source: The provisions of this Chapter 85 adopted July 1, 1965, unless otherwise noted.

7 Pa. Code § 85.4 Organization responsibilities.

Organizations shall agree to the following:

(1) To have at least two personnel available for duty for each period of operation and at least one personnel available when certified eggs are being packed.

(2) Not to take an action that may influence personnel in the performance of certification work; however, personnel may not be restricted to the performance of certification work only, but may discharge other duties which do not interfere with certification work.

(3) To permit authorized personnel of the Department to have access to the entire grading operations for the purpose of determining that accurate classifications are being established on eggs officially identified.

(4) To maintain and make available to the Department a continuous accurate record for a period of 1 month on eggs certified and identified.

(5) To pay the Commonwealth fees as stipulated in the agreement.

History

Authority: The provisions of this Chapter 85 issued under act of April 4, 1929 (P. L. 144) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.
Source: The provisions of this Chapter 85 adopted July 1, 1965, unless otherwise noted.

7 Pa. Code § 85.5 General requirements.

The Department and each organization shall agree to all of the following:

(1) An agreement may be terminated upon 30 days written notice by either party to the other except as provided in paragraph (2).

(2) There shall be a 6-months probationary period, at the end of which, if performance is satisfactory, certification shall continue. If performance is not satisfactory, a written 30-day termination notice shall be executed.

(3) Parties shall cooperate fully in compliance with the conditions contained in this chapter and future conditions which may be agreed upon as necessary in the development of an effective certification program.

History

Authority: The provisions of this Chapter 85 issued under act of April 4, 1929 (P. L. 144) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.
Source: The provisions of this Chapter 85 adopted July 1, 1965, unless otherwise noted.

7 Pa. Code § 85.6 Egg certification agreement.

The Department and each organization shall execute an agreement which shall comply with the form of Exhibit A.

This agreement entered into this

History

Authority: The provisions of this Chapter 85 issued under act of April 4, 1929 (P. L. 144) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.
Source: The provisions of this Chapter 85 adopted July 1, 1965, unless otherwise noted.

Chapter 87 Standards for Grading and Marketing Eggs

7 Pa. Code § 87.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Case—The standard 30, 24 or 15-dozen egg case as used in commercial practice in this Commonwealth. Department—The Department of Agriculture of the Commonwealth. Egg—The product of the domesticated fowl enclosed in a shell. Grade—Any lot or lots of two or more eggs. Lot—A quantity of 30-dozen eggs or more. Quality—The quality of an individual egg. Weight—The weight of individual eggs, dozens or cases.

History

Authority: The provisions of this Chapter 87 issued under act of April 4, 1929 (P. L. 144, No. 148) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.
Source: The provisions of this § 87.52 adopted August 18, 1964; amended June 16, 1972, 2 Pa.B. 1042; amended April 5, 1974, effective April 6, 1974, 4 Pa.B. 660. Immediately preceding text appears at serial page (1719).

7 Pa. Code § 87.11 Individual eggs with clean unbroken shells.

(a) AA quality. The shell shall be clean, unbroken and practically normal. The air cell shall not exceed 1/8 inch in depth, may show unlimited movement, and may be free or bubbly. The white shall be clear and firm so that the yolk outline is only slightly defined when the egg is twirled before the candling light. The yolk shall be practically free from apparent defects.

(b) A quality. The shell shall be clean, unbroken and practically normal. The air cell shall not exceed 3/16 of an inch in depth, may show unlimited movement and may be free or bubbly. The white shall be clear and at least reasonably firm so that the yolk outline is only fairly well defined when the egg is twirled before the candling light. The yolk shall be practically free from apparent defects.

(c) B quality. The shell shall be unbroken, may be abnormal, and may have slightly stained areas. Moderately stained areas are permitted if they do not cover more than 1/32 of the shell surface if localized or 1/16 of the shell surface if scattered. Eggs having shells with prominent stains or adhering dirt are not permitted. The air cell may exceed 3/16 of an inch in depth, may show unlimited movement, and may be free or bubbly. The white may be weak and watery so that the yolk outline is plainly visible when the egg is twirled before the candling light. The yolk may appear dark, enlarged, and flattened and may show clearly visible germ development but no blood due to such development it may show other serious defects that do not render the egg inedible.

The provisions of this § 87.11 adopted August 18, 1964; amended June 16, 1972, effective June 17, 1972, 2 Pa.B. 1042; amended April 5, 1974, effective April 6, 1974, 4 Pa.B. 660; amended January 31, 1975, effective February 1, 1975, 5 Pa.B. 184; amended January 29, 1982 effective April 30, 1982, 12 Pa.B. 468. Immediately preceding text appears at serial pages (19520) and (19521).

History

Authority: The provisions of this Chapter 87 issued under act of April 4, 1929 (P. L. 144, No. 148) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.
Source: The provisions of this § 87.52 adopted August 18, 1964; amended June 16, 1972, 2 Pa.B. 1042; amended April 5, 1974, effective April 6, 1974, 4 Pa.B. 660. Immediately preceding text appears at serial page (1719).

7 Pa. Code § 87.12 Individual eggs with stained or dirty, unbroken shells.

(a) B quality. The shell shall be unbroken, may be abnormal and may have slightly stained areas. Moderately stained areas are permitted if they do not cover more than 1/32 of the shell surface if localized or 1/16 of the shell surface if scattered. Eggs having shells with prominent stains or adhering dirt are not permitted.

(b) Dirty. The shell shall be unbroken with adhering dirt or foreign material, prominent stains, or moderate stains covering more than 1/32 of the shell surface if localized or 1/16 of the shell surface if scattered.

The provisions of this § 87.12 adopted August 18, 1964; amended January 29, 1982, effective April 30, 1982, 12 Pa.B. 468. Immediately preceding text appears at serial pages (19521) and (19522).

History

Authority: The provisions of this Chapter 87 issued under act of April 4, 1929 (P. L. 144, No. 148) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.
Source: The provisions of this § 87.52 adopted August 18, 1964; amended June 16, 1972, 2 Pa.B. 1042; amended April 5, 1974, effective April 6, 1974, 4 Pa.B. 660. Immediately preceding text appears at serial page (1719).

7 Pa. Code § 87.13 Individual eggs with checked, cracked or broken shells.

(a) Check individual eggs. The egg may have a crack in the shell but the shell membranes shall be intact.

(b) Leaker individual eggs. The shell may have a broken shell or a crack in the shell membranes with the contents exuding or free to exude through the shell.

The provisions of this § 87.13 adopted August 18, 1964; amended March 23, 1973, effective March 24, 1973, 3 Pa.B. 532. Immediately preceding text appears at serial page (4060).

History

Authority: The provisions of this Chapter 87 issued under act of April 4, 1929 (P. L. 144, No. 148) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.
Source: The provisions of this § 87.52 adopted August 18, 1964; amended June 16, 1972, 2 Pa.B. 1042; amended April 5, 1974, effective April 6, 1974, 4 Pa.B. 660. Immediately preceding text appears at serial page (1719).

7 Pa. Code § 87.21 Terms descriptive of the egg shell.

The following terms shall be used in describing egg shells:

(1) Clean. Free from foreign material and from stains or discolorations that are readily visible. Eggs with only very small specks, cage marks or stains may be considered clean if such specks, cage marks, or stains are not of sufficient number or intensity to detract from the generally clean appearance of the egg. Eggs that show traces of processing oil on the shell shall be considered clean unless otherwise soiled.

(2) Dirty. Unbroken, has dirt or foreign material adhering to the surface, and has prominent stains or moderate stains covering more than 1/32 of the shell surface if localized or 1/16 of the shell surface if scattered.

(3) Practically normal (AA or A quality). Approximates the usual shape and is sound and is free from thin spots. Ridges and rough areas that do not materially affect the shape and strength of the shell are permitted.

(4) Abnormal (B quality). A shell that may be somewhat unusual or decidedly misshapen or faulty in soundness or strength or may show pronounced ridges or thin spots.

(5) Unbroken. Free from checks or breaks.

(6) Checked and cracked. Has an actual break but the shell membranes shall be intact.

(7) Leaker. May have a break or crack in the shell and shell membrane, with the contents exuding or free to exude through the shell.

The provisions of this § 87.21 adopted August 18, 1964; amended June 16, 1972, effective June 17, 1972, 2 Pa.B. 1042; amended January 29, 1982 effective April 30, 1982, 12 Pa.B. 468. Immediately preceding text appears at serial pages (19522) and (4061).

History

Authority: The provisions of this Chapter 87 issued under act of April 4, 1929 (P. L. 144, No. 148) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.
Source: The provisions of this § 87.52 adopted August 18, 1964; amended June 16, 1972, 2 Pa.B. 1042; amended April 5, 1974, effective April 6, 1974, 4 Pa.B. 660. Immediately preceding text appears at serial page (1719).

7 Pa. Code § 87.22 Terms descriptive of the air cell of an egg.

The following terms shall be used in describing the air cell of eggs:

(1) Air cell. The air space between shell membranes normally located in the large end of the egg.

(2) Depth. Distance from the top of the air cell to the bottom when the egg is held air cell up.

(3) Practically regular. Maintains a practically fixed position in the egg and shows a fairly even outline with no more than 3/16 of an inch movement in any direction as the egg is rotated.

(4) Free air cell. Moves freely toward uppermost point in the egg as the egg is rotated slowly.

(5) Bubbly air cell. Ruptured, resulting in one or more small air bubbles usually floating beneath the main air cell.

The provisions of this § 87.22 adopted August 18, 1964; amended June 16, 1972, effective June 17, 1972, 2 Pa.B. 1042; amended April 5, 1974, effective April 6, 1974, 4 Pa.B. 660; amended June 16, 1972, 2 Pa.B. 1042. Immediately preceding text appears at serial page (1712).

History

Authority: The provisions of this Chapter 87 issued under act of April 4, 1929 (P. L. 144, No. 148) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.
Source: The provisions of this § 87.52 adopted August 18, 1964; amended June 16, 1972, 2 Pa.B. 1042; amended April 5, 1974, effective April 6, 1974, 4 Pa.B. 660. Immediately preceding text appears at serial page (1719).

7 Pa. Code § 87.23 Terms descriptive of the egg white.

The following terms shall be used in describing the egg white of eggs:

(1) Clear. Free from discoloration or from any foreign bodies floating in it. Prominent chalazas shall not be confused with foreign bodies such as spots or blood clots.

(2) Firm. (AA quality). Sufficiently thick or viscous to prevent the yolk outline from being more than slightly defined or indistinctly indicated when the egg is twirled. With respect to a broken-out egg, a firm white has a Haugh unit value above 72 when measured at a temperature from 45°F to 60°F.

(3) Reasonably firm (A quality). Somewhat less thick or viscous than a firm white. Permits the yolk to approach the shell more closely which results in a fairly well defined yolk outline when the egg is twirled. With respect to a broken-out egg, a reasonably firm white has a Haugh unit value of 60 to 72 when measured at a temperature from 45°F to 60°F.

(4) Weak and watery (B quality). Weak, thin, and generally lacking in viscosity. Permits the yolk to approach the shell closely, thus causing the yolk outline to appear plainly visible and dark when the egg is twirled. With respect to a broken-out egg, a weak and watery white has a Haugh unit value below 60 when measured at a temperature from 45°F to 60°F.

(5) Blood spots or meat spots. Small blood spots or meat spots aggregating not more than 1/8 inch in diameter, may be classed as B quality. If they are larger or showing diffusion of blood into the white surrounding the blood spots, the egg shall be classified as loss. Blood spots shall not be due to germ development; they may be on the yolk or in the white. Meat spots may be blood spots which have lost their characteristic red color or tissue from the reproductive organs.

(6) Bloody white. Eggs with bloody whites or blood diffused through the white shall be classed as loss.

The provisions of this § 87.23 adopted August 18, 1964; amended January 29, 1982, effective April 30, 1982, 12 Pa.B. 468. Immediately preceding text appears at serial pages (4061) and (12229).

History

Authority: The provisions of this Chapter 87 issued under act of April 4, 1929 (P. L. 144, No. 148) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.
Source: The provisions of this § 87.52 adopted August 18, 1964; amended June 16, 1972, 2 Pa.B. 1042; amended April 5, 1974, effective April 6, 1974, 4 Pa.B. 660. Immediately preceding text appears at serial page (1719).

7 Pa. Code § 87.24 Terms descriptive of the egg yolk.

The following terms shall be used in describing egg yolks:

(1) Outline slightly defined (AA quality). Yolk outline is indistinctly indicated and appears to blend into the surrounding white as the egg is twirled.

(2) Outline fairly well defined (A quality). Yolk outline is discernible but not clearly outlined as the egg is twirled.

(3) Outline plainly visible (B quality). Yolk outline is clearly visible as a dark shadow when the egg is twirled.

(4) Enlarged and flattened (B quality). Yolk membranes and tissues have weakened or moisture has been absorbed from the white to such an extent that the yolk appears definitely enlarged and flat. development or other defects.

(5) Practically free from defects (AA or A quality). Yolk shows no germ development but may show other very slight defects on its surface.

(6) Serious defects (B quality). Yolk shows well developed spots or areas and other serious defects such as olive yolks which do not render the egg inedible.

(7) Clearly visible germ development (B quality). A development of the germ spot on the yolk of a fertile egg has progressed to a point at which the germ is plainly visible as a definite circular area or spot with no blood in evidence.

(8) Blood due to germ development. Blood caused by development of the germ in a fertile egg to the point where it is visible as definite lines or blood ring. Such eggs shall be classified as inedible.

The provisions of this § 87.24 adopted August 18, 1964; amended January 29, 1982, effective April 30, 1982, 12 Pa.B. 468. Immediately preceding text appears at serial pages (12229) and (4063).

History

Authority: The provisions of this Chapter 87 issued under act of April 4, 1929 (P. L. 144, No. 148) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.
Source: The provisions of this § 87.52 adopted August 18, 1964; amended June 16, 1972, 2 Pa.B. 1042; amended April 5, 1974, effective April 6, 1974, 4 Pa.B. 660. Immediately preceding text appears at serial page (1719).

7 Pa. Code § 87.25 General terms.

The following terms shall be used in describing eggs:

(1) Loss. Eggs that are inedible, smashed, or broken so that contents are leaking; cooked; frozen; contaminated; or containing bloody whites, large blood spots, large unsightly meat spots, or other foreign material.

(2) Inedible eggs. Eggs following descriptions: black rots, yellow rots, white rots, mixed rots (addled eggs), sour eggs, eggs with green whites, eggs with stuck yolks, moldy eggs, musty eggs, eggs showing blood rings, eggs containing embryo chicks at or beyond the blood ring state, and any eggs that are adulterated as such term is defined in the Federal Food, Drug, and Cosmetic Act (21 U.S.C.A. § § 301—392).

The provisions of this § 87.25 adopted August 18, 1964; amended January 29, 1982, effective April 30, 1982, 12 Pa.B. 468. Immediately preceding text appears at serial page (4063).

History

Authority: The provisions of this Chapter 87 issued under act of April 4, 1929 (P. L. 144, No. 148) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.
Source: The provisions of this § 87.52 adopted August 18, 1964; amended June 16, 1972, 2 Pa.B. 1042; amended April 5, 1974, effective April 6, 1974, 4 Pa.B. 660. Immediately preceding text appears at serial page (1719).

7 Pa. Code § 87.31 Standards.

The following standards shall be used to classify wholesale grades of shell eggs:

1 Substitution of eggs possessing higher qualities for those possessing lower specified qualities shall be permitted.

The provisions of this § 87.31 adopted August 18, 1964; amended June 16, 1972, effective June 17, 1972, 2 Pa.B. 1042; amended April 5, 1974, effective April 6, 1974, 4 Pa.B. 660; amended through January 29, 1982, effective April 30, 1982, 12 Pa.B. 468. Immediately preceding text appears at serial pages (4063), (12230) and (12232).

History

Authority: The provisions of this Chapter 87 issued under act of April 4, 1929 (P. L. 144, No. 148) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.
Source: The provisions of this § 87.52 adopted August 18, 1964; amended June 16, 1972, 2 Pa.B. 1042; amended April 5, 1974, effective April 6, 1974, 4 Pa.B. 660. Immediately preceding text appears at serial page (1719).

7 Pa. Code § 87.32 Weights.

The following weight classes shall apply to wholesale grades of shell eggs:

1 Lot shall mean any quantity of 30 dozen or more eggs. 2 Case means standard 30 dozen egg case as used in commercial practice in the United States.

The provisions of this § 87.32 adopted August 18, 1964; amended January 29, 1982, effective April 30, 1982, 12 Pa.B. 468. Immediately preceding text appears at serial page (12232).

History

Authority: The provisions of this Chapter 87 issued under act of April 4, 1929 (P. L. 144, No. 148) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.
Source: The provisions of this § 87.52 adopted August 18, 1964; amended June 16, 1972, 2 Pa.B. 1042; amended April 5, 1974, effective April 6, 1974, 4 Pa.B. 660. Immediately preceding text appears at serial page (1719).

7 Pa. Code § 87.41 Standards.

(a) The following standards shall be used to classify consumer grades of shell eggs:

(1) Grade AA. The following are standards for Grade AA shell eggs:

(i) Grade AA (at origin) shall consist of eggs which are at least 87% AA quality. The maximum tolerance of 13% which may be below AA quality. may consist of A or B quality in any combination, except that within the tolerance for B quality not more than 1.0% may be B quality due to air cells over 3/8 inch, blood spots—aggregating not more than 1/8 inch in diameter—or serious yolk defects. Not more than 5.0%—7.0% for Jumbo size checks are permitted, and not more than 0.5% leakers, dirties or loss—due to meat or blood spots—in any combination, except that such loss may not exceed 0.3%. Other types of loss are not permitted.

(ii) Grade AA (destination) shall consist of eggs which are at least 72% AA quality. The remaining tolerance of 28% shall consist of at least 10% A quality and the remainder shall be B quality, except that within the tolerance for B quality not more than 1.0% may be B quality due to air cells over 3/8 inch, blood spots—aggregating not more than 1/8 inch in diameter—or serious yolk defects. Not more than 7.0%—9.0% for Jumbo size checks are permitted, and not more than 1.0% leakers, dirties, or loss—due to meat or blood spots—in any combination, except that such loss may not exceed 0.3%. Other types of loss are not permitted.

(2) The following are standards for Grade A shell eggs:

(i) Grade A (at origin) shall consist of eggs which are at least 87% A quality or better. Within the maximum tolerance of 13% which may be below A quality, not more than 1.0% may be B quality due to air cells over 3/8 inch, blood spots—aggregating not more than 1/8 inch in diameter—or serious yolk defects. Not more than 5.0%—7.0% for Jumbo size checks are permitted, and not more than 0.5 leakers, dirties or loss—due to meat or blood spots—in any combination, except that such loss may not exceed 0.3%. Other types of loss are not permitted.

(ii) Grade A (destination) shall consist of eggs which are at least 82% A quality or better. Within the maximum tolerance of 18% which may be below A quality, not more than 1.0% may be B quality due to air cells over 3/8 inch, blood spots—aggregating not more than 1/8 inch in diameter—or serious yolk defects. Not more than 7.0%—9.0% for Jumbo size checks are permitted, and not more than 1.0% leakers, dirties or loss—due to meat or blood spots—in any combination, except that such loss may not exceed 0.3%. Other types of loss are not permitted.

(3) Grade B. The following are standards for Grade B shell eggs:

(i) Grade B (at origin) shall consist of eggs which are at least 90% B quality or better. Not more than 10% may be checks and not more than 0.5% leakers, dirties, or loss—due to meat or blood spots—in any combination, except that such loss may not exceed 0.3%. Other types of loss are not permitted.

(ii) Grade B (destination) shall consist of eggs which are at least 90% B quality or better. Not more than 10% may be checks and not more than 1.0% leakers, dirties, or loss—due to meat or blood spots—in any combination, except that such loss may not exceed 0.3%. Other types of loss are not permitted.

(4) Additional tolerance. The following are additional tolerances:

(i) In lots of two or more cases:

(A) For Grade AA—no individual case may exceed 10% less AA quality eggs than the minimum permitted for the lot average.

(B) For Grade A—no individual case may exceed 10% less A quality eggs than the minimum permitted for the lot average.

(ii) For grades AA, A, and B—no lot shall be rejected or downgraded due to the quality of a single egg except for loss other than blood or meat spots.

(5) Application. Such grades are applicable to any quantity of two or more eggs but not individual eggs.

(6) Substitution. Substitution of eggs possessing higher qualities for those possessing lower qualities shall be permitted.

(7) Consumer grades. Pennsylvania consumer grades for shell eggs shall be as follows:

(i) The quality required for specified grades at origin shall conform with the following table:

(ii) The quality required for specified grades at destination shall conform with the following table:

(iii) Directions for use of tables:

(A) In lots of two more cases, see Table II for tolerances for an individual case within a lot.

(B) For the United States Consumer grades (at origin), a tolerance of 0.5% leakers, dirties, or loss—due to meat or blood spots—in any combination is permitted except that such loss may not exceed 0.3%. Other types of loss are not permitted.

(C) For the United States Consumer grades (destination), a tolerance of 1.0% leakers, dirties, or loss—due to meat or blood spots—in any combination is permitted; except that such loss may not exceed 0.3%. Other types of loss are not permitted.

(D) For United States Grade AA at destination, at least 10% must be A quality or better.

(E) For United States Grade AA and A at origin and destination within the tolerances permitted for B quality, not more than 1.0% may be B quality due to air cells over 3/8 inch, blood spots—aggregating not more than 1/8 inch in diameter—or serious yolk defects.

(F) For United States Grades AA and A Jumbo size eggs, the tolerance for Checks at origin and destination is 7.0% and 9.0% respectively.

(iv) Tolerances permitted for an individual case within a lot shall conform with the following table:

The provisions of this § 87.41 adopted August 18, 1964; amended November 3, 1972, effective November 4, 1972, 2 Pa.B. 2125; amended January 31, 1975, effective February 1, 1975, 5 Pa.B. 184; amended January 29, 1982, effective April 30, 1982, 12 Pa.B. 468. Immediately preceding text appears at serial pages (19523) to (19526).

History

Authority: The provisions of this Chapter 87 issued under act of April 4, 1929 (P. L. 144, No. 148) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.
Source: The provisions of this § 87.52 adopted August 18, 1964; amended June 16, 1972, 2 Pa.B. 1042; amended April 5, 1974, effective April 6, 1974, 4 Pa.B. 660. Immediately preceding text appears at serial page (1719).

7 Pa. Code § 87.42 Weight classes.

(a) The following weight classes shall apply to consumer grades of shell eggs:

(b) Minimum weights shall be permitted in various size classes only to the extent that they shall not reduce the net weight per dozen below the required minimum, giving thorough consideration to variable weight of individual eggs and variable efficiency of graders and scales which shall be maintained on a uniform and accurate basis.

(c) A lot average tolerance of 3.3% for individual eggs in the next lower weight class is permitted as long as no individual case within the lot exceeds 5.0%.

The provisions of this § 87.42 adopted August 18, 1964; amended January 31, 1975, effective February 1, 1975, 5 Pa.B. 184; amended through January 31, 1975, 5 Pa.B. 184. Immediately preceding text appears at serial page (4071).

This section cited in 7 Pa. Code § 87.52 (relating to marking).

History

Authority: The provisions of this Chapter 87 issued under act of April 4, 1929 (P. L. 144, No. 148) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.
Source: The provisions of this § 87.52 adopted August 18, 1964; amended June 16, 1972, 2 Pa.B. 1042; amended April 5, 1974, effective April 6, 1974, 4 Pa.B. 660. Immediately preceding text appears at serial page (1719).

7 Pa. Code § 87.51 Receptacles.

Marketing of eggs in consumer receptacles shall be permitted only if the receptacle is properly labeled or marked. Consumer receptacles shall include but not be limited to the following:

(1) Paper bags.

(2) Cardboard boxes.

(3) Shoe boxes.

(4) Consumer egg cartons.

(5) Multiple unit egg cartons.

(6) Eggs over-wrapped with paper or other material, and other such containers when used in offering eggs for sale to consumers.

The provisions of this § 87.51 adopted August 18, 1964.

History

Authority: The provisions of this Chapter 87 issued under act of April 4, 1929 (P. L. 144, No. 148) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.
Source: The provisions of this § 87.52 adopted August 18, 1964; amended June 16, 1972, 2 Pa.B. 1042; amended April 5, 1974, effective April 6, 1974, 4 Pa.B. 660. Immediately preceding text appears at serial page (1719).

7 Pa. Code § 87.52 Marking.

(a) All consumer receptacles shall be marked in a plain and conspicuous manner on the principal display panel (top) with:

(1) statement of identity (eggs) in size lettering reasonably related to the most prominent printed material on the principal display panel; and

(2) net contents in lettering at least 3/16 inches in height.

(b) The following information shall be shown on the principal display panel or a side panel in a plain and conspicuous manner:

(1) Consumer grade.

(2) Weight class.

(3) Name and address, including ZIP code, of the producer, packer, or distributor.

(c) In lieu of the consumer grade, eggs may be marked in a conspicuous manner on the front or top panel with a statement of ‘‘Not Classified,’’ ‘‘Unclassified,’’ or other terminology acceptable to the Department. ‘‘Not Classified,’’ ‘‘Unclassified,’’ or other acceptable terminology shall indicate eggs of edible quality which are not segregated according to official Pennsylvania grades and weight classes, but not to include dirties, leakers, and loss.

(d) Consumer grades which may be used in the marking of consumer receptacles are those defined in § 87.41 (relating to standards).

(e) Weight classes which may be used in the marking of consumer receptacles are those defined in § 87.42 (relating to weight classes).

The provisions of this § 87.52 adopted August 18, 1964; amended June 16, 1972, 2 Pa.B. 1042; amended April 5, 1974, effective April 6, 1974, 4 Pa.B. 660. Immediately preceding text appears at serial page (1719).

History

Authority: The provisions of this Chapter 87 issued under act of April 4, 1929 (P. L. 144, No. 148) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.
Source: The provisions of this § 87.52 adopted August 18, 1964; amended June 16, 1972, 2 Pa.B. 1042; amended April 5, 1974, effective April 6, 1974, 4 Pa.B. 660. Immediately preceding text appears at serial page (1719).

Chapter 88 Egg Refrigeration Requirements

7 Pa. Code § 88.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Act—The Egg Refrigeration Law (31 P. S. § § 300.1—300.9). Ambient temperature—The temperature of the air surrounding an egg on all sides. Case or case of consumer receptacles—A container used to carry, transport, store or segregate two or more consumer receptacles; or the standard 30, 24 or 15-dozen egg case as used in commercial practice in this Commonwealth. Consumer receptacle—A container used for the sale of shell eggs at retail, including a paper bag, a cardboard box, a shoe box, an egg case or an egg carton. Date of lay—The Julian date on which the eggs were produced by the domesticated fowl. Date of process—The Julian date on which the eggs were washed and packed in containers, cases or consumer receptacles. Distributor—A person or business entity which sells or provides food or food products to a food establishment. Egg or shell egg—The product of domesticated fowl, enclosed in a shell, to be used for human consumption. Egg processor or processor—A person who collects, washes or packs shell eggs for commercial sale or distribution. Egg producer or producer—A person who owns a laying flock of domesticated fowl which produces eggs for marketing or use within this Commonwealth. Food establishment—A food distributor, food processor, food service establishment, public eating or drinking establishment, retail food store or another person or business entity which sells, distributes, holds for distribution or prepares or packages for distribution food or food products. Food processor—A person or business entity which manufacturers or packages food products. House of origin—The particular building, chicken house or structure at which an egg is laid. Internal temperature—The temperature of the interior of an egg. Julian date—The sequential number of each day of a calendar year. Person—An individual, firm, corporation, association or another form of business entity. Retail food store—An establishment or section of an establishment where food and food products are offered to the consumer and intended for off-premises consumption.

History

Authority: The provisions of this Chapter 88 issued under the Egg Refrigeration Law (31 P. S. § § 300.1—300.9), unless otherwise noted.
Source: The provisions of this Chapter 88 adopted September 24, 1993, effective September 25, 1993, 23 Pa.B. 4500, unless otherwise noted.

7 Pa. Code § 88.2 Temperature requirements.

(a) Initial requirement. Within 24 hours of being laid, an egg sold or produced within this Commonwealth shall be subjected to and maintained at an ambient temperature not to exceed 55°F. This temperature requirement shall be maintained during transport and until the egg has been washed and packed, regardless of whether the egg is in the physical possession of the flock owner, a transporter, a processor or another person.

(b) Requirement after washing and packing. An egg sold or produced within this Commonwealth shall be subjected to and maintained at an ambient temperature not to exceed 45°F immediately after it has been washed and packed. This temperature requirement shall remain applicable during storage or transport, and until delivery to a food establishment.

(1) An egg at a food processor, retail food store, distributor or other food establishment shall be maintained at an internal temperature not to exceed 45°F until use, preparation or purchase by a consumer.

(2) Notwithstanding the 45°F internal temperature requirement described in paragraph (1), an egg to be used for food processing may be removed from refrigeration and kept in the processing area if the following conditions are met:

(i) The total time between removal of the egg from refrigeration and completion of food processing utilizing the egg does not exceed 4 hours.

(ii) The processed food reaches a minimum internal temperature of 140°F (60°C) during processing.

(d) Exception. The temperature requirements described in subsections (a)—(c) do not apply to a small egg processor who meets all of the following requirements. The egg processor:

(1) Has maintained a flock of laying hens at all times during the prior 12 months, with the aggregate number of those laying hens not exceeding 3,200.

(2) Sells or markets greater than 50% of the eggs which he produces and processes for sale or distribution within a 100-mile radius of the facility at which eggs are produced and processed.

(3) Sells or markets eggs within 5 days of the date of lay.

(4) Maintains each egg at an ambient temperature of 60°F or less within 24 hours of being laid, and maintains the egg at this ambient temperature until sale.

(e) Enforcement of certain requirements by the Department of Environmental Resources. The Department of Environmental Resources will enforce the act with regard to public eating or drinking establishments under section 9 of the act (31 P. S. § 300.9) and at 7 Pa. Code § 78.23 (Reserved) and other applicable authority.

This section cited in 7 Pa. Code § 88.4 (relating to labeling); 7 Pa. Code § 88.5 (relating to labeling for certain small egg processors); and 7 Pa. Code § 88.6 (relating to recordkeeping requirements).

History

Authority: The provisions of this Chapter 88 issued under the Egg Refrigeration Law (31 P. S. § § 300.1—300.9), unless otherwise noted.
Source: The provisions of this Chapter 88 adopted September 24, 1993, effective September 25, 1993, 23 Pa.B. 4500, unless otherwise noted.

7 Pa. Code § 88.3 Thermometers.

Each cooler, transport vehicle, display case or other egg storage facility shall have therein an indicating thermometer accurate to plus or minus 2°F. The thermometer shall be located at the warmest point in the facility.

History

Authority: The provisions of this Chapter 88 issued under the Egg Refrigeration Law (31 P. S. § § 300.1—300.9), unless otherwise noted.
Source: The provisions of this Chapter 88 adopted September 24, 1993, effective September 25, 1993, 23 Pa.B. 4500, unless otherwise noted.

7 Pa. Code § 88.4 Labeling.

(a) Identifying information. Each consumer receptacle and case of consumer receptacles shall be labeled by the processor with the following information regarding the eggs contained therein:

(1) The plant at which the eggs were processed.

(2) The date of process.

(3) The flock of origin of the eggs.

(b) Coding system. The processor may meet the requirements of subsection (a) by using a coding system, if the following conditions are met:

(1) A written explanation of the coding system has been submitted to the Bureau of Food Safety and Laboratory Services of the Department of Agriculture.

(2) The Department has issued written approval of the use of the coding system.

(1) A consumer receptacle shall be marked in a plain and conspicuous manner on the top front panel with the words ‘‘KEEP REFRIGERATED’’ in letters at least 3/16 inches in height.

(2) A case of consumer receptacles shall be marked in a plain and conspicuous manner on the top and two side panels with the words ‘‘KEEP REFRIGERATED’’ in letters at least 2 inches in height.

(d) Exception. This section does not apply to a small processor who meets the criteria in § 88.2(d) (relating to temperature requirements).

History

Authority: The provisions of this Chapter 88 issued under the Egg Refrigeration Law (31 P. S. § § 300.1—300.9), unless otherwise noted.
Source: The provisions of this Chapter 88 adopted September 24, 1993, effective September 25, 1993, 23 Pa.B. 4500, unless otherwise noted.

7 Pa. Code § 88.5 Labeling for certain small egg processors.

(a) General rule. A small egg processor who meets the criteria in § 88.2(d) (relating to temperature requirements) shall print upon each consumer receptacle and case of consumer receptacles in a clear and conspicuous manner the date of lay of the eggs contained therein. Eggs which are offered for sale from a retail bulk display shall have the date of lay and the identity of the small egg processor posted at the display in a clear and conspicuous manner.

(b) Different dates of lay. If eggs in a consumer receptacle, case of consumer receptacles or retail bulk display have different dates of lay, the earliest date of lay shall be used for labeling or posting purposes.

History

Authority: The provisions of this Chapter 88 issued under the Egg Refrigeration Law (31 P. S. § § 300.1—300.9), unless otherwise noted.
Source: The provisions of this Chapter 88 adopted September 24, 1993, effective September 25, 1993, 23 Pa.B. 4500, unless otherwise noted.

7 Pa. Code § 88.6 Recordkeeping requirements.

(a) Eggs processed by persons other than their producer.

(1) An egg producer who sells or transfers eggs to a processor before washing and packing shall maintain the following records for at least 6 months from the date of lay with respect to the eggs:

(i) The date of lay of the eggs.

(ii) The house of origin from which the eggs were collected.

(iii) The date and time at which the eggs were initially subjected to an ambient temperature of 55°F.

(iv) Daily temperature records from the egg cooler for the period during which the eggs were in the possession or control of the egg producer.

(v) The identity of the person to whom the eggs were transferred or sold for processing.

(2) An egg processor who washes and packs eggs not produced by the egg processor shall maintain the following records for at least 6 months from the date of lay with respect to the eggs:

(i) The date of lay of the eggs.

(ii) The flock of origin of the eggs.

(iii) The date upon which the processor took possession of the eggs.

(iv) The date upon which the eggs were washed and packed.

(v) Daily temperature records from the egg cooler for the period during which the eggs were in the possession or control of the egg processor.

(vi) The identity of the persons to whom the eggs were transferred, sold or delivered.

(b) Eggs processed by their producer. An egg producer who processes eggs which originate from laying flocks owned by the producer shall maintain the following records for at least 6 months from the date of lay of the eggs:

(1) The date of lay of the eggs.

(2) The flock of origin of the eggs.

(3) The house of origin from which the eggs were collected.

(4) The date and time at which the eggs were initially subjected to an ambient temperature of 55°F.

(5) The date upon which the eggs were washed and packed.

(6) Daily temperature records from the egg cooler for the period during which the eggs were in the possession or control of the egg processor.

(7) The identity of the persons to whom the eggs were transferred, sold or delivered.

(1) Egg producers and egg processors who are required to keep records under this section shall make these records immediately available, upon request, to a representative of the Department or the Department of Environmental Resources.

(2) Egg producers and egg processors who are located outside of this Commonwealth and who produce or process eggs for use, marketing or sale within this Commonwealth shall maintain records in accordance with this section and shall forward the records upon request of the Department or the Department of Environmental Resources.

(d) Small egg producers and small egg processors. Subsections (a) and (b) do not apply to a small egg producer or egg processor who meets the criteria in § 88.2(d) (relating to temperature requirements). The small egg producers and small egg processors shall maintain documentation to evidence that they meet the criteria in § 88.2(d); and shall make this documentation available in accordance with subsection (c).

History

Authority: The provisions of this Chapter 88 issued under the Egg Refrigeration Law (31 P. S. § § 300.1—300.9), unless otherwise noted.
Source: The provisions of this Chapter 88 adopted September 24, 1993, effective September 25, 1993, 23 Pa.B. 4500, unless otherwise noted.

7 Pa. Code § 88.7 Unlawful conduct—penalties.

(a) Unlawful conduct. A person may not sell, distribute, use or store an egg that was not at all times in conformance with the act or this chapter. Each business day during which a violation of this section occurs shall constitute a separate offense.

(b) Penalties. Violations of the act or this chapter are punishable under section 5 or 6(a) of the act (31 P. S. § § 300.5 and 300.6(a)).

History

Authority: The provisions of this Chapter 88 issued under the Egg Refrigeration Law (31 P. S. § § 300.1—300.9), unless otherwise noted.
Source: The provisions of this Chapter 88 adopted September 24, 1993, effective September 25, 1993, 23 Pa.B. 4500, unless otherwise noted.

Chapter 93 Controlled Atmosphere Storage for Apples

7 Pa. Code § 93.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Apples—All varieties of the fruit commonly known as apple. Controlled atmosphere storage—Storage of fresh fruits or vegetables in a facility consisting of one or more rooms in which atmospheric gases are controlled in quantity and temperature for the purpose of controlling the condition and maturity of such fruits or vegetables. Department—The Department of Agriculture of the Commonwealth.

History

Authority: The provisions of this Chapter 93 issued under act of April 4, 1929, (P. L. 144, No. 148) (3 P. S. § § 21—33), unless otherwise noted.

7 Pa. Code § 93.2 Registration.

(a) A person desiring certification of a controlled atmosphere storage facility shall apply to the Department for registration of each room stating the location of the warehouse, the capacity of each room and the method, including types of units, used for controlling the atmosphere.

(b) Following receipt of the application, the Department will issue a registration number for each facility and a number for each controlled atmosphere room within the facility. The numbers shall be permanently affixed to the door of each room.

History

Authority: The provisions of this Chapter 93 issued under act of April 4, 1929, (P. L. 144, No. 148) (3 P. S. § § 21—33), unless otherwise noted.

7 Pa. Code § 93.3 Certification and sealing procedures.

(a) Within 20 days following the sealing of a room for the purpose of controlled atmosphere storage, the owner or operator of the facility shall request from the Department official certification of the storage facility conditions. The request shall specify the date of sealing, the registration number of the room and the number of bushels of each variety of fruit contained.

(b) After receipt of the request, the Department will insure that the atmospheric contents of the sealed room are measured. When it is determined that the oxygen contents of the room have been reduced to 5% or less within 20 days after sealing of the room, an official seal shall be affixed to the door of the room.

(c) The officially sealed room may not thereafter be entered during the required 90-day storage period except to make necessary repairs to maintain the required atmospheric conditions, in which event the Department shall be notified of the entry within 48 hours, and the room will be resealed by the Department.

(d) At approximately 90 days after the official sealing of a room, the Department will recheck the atmospheric contents and the records maintained, and shall issue a memorandum showing compliance, or failure to comply, with the requirements in § 93.4 (relating to atmospheric and temperature conditions).

History

Authority: The provisions of this Chapter 93 issued under act of April 4, 1929, (P. L. 144, No. 148) (3 P. S. § § 21—33), unless otherwise noted.

7 Pa. Code § 93.4 Atmospheric and temperature conditions.

(a) Oxygen content of the atmosphere shall be reduced to 5% or less in a controlled atmosphere storage room within 20 days after sealing the room and be maintained at or below such level for 90 days or more.

(b) The temperature, oxygen content and carbon dioxide content of the atmosphere shall be determined and recorded daily in a manner approved by the Department.

This section cited in 7 Pa. Code § 93.3 (relating to certification and sealing procedures) and 7 Pa. Code § 93.6 (relating to marking).

History

Authority: The provisions of this Chapter 93 issued under act of April 4, 1929, (P. L. 144, No. 148) (3 P. S. § § 21—33), unless otherwise noted.

7 Pa. Code § 93.5 Condition standards.

Upon opening a controlled atmosphere storage room or at the time of shipment, controlled atmosphere apples shall meet the 5%-tolerance requirement of United States Condition Standards For Export (7 CFR 51.323), as amended or revised, except that after May 31 following the year of production, an additional tolerance of 15% shall be allowed for ripe apples. Not more than one-tenth of this 20% total, or 2%, shall be allowed for over-ripe apples.

This section cited in 7 Pa. Code § 93.6 (relating to marking).

History

Authority: The provisions of this Chapter 93 issued under act of April 4, 1929, (P. L. 144, No. 148) (3 P. S. § § 21—33), unless otherwise noted.

7 Pa. Code § 93.6 Marking.

(a) A person may not sell, expose for sale or transport for sale apples in closed packages labeled as having been exposed to controlled atmosphere, nor may they use a term or form of words or symbols of similar import on a container, unless the apples were stored in a warehouse complying with the requirements of § 93.4 (relating to atmospheric and temperature conditions), and such storage is certified by the Department, or by the state where the apples were stored (if the controlled atmosphere storage regulations of that state are equivalent to the requirements of this chapter).

(b) Any lot of apples represented as being exposed to controlled atmosphere conditions and which fails to meet the requirements of § 93.5 (relating to condition standards) shall be cause for the Department to require evidence that the apples were stored in a facility pursuant to § 93.4.

(c) A person may not mark a container of apples to indicate or imply official certification of storage or condition of apples unless the certification has been given under this chapter.

(d) The containers of apples meeting the requirements of § 93.5 may be marked with an official stamp furnished by the Department, or other approved markings.

History

Authority: The provisions of this Chapter 93 issued under act of April 4, 1929, (P. L. 144, No. 148) (3 P. S. § § 21—33), unless otherwise noted.

7 Pa. Code § 93.7 Inspection and certification

An annual license fee of $5 plus necessary and reasonable expenses incurred in making the inspection and certification shall be assessed the owner or operator of each room subjected to official inspection for determining compliance with warehouse conditions. Each license shall expire on the July 31st next following its date of issuance.

History

Authority: The provisions of this Chapter 93 issued under act of April 4, 1929, (P. L. 144, No. 148) (3 P. S. § § 21—33), unless otherwise noted.

Chapter 96 Standards of Quality for Grading and Classifying Grapes, Potatoes, Apples and Peaches

7 Pa. Code § 96.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Closed package—A basket, box, bag or other container the contents of which cannot be adequately inspected without opening it. Department—Department of Agriculture of the Commonwealth. Person—A natural person, firm, partnership, association or corporation. Unclassified—Not graded and classified as to quality.

History

Source: The provisions of this Chapter 96 adopted February 7, 1975, effective February 8, 1975, 5 Pa.B. 237, unless otherwise noted.

7 Pa. Code § 96.2 Standards of quality for grading and classifying.

The official standards of quality for grading and classifying grapes, potatoes, apples and peaches sold in the Commonwealth shall be the same as standards promulgated by the Secretary of Agriculture of the United States, which standards are commonly known as ‘‘United States Grades.’’

This section cited in 7 Pa. Code § 96.3 (relating to marking).

History

Source: The provisions of this Chapter 96 adopted February 7, 1975, effective February 8, 1975, 5 Pa.B. 237, unless otherwise noted.

7 Pa. Code § 96.3 Marking.

(a) A person may not sell, expose for sale, or transport for sale in closed packages, grapes, potatoes, apples or peaches not marked with the appropriate United States Grades: provided, however, this section does not apply to grapes, potatoes, apples and peaches not graded and classified as to quality if shipped for sale or sold exposed for sale as ‘‘unclassified’’ as provided in 3 P. S. § 372.

(b) Grade identification and classification as to quality other than established as official under § 96.2 (relating to standards of quality for grading and classifying) may be shown, provided, however, the appropriate United States grade is the dominant mark on the container. To satisfy this subsection as to dominance, the United States grade mark shall be at least 100% larger than any other grade mark shown. Under no circumstances may another grade mark be so contrived as to command as much or more prominence than the United States grade mark.

(c) The United States grade mark shall appear on the container in the conventional area for grade marks and other related information.

History

Source: The provisions of this Chapter 96 adopted February 7, 1975, effective February 8, 1975, 5 Pa.B. 237, unless otherwise noted.

Chapter 97 Container Standards

7 Pa. Code § 97.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Climax basket—A basket for grapes and other fruits and vegetables which is approximately rectangular in shape, with handle, and having slanting sides composed of one or more pieces of material bound at the top by bands of heavier material, and having a solid bottom or having sides and bottom formed from one continuous piece of material. Hamper—A container, usually round, but which may be elliptical or polygonal, larger at top than at bottom, and of greater depth than width; having slatted or solid sides and solid or fabricated bottom, or having sides and bottom formed of one continuous piece of material. Round stave basket—A round container, larger at top than at bottom, and of greater width than depth, having slatted sides and solid or fabricated bottom, or having sides and bottom formed from one continuous piece of material. Splint basket—A basket commonly known to the trade as a market basket, approximately rectangular in shape, usually with handle or handles, the sides and bottom of which are formed of solid or fabricated material, usually bound at the top by bands of heavier material. Standard basket or other container for small fruits, berries and vegetables— A small, open or partly open container generally known as a berry box or till basket, commonly made in the following sizes: 1/2-pint, pint, quart, 2-quart, 3-quart, and 4-quart; the larger sizes sometimes used with handles; used as a display or retail sales package or as a sub-container with a crate or other carrier, but not usually in itself a primary shipping container; or any other baskets for the above commodities made in multiples of the dry 1 quart.

History

Authority: The provisions of this Chapter 97 issued under act of April 4, 1929 (P. L. 144) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.

7 Pa. Code § 97.11 Standards for climax baskets.

(a) The standard 2-quart climax basket shall be of the following dimensions: Length of bottom piece, 9 1/2 inches; width of bottom piece, 3 1/2 inches; thickness of bottom piece, 3/8 inch; height of basket, 3 7/8 inches outside measurement; top of basket, length 11 inches and width 5 inches, outside measurement. Basket shall have a cover 5 by 11 inches, when a cover is used.

(b) The standard 4-quart climax basket shall be of the following dimensions: Length of bottom piece, 12 inches; width of bottom piece, 4 1/2 inches; thickness of bottom piece, 3/8 inch; height of basket, 4 11/16 inches, outside measurement; top of basket, length 14 inches, width 6 1/4 inches, outside measurement. Basket shall have a cover 6 1/4 inches by 14 inches, when the cover is used.

(c) The standard 12-quart climax basket shall be of the following dimensions: Length of bottom piece, 16 inches; width of bottom piece, 6 1/2 inches; thickness of bottom piece, 7/16 inch; height of basket, 7 1/16 inches, outside measurement; top of basket, length 19 inches, width 9 inches, outside measurement. Basket shall have cover 9 inches by 19 inches, when cover is used.

(d) The standards for climax baskets for mushrooms shall be those designated in subsections (a), (b) and (c) of this section, except that a one-pound climax basket of the following dimensions shall be standard for mushrooms when plainly stamped or marked on the side of the basket with the words ‘‘For mushrooms only’’: Length of bottom piece, 7 1/4 inches; width of bottom piece, 3 3/16 inches; thickness of bottom piece, 3/8 inch; height of basket, 3 5/8 inches; top of basket, length, 9 3/8 inches, width 4 3/8 inches outside measurements. Basket shall have a cover 4 3/8 inches by 9 3/8 inches, when cover is used.

(e) The required marking or stamping of one-pound baskets ‘‘For mushrooms only’’ shall be not less than 2 1/2 inches in over-all length, and composed of letters not less than 3/8 inch in height.

This section cited in 7 Pa. Code § 97.12(c) (relating to tolerances).

History

Authority: The provisions of this Chapter 97 issued under act of April 4, 1929 (P. L. 144) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.

7 Pa. Code § 97.12 Tolerances.

(a) For the purpose of allowing for variations in the capacity of containers incidental to manufacture, the excess or deficiency in the capacity of any container over or under the standard capacity prescribed for such container by these standards may be as much as, but not more than, the tolerance for excess and deficiency shown in Table 1, except for the following:

(1) Where departures from the standard capacity occur in any lot of containers, the proportion over and under the standard capacity shall be approximately equal.

(2) No lot shall be considered satisfactory in which the containers are within the deficiency tolejance but all are under the standard capacity prescribed for such containers.

(b) If a container has a capacity to which a standard is applicable, but which is not specified in the column headed ‘‘Standard capacity’’ in Table 1, the excess or the deficiency allowed shall be that permitted for the next smaller capacity specified in the table.

(c) The excess or deficiency in any dimension specified in Table 2 in the column designated ‘‘Basket dimensions’’ over or under the measurement prescribed for such dimensions in § 97.11 (relating to standards for climax baskets) may be as much as, but not more than, the amount specified opposite such dimension in the column designated ‘‘Excess or Deficiency,’’ as the case may be.

History

Authority: The provisions of this Chapter 97 issued under act of April 4, 1929 (P. L. 144) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.

7 Pa. Code § 97.21 Standards for baskets and other containers for small fruits, berries andvegetables.

(a) The dry half-pint shall contain 16.8 cubic inches.

(b) The dry pint shall contain 33.6 cubic inches.

History

Authority: The provisions of this Chapter 97 issued under act of April 4, 1929 (P. L. 144) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.

7 Pa. Code § 97.22 Tolerances.

(a) For the purpose of allowing for variations in the capacity of containers incidental to manufacture, the excess of deficiency in the capacity of any container over or under the standard capacity prescribed for such container by these standards may be as much as, but not more, than the tolerance for excess and deficiency shown in Table 3, except for the following:

(1) Where departures from the standard capacity occur in any lot of containers, the proportion over and under the standard capacity shall be approximately equal.

(2) No lot shall be considered satisfactory in which the containers are within the deficiency tolerance but all under the standard capacity prescribed for such containers.

(b) If a container has a capacity to which a standard is applicable, but which is not specified in the column headed ‘‘Standard capacity’’ in Table 3, the excess or the deficiency allowed shall be that permitted for the next smaller capacity specified in the table.

History

Authority: The provisions of this Chapter 97 issued under act of April 4, 1929 (P. L. 144) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.

7 Pa. Code § 97.31 Standards for hampers and round stave baskets for fruits and vegetables.

(a) The standard 1/8-bushel hamper or round stave basket shall contain 268.8 cubic inches.

(b) The standard 1/4-bushel hamper or round stave basket shall contain 537.6 cubic inches.

(d) The standard 1/2-bushel hamper or round stave basket shall contain 1075.21 cubic inches.

(e) The standard 5/8-bushel hamper or round stave basket shall contain 1344 cubic inches.

(f) The standard 3/4-bushel hamper or round stave basket shall contain 1612.8 cubic inches.

(g) The standard one-bushel hamper or round stave basket shall contain 2150.42 cubic inches.

(h) The standard 1 1/4-bushel hamper or round stave basket shall contain 2688 cubic inches.

(i) The standard 1 1/2-bushel hamper or round stave basket shall contain 3225.63 cubic inches.

(j) The standard 2-bushel hamper or round stave basket shall contain 4300.84 cubic inches.

History

Authority: The provisions of this Chapter 97 issued under act of April 4, 1929 (P. L. 144) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.

7 Pa. Code § 97.32 Tolerances.

(1) Where departures from the standard capacity occur in any lot of containers, the proportion over and under the standard capacity shall be approximately equal.

(2) No lot shall be considered satisfactory in which containers are within the deficiency tolerance but all under the standard capacity prescribed for such containers.

(b) If a container has a capacity to which a standard is applicable, but which is not specified in the column headed ‘‘Standard capacity’’ in Table 4, the excess or the deficiency allowed shall be that permitted for the next smaller capacity in the table.

History

Authority: The provisions of this Chapter 97 issued under act of April 4, 1929 (P. L. 144) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.

7 Pa. Code § 97.41 Standards for splint baskets for fruit and vegetables.

(a) The 4-quart splint basket shall contain 268.8 cubic inches.

(b) The 8-quart splint basket shall contain 537.6 cubic inches.

(d) The 16-quart splint basket shall contain 1075.21 cubic inches.

(e) The 24-quart splint basket shall contain 1612.8 cubic inches.

(f) The 32-quart splint basket shall contain 2150.42 cubic inches.

History

Authority: The provisions of this Chapter 97 issued under act of April 4, 1929 (P. L. 144) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.

7 Pa. Code § 97.42 Tolerances.

(a) For the purpose of allowing for variations in the capacity of containers incidental to manufacture, the excess or deficiency in the capacity of a container over or under the standard capacity prescribed for the container by these standards may be as much as, but not more than, the tolerance for excess and deficiency shown in Table 5, except for the following:

(1) Where departures from the standard capacity occur in a lot of containers, the proportion over and under the standard capacity shall be approximately equal.

(2) No lot may be considered satisfactory in which the containers are within the deficiency tolerance but under the standard capacity prescribed for the containers.

(b) If a container has a capacity to which a standard is applicable, but which is not specified in the column headed ‘‘Standard capacity’’ in Table 5, the excess or the deficiency allowed shall be that permitted for the next smaller capacity specified in the table.

History

Authority: The provisions of this Chapter 97 issued under act of April 4, 1929 (P. L. 144) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.

7 Pa. Code § 97.51 Use of covers.

If a cover is used on a container described in this chapter, it shall be securely fastened or attached in such a manner as not to reduce the capacity of the container below the minimum required for the container.

History

Authority: The provisions of this Chapter 97 issued under act of April 4, 1929 (P. L. 144) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.

7 Pa. Code § 97.52 Exceptions.

Nothing in this chapter prohibits the manufacture for sale or shipment, offer for sale or shipment of a container, or parts thereof, to a foreign country; nor may this chapter prevent the manufacture or use of banana hampers of the shape and character now in commercial use as shipping containers for bananas.

History

Authority: The provisions of this Chapter 97 issued under act of April 4, 1929 (P. L. 144) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.

Chapter 101 Standards for Grading Veal Calves

7 Pa. Code § 101.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Conformation—The general body portions of a bovine animal and the ratio of meat to bone. Conformation is determined primarily by the inherent muscular and skeletal system, but is also influenced by degree of fatness. Finish—The fatness of a bovine animal. The quality, quantity and distribution of finish are closely associated with the palatability and quality of the meat. Quality—The refinement of hair, hide and bone to the smoothness and symmetry of the body of a slaughter calf or vealer. Also related to the carcass yield and proportion of meat to bone. Slaughter calf—Young bovine animal usually between 3 and 8 months of age which is subsisted partially or entirely on feeds other than milk for a substantial period of time. The middle is heavier than that of a vealer and the calf has the overall physical characteristics associated with maturity beyond the vealer stage. Vealer—Young bovine animal typically less than 3 months of age which subsisted largely on milk and has the characteristic trimness of the middle associated with limited paunch development.

History

Authority: The provisions of this Chapter 101 issued under act of April 4, 1929 (P. L. 144) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.
Source: The provisions of this Chapter 101 adopted March 15, 1961, unless otherwise noted.

7 Pa. Code § 101.2 Application of standards.

(a) Vealers shall be graded largely on a composite evaluation of conformation, finish, quality and the total inherent physical characteristics of the animal.

(b) The grade descriptions of vealers as provided in § 101.3 (relating to standards for grades of vealers) applies to vealers of average age or maturity. In order to qualify for a specific grade, more mature animals shall carry somewhat more finish than specified and very young animals may carry somewhat less finish than specified.

(c) The description of each grade of vealers shall represent the lower limits of the grade. There may be numerous combinations of grade factors which meet minimum requirements for a particular grade.

(d) Use of the standards for grades of vealers shall be voluntary.

History

Authority: The provisions of this Chapter 101 issued under act of April 4, 1929 (P. L. 144) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.
Source: The provisions of this Chapter 101 adopted March 15, 1961, unless otherwise noted.

7 Pa. Code § 101.3 Standards for grades of vealers.

The following minimum standards for grades of vealers are the same as the official United States Department of Agriculture standards, 7 CFR 53.123 (relating to specification for official United States standards for grades of vealers) and apply in this Commonwealth:

(1) Prime. Superior in conformation, quality and finish. In conformation, Prime vealers tend to be low-set, compact, short of neck and body and relatively thick-fleshed. They are wide over the back, loin and rump. Shoulders and hips are moderately neat and smoothly laid in. The twist is deep and full, and the rounds are thick and moderately plump. There is a slight fullness or plumpness evident over the crops, loin and rump, which contributes to a rather well-rounded appearance. Prime vealers have a thin fat covering over the crops, back, loin, rump and upper ribs. The brisket, rear flanks and cod or udder show distinct evidence of fullness. Prime vealers exhibit evidences of high quality. The bones tend to be proportionately small, joints smooth, the hide moderately thin and pliable, and the body very trim, smooth and symmetrical.

(2) Choice. Tend to be moderately low-set, short-necked and compact. They are slightly thick-fleshed and moderately wide over the back and loin. Shoulders and hips are usually moderately neat and smoothly laid in, with only a slight tendency toward prominence. The loin, rump and rounds may appear almost flat, with little evidence of fullness. Choice vealers have a very thin fat covering over the back, loin and upper ribs. The brisket, rear flanks and cod or udder may show a very slight fullness. Choice vealers usually present a moderately refined appearance.

(3) Good. Tend to be slightly compact and slightly wide of back and loin. The neck may be slightly long and thin. Good grade vealers tend to be slightly thin-fleshed, and the loin, rump and rounds are flat and may present a very slight sunken or hollowed-out appearance. The shoulders and hips are slightly prominent. The fat covering is very limited and is discernible only over portions of the back and loin. The brisket, rear flanks and cod or udder may have small fat deposits but have no apparent fullness. Good grade vealers are usually moderately smooth and slightly refined in appearance.

(4) Standard. Tend to be rangy, upstanding, long and thin of neck, narrow over the back, loin and rump, and shallow in the twist. They are thin-fleshed, and there is a distinctly sunken or hollowed-out appearance over the back, loin and rounds. Hips and shoulders appear moderately prominent. There is an extremely thin fat covering over portions of the back and loin that is difficult to detect in the live animal. The vealers may show the heavy bones, thick hide, prominent hips and shoulders associated with coarseness, or they may show the small bones, tight hide and angularity denoting over-refinement.

(5) Utility. May tend to be very rangy, angular and long and thin of neck. They are very thinly fleshed, narrow over the back, loin and rump, and shallow in the twist. Hips and shoulders are very prominent, and the crops, back, loin, rump and rounds present a very sunken or hollowed-out appearance. Utility vealers show no visible evidence of fat covering. Utility vealers tend to be of low quality. The bones and joints are usually proportionately large and the hide either thick or tight and inelastic.

(6) Cull. Typically appears to be extremely rangy, angular, long and thin-necked, narrow and shallow bodied. Shoulders and hips are extremely prominent, and the crops, back, loin, rump and rounds present an extremely sunken or hollowed-out appearance. The general appearance denotes low quality. The relative proportion of meat to bone is very low, joints appear large and coarse, and the body is very unsymmetrical.

This section cited in 7 Pa. Code § 101.2 (relating to applications of standards).

History

Authority: The provisions of this Chapter 101 issued under act of April 4, 1929 (P. L. 144) (3 P. S. § § 21—33); and section 1704 of The Administrative Code of 1929 (71 P. S. § 444), unless otherwise noted.
Source: The provisions of this Chapter 101 adopted March 15, 1961, unless otherwise noted.

Chapter 103 Referendums

7 Pa. Code § 103.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Act—The Pennsylvania Agricultural Commodities Marketing Act of 1968 (3 P. S. § § 1001—1013). Affected producers—Producers designated as participants by the terms of the program. Cooperative—A cooperative marketing association, as defined by the act and which includes Commonwealth producers as members. Person—An individual, partnership, firm, corporation, association or other business unit. Producer—A person doing business wholly or in part within this Commonwealth and engaged in the business of producing agricultural commodities. Program—A marketing order issued by the Secretary under the act, governing the collection of fees and administration of budgets to benefit producers. Referendum order—An order adopted and promulgated by the Secretary under the act, calling for a referendum of producers of an agricultural commodity and prescribing detailed procedures for the conduct of the referendum. Secretary—The Secretary of Agriculture of the Commonwealth.

The provisions of this § 103.1 adopted August 25, 1972, effective August 26, 1972, 2 Pa.B. 1607.

History

Authority: The provisions of this Chapter 103 issued under section 6(d) of the Pennsylvania Agricultural Commodities Marketing Act of 1968 (3 P.S. § 1006(d)), unless otherwise noted.
Source: The provisions of this § 103.10 adopted August 25, 1972, effective August 26, 1972, 2 Pa.B. 1607; amended April 27, 1973, effective April 28, 1973, 3 Pa.B. 762. Immediately preceding text appears at serial page (6743).

7 Pa. Code § 103.2 Calling of referendum.

The Secretary shall, by adoption and promulgation of a referendum order, call for a referendum among the affected producers if:

(1) After a public hearing on a proposed marketing program, the Secretary determines that the proposed program tends to effectuate the purposes of the act.

(2) A written request for a referendum on proposed amendments to a marketing program is made by the advisory board or by 10% of the producers in an agricultural commodity group of over 2,000 affected producers or 15% of the producers in a commodity group of less than 2,000 affected producers and the Secretary determines that the proposed amendments will tend to effectuate the purposes of the act.

(3) A written request for a referendum on the question of termination of a marketing program is made by 10% of the producers in an agricultural commodity group of over 2,000 affected producers or 15% of the producers in a commodity group of less than 2,000 affected producers.

(4) A marketing program exists for an agricultural commodity group and more than 4 years have passed since the last referendum was held concerning the adoption or review of the program.

The provisions of this § 103.2 adopted August 25, 1972, effective August 26, 1972, 2 Pa.B. 1607; amended April 27, 1973, effective April 28, 1973, 3 Pa.B. 762. Immediately preceding text appears at serial page (6741).

History

Authority: The provisions of this Chapter 103 issued under section 6(d) of the Pennsylvania Agricultural Commodities Marketing Act of 1968 (3 P.S. § 1006(d)), unless otherwise noted.
Source: The provisions of this § 103.10 adopted August 25, 1972, effective August 26, 1972, 2 Pa.B. 1607; amended April 27, 1973, effective April 28, 1973, 3 Pa.B. 762. Immediately preceding text appears at serial page (6743).

7 Pa. Code § 103.3 Publication of referendum order.

The referendum order shall be published in the Pennsylvania Bulletin and in newspapers of general circulation that the Secretary designates in the referendum order.

The provisions of this § 103.3 adopted August 25, 1972, effective August 26, 1972, 2 Pa.B. 1607.

History

Authority: The provisions of this Chapter 103 issued under section 6(d) of the Pennsylvania Agricultural Commodities Marketing Act of 1968 (3 P.S. § 1006(d)), unless otherwise noted.
Source: The provisions of this § 103.10 adopted August 25, 1972, effective August 26, 1972, 2 Pa.B. 1607; amended April 27, 1973, effective April 28, 1973, 3 Pa.B. 762. Immediately preceding text appears at serial page (6743).

7 Pa. Code § 103.4 Referendum period.

The referendum period shall be specified in the referendum order and may not be less than 14 days, computed from the time the ballots are deposited in the United States mail, first class postage prepaid. Ballots may be returned by mail or in person to the office of the Secretary. Provision shall be made for an adequate interval between the announcement of the referendum and the voting period to enable cooperatives desiring to cast a representative vote to fulfill the requirements of the act.

The provisions of this § 103.4 adopted August 25, 1972, effective August 26, 1972, 2 Pa.B. 1607.

History

Authority: The provisions of this Chapter 103 issued under section 6(d) of the Pennsylvania Agricultural Commodities Marketing Act of 1968 (3 P.S. § 1006(d)), unless otherwise noted.
Source: The provisions of this § 103.10 adopted August 25, 1972, effective August 26, 1972, 2 Pa.B. 1607; amended April 27, 1973, effective April 28, 1973, 3 Pa.B. 762. Immediately preceding text appears at serial page (6743).

7 Pa. Code § 103.5 Distribution of voting materials.

Distribution of a copy of the proposed program, the program for review of proposed amendments, official ballot, voting instructions and a preaddressed return envelope shall be made by mail to affected producers. The names of affected producers shall be taken from lists maintained in the office of the Secretary. Additional copies of the same material shall be made available at the office of the Secretary.

The provisions of this § 103.5 adopted August 25, 1972, effective August 26, 1972, 2 Pa.B. 1607; amended April 27, 1973, effective April 28, 1973, 3 Pa.B. 762. Immediately preceding text appears at serial page (6741).

History

Authority: The provisions of this Chapter 103 issued under section 6(d) of the Pennsylvania Agricultural Commodities Marketing Act of 1968 (3 P.S. § 1006(d)), unless otherwise noted.
Source: The provisions of this § 103.10 adopted August 25, 1972, effective August 26, 1972, 2 Pa.B. 1607; amended April 27, 1973, effective April 28, 1973, 3 Pa.B. 762. Immediately preceding text appears at serial page (6743).

7 Pa. Code § 103.6 Voting limitations.

(a) A cooperative casting a representative vote may vote only its Pennsylvania eligible producer members as of the record date designated in the referendum order.

(b) A producer may cast only one vote in a referendum.

The provisions of this § 103.6 adopted August 25, 1972, effective August 26, 1972, 2 Pa.B. 1607.

History

Authority: The provisions of this Chapter 103 issued under section 6(d) of the Pennsylvania Agricultural Commodities Marketing Act of 1968 (3 P.S. § 1006(d)), unless otherwise noted.
Source: The provisions of this § 103.10 adopted August 25, 1972, effective August 26, 1972, 2 Pa.B. 1607; amended April 27, 1973, effective April 28, 1973, 3 Pa.B. 762. Immediately preceding text appears at serial page (6743).

7 Pa. Code § 103.7 Ballots.

(a) An individual producer ballot shall contain the following items:

(1) The name of the commodity program.

(2) Provision for ‘‘yes’’ and ‘‘no’’ votes.

(3) Space for the producer to indicate his production volume for the period specified in the referendum order, in the case of a referendum on a proposed program or amendment.

(4) In the case of a program providing for representative voting, the voter shall indicate the name of the cooperative of which he was a member as of the record date specified in the referendum order.

(5) The voter shall sign the ballot and indicate his post office address and county of residence.

(b) A representative ballot shall contain provision for the cooperative to indicate its ‘‘yes’’ or ‘‘no’’ vote, the number of its eligible producer members as of the record date specified in the referendum order, and, in the case of a referendum on a proposed program or amendment, the volume of commodity produced or marketed by or for those members for the period specified in the referendum order.

(c) A representative ballot shall be signed by an official in the name of the cooperative, certifying that the representative vote is in accordance with action taken by the cooperative’s board of directors and that the cooperative membership has been notified in writing of the board’s action at least 30 days prior to casting the representative vote.

(d) The representative ballot submitted by a cooperative shall be accompanied by a notarized, alphabetized list of eligible members as of the record date specified in the referendum order.

The provisions of this § 103.7 adopted August 25, 1972, effective August 26, 1972, 2 Pa.B. 1607; amended April 27, 1973, effective April 28, 1973, 3 Pa.B. 762. Immediately preceding text appears at serial page (6742).

History

Authority: The provisions of this Chapter 103 issued under section 6(d) of the Pennsylvania Agricultural Commodities Marketing Act of 1968 (3 P.S. § 1006(d)), unless otherwise noted.
Source: The provisions of this § 103.10 adopted August 25, 1972, effective August 26, 1972, 2 Pa.B. 1607; amended April 27, 1973, effective April 28, 1973, 3 Pa.B. 762. Immediately preceding text appears at serial page (6743).

7 Pa. Code § 103.8 Counting ballots.

(a) The ballots shall be counted by a teller committee appointed by the Secretary. The committee may be assisted by employes of the Department of Agriculture.

(b) Individual votes of producer members of a cooperative casting a representative vote shall be deducted from the representative vote.

The provisions of this § 103.8 adopted August 25, 1972, effective August 26, 1972, 2 Pa.B. 1607.

History

Authority: The provisions of this Chapter 103 issued under section 6(d) of the Pennsylvania Agricultural Commodities Marketing Act of 1968 (3 P.S. § 1006(d)), unless otherwise noted.
Source: The provisions of this § 103.10 adopted August 25, 1972, effective August 26, 1972, 2 Pa.B. 1607; amended April 27, 1973, effective April 28, 1973, 3 Pa.B. 762. Immediately preceding text appears at serial page (6743).

7 Pa. Code § 103.9 Challenged and spoiled ballots.

(a) Ballots may be challenged by members of the teller committee, and the Secretary shall decide whether a challenged ballot is acceptable.

(b) A ballot shall be considered a spoiled ballot if it is mutilated or marked in such a way it is not possible to determine with certainty its content.

The provisions of this § 103.9 adopted August 25, 1972, effective August 26, 1972, 2 Pa.B. 1607.

History

Authority: The provisions of this Chapter 103 issued under section 6(d) of the Pennsylvania Agricultural Commodities Marketing Act of 1968 (3 P.S. § 1006(d)), unless otherwise noted.
Source: The provisions of this § 103.10 adopted August 25, 1972, effective August 26, 1972, 2 Pa.B. 1607; amended April 27, 1973, effective April 28, 1973, 3 Pa.B. 762. Immediately preceding text appears at serial page (6743).

7 Pa. Code § 103.10 Announcing results of the referendum.

(a) The Secretary will announce the results of the referendum within 30 days following the completion of the referendum period. The results will be published in the Pennsylvania Bulletin and disseminated to the news media.

(b) The results of the referendum will be given in the following format:

(1) Total number of eligible votes cast, and, in the case of a referendum on a proposed program or amendment, the total production volume represented by the eligible votes.

(2) Total number of affirmative votes, and, in the case of a referendum on a proposed program or amendment, the production volume represented.

(3) Total number of negative votes, and, in the case of a referendum on a proposed program or amendment, the production volume represented.

(4) The totals of paragraphs (2) and (3) expressed as percentages of the total voting.

(5) Total number of spoiled or ineligible ballots.

The provisions of this § 103.10 adopted August 25, 1972, effective August 26, 1972, 2 Pa.B. 1607; amended April 27, 1973, effective April 28, 1973, 3 Pa.B. 762. Immediately preceding text appears at serial page (6743).

History

Authority: The provisions of this Chapter 103 issued under section 6(d) of the Pennsylvania Agricultural Commodities Marketing Act of 1968 (3 P.S. § 1006(d)), unless otherwise noted.
Source: The provisions of this § 103.10 adopted August 25, 1972, effective August 26, 1972, 2 Pa.B. 1607; amended April 27, 1973, effective April 28, 1973, 3 Pa.B. 762. Immediately preceding text appears at serial page (6743).

7 Pa. Code § 103.11 Reporting irregularities.

Disputes concerning the referendum procedures shall be submitted in written form to the Secretary within 7 calendar days after the end of the referendum period.

History

Authority: The provisions of this Chapter 103 issued under section 6(d) of the Pennsylvania Agricultural Commodities Marketing Act of 1968 (3 P.S. § 1006(d)), unless otherwise noted.
Source: The provisions of this § 103.10 adopted August 25, 1972, effective August 26, 1972, 2 Pa.B. 1607; amended April 27, 1973, effective April 28, 1973, 3 Pa.B. 762. Immediately preceding text appears at serial page (6743).

Chapter 105 Pennsylvania Agricultural Product Promotion Matching Grant Program—Statement of Policy

7 Pa. Code § 105.1 Program objectives.

(a) Purpose. Through the awarding of matching grants and the placing of conditions upon how grant moneys are to be spent, the Grant Program will fund projects to increase consumer awareness of Pennsylvania agricultural products and thereby increase sales of these agricultural products. Grants will be awarded to Pennsylvania nonprofit agricultural product promotion or marketing organizations.

(b) Competitive program. The Grant Program is competitive. Grant requests and related documentation shall be collected by the Bureau and reviewed by the Secretary, who will approve or reject each grant request.

(c) Funds available basis. Grants will not be awarded unless funds are available for this purpose. The Department need not expend all of the funds that are available for Pennsylvania agricultural product promotion through the Grant Program.

History

Source: The provisions of this § 105.7 amended September 20, 1996, effective September 21, 1996, 26 Pa.B. 4526. Immediately preceding text appears at serial pages (206513) to (206514).

7 Pa. Code § 105.2 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Applicant—A Pennsylvania nonprofit agricultural product promotion and marketing organization which submits an application for grant moneys as described in this chapter. Bureau—The Bureau of Market Development of the Department. Department—The Department of Agriculture of the Commonwealth. Grant Program—The Pennsylvania Agricultural Product Promotion and Marketing Matching Grant Program. Pennsylvania agricultural products—Any of the following agricultural commodities grown, processed or manufactured within this Commonwealth: Agricultural, horticultural, aquacultural, viticulture and dairy products, livestock and the products thereof, ranch raised fur-bearing animals and the products thereof, the products of poultry and bee raising, forestry and forestry products, and all products raised or produced on farms intended for human consumption, and the processed or manufactured products thereof intended for human consumption, transported or intended to be transported in commerce. Pennsylvania nonprofit agricultural product promotion and marketing organization—A nonprofit business organization having its principal business offices within this Commonwealth, or having 50% or more of its membership within this Commonwealth, or having 50% or more of the agricultural products which it promotes or markets produced within this Commonwealth, and having as its members groups, individuals or organizations that serve to distribute a Pennsylvania agricultural product in commerce. These members may include wholesalers, distributors, brokers, retailers, processors, growers and producers. Secretary—The Secretary of the Department.

The provisions of this § 105.2 amended September 20, 1996, effective September 21, 1996, 26 Pa.B. 4526. Immediately preceding text appears at serial pages (206511) to (206512).

History

Source: The provisions of this § 105.7 amended September 20, 1996, effective September 21, 1996, 26 Pa.B. 4526. Immediately preceding text appears at serial pages (206513) to (206514).

7 Pa. Code § 105.3 Limitations on grants.

The minimum amount of a matching grant is $1,000. As a requisite to receiving a matching grant, an applicant shall obtain and provide funds in an amount at least equal to the matching grant amount for the Pennsylvania agricultural product promotion and marketing project described in the grant application.

The provisions of this § 105.3 amended September 20, 1996, effective September 21, 1996, 26 Pa.B. 4526. Immediately preceding text appears at serial page (206512).

History

Source: The provisions of this § 105.7 amended September 20, 1996, effective September 21, 1996, 26 Pa.B. 4526. Immediately preceding text appears at serial pages (206513) to (206514).

7 Pa. Code § 105.4 Uses of matching grant moneys.

(a) Conformity to application. Matching grant moneys awarded to an applicant under this chapter shall be expended solely for the specific Pennsylvania agricultural product promotion and marketing project described in the grant application.

(b) Allowable expenditures of grant moneys. Grant moneys shall be used for one or more of the following purposes:

(1) To pay the cost of Pennsylvania agricultural product promotion and marketing projects described in the grant application.

(2) To pay the cost of a portion of a Pennsylvania nonprofit agricultural product promotion and marketing organization’s contribution to a National or regional agricultural product promotion or marketing project.

(3) To pay the cost of education programs conducted by an applicant.

(4) To pay the cost of trade shows conducted or attended by an applicant.

(c) Prohibited expenditure of grant moneys. Grant moneys may not be used to defray the costs of employing temporary or permanent personnel.

The provisions of this § 105.4 amended September 20, 1996, effective September 21, 1996, 26 Pa.B. 4526. Immediately preceding text appears at serial page (206512).

History

Source: The provisions of this § 105.7 amended September 20, 1996, effective September 21, 1996, 26 Pa.B. 4526. Immediately preceding text appears at serial pages (206513) to (206514).

7 Pa. Code § 105.5 Applications generally.

(a) Application required. Interested Pennsylvania nonprofit agricultural product promotion and marketing organizations shall submit grant applications to the Department.

(b) Obtaining an application. Application for grants under this chapter shall be made on forms prepared by the Department. The forms will be furnished, upon request, by the Department of Agriculture, Bureau of Market Development, 2301 North Cameron Street, Harrisburg, Pennsylvania 17110-9408.

(c) Additional documentation. The Secretary may require that an applicant submit additional documentation to complete or verify the application form. The additional documentation may include a letter, affidavit or other documentation:

(1) Verifying that an applicant is a Pennsylvania nonprofit agricultural product promotion and marketing organization.

(2) Verifying the activities and location of offices of an applicant.

(3) Confirming that the applicant for a matching grant has secured funds in an amount at least equal to the matching grant amount sought for the project.

This section cited in 7 Pa. Code § 105.6 (relating to filing applications).

History

Source: The provisions of this § 105.7 amended September 20, 1996, effective September 21, 1996, 26 Pa.B. 4526. Immediately preceding text appears at serial pages (206513) to (206514).

7 Pa. Code § 105.6 Filing applications.

(a) Place and time. An application for a grant under this chapter shall be received at the address in § 105.5(b) (relating to applications generally) by December 1, 1996. In subsequent years for which funding is available for this Grant Program, grant applications shall be received during a specific 30-day application period as advertised in the Pennsylvania Bulletin The advertisement will be published at least 14 days prior to the commencement of the application period.

(b) Incomplete or inaccurate applications. The Bureau will review each timely application, and supporting documentation submitted therewith, for completeness and accuracy. If a timely application is found to be incomplete or inaccurate, the Bureau may request additional documentation and may discontinue further processing of the application if the documentation is not received by the Bureau by December 1, 1996, or in subsequent years for which funding is available for this Grant Program, within the 30-day application period in subsection (a).

The provisions of this § 105.6 corrected December 15, 1995, effective December 9, 1995, 25 Pa.B. 5752; amended September 20, 1996, effective September 21, 1996, 26 Pa.B. 4526. Immediately preceding text appears at serial page (206513).

History

Source: The provisions of this § 105.7 amended September 20, 1996, effective September 21, 1996, 26 Pa.B. 4526. Immediately preceding text appears at serial pages (206513) to (206514).

7 Pa. Code § 105.7 Review of application.

(a) Transmittal of application to Bureau. When the Bureau receives a complete and accurate grant application, it will forward this application, together with supporting documentation submitted therewith, to the Secretary for review. The Bureau may also forward a recommendation as to whether the application should be approved or rejected, whether the grant should be in an amount less than requested, and whether special restrictions or limitations should be placed on the grant.

(b) Factors. The Secretary will review and evaluate the application and supporting documentation and may consider the following factors, among others, in deciding whether to approve or reject the grant request:

(1) The relevance of the project to the promotion or marketing of Pennsylvania agricultural products.

(2) The innovativeness of the project described in the application.

(3) The scope of the project and the number of people who will be exposed to or affected by the project described in the application.

(4) The impact which the project will have upon the promotion and sales of the Pennsylvania agricultural products to which the project is targeted.

(5) The availability of full funding for the project from the applicant or from any source other than the Grant Program.

(6) The apparent ability of the applicant to complete the project as described in the application or, in the case of a grant to fund a National or regional agricultural product promotion or marketing project, the apparent ability of the entity with primary responsibility for the project to complete it.

(7) The overall performance of the project if the project had received funding from the Grant Program in a previous fiscal year.

(8) Projects that are joint efforts between two or more Pennsylvania nonprofit agricultural product promotion and marketing organizations may be given preference over projects involving only one organization.

(9) Projects where reference to the Department as a source of funding can practicably be made in promotional materials or broadcasts, and that would make such a reference, may be given preference over projects that would not make such a reference.

(c) Decisions. The Secretary may approve a grant in an amount less than that requested in the grant application. In addition, the Secretary may impose restrictions or special conditions upon the issuance of a grant. The Secretary will review all recommendations of the Bureau, but will have final authority to accept or reject these recommendations.

The provisions of this § 105.7 amended September 20, 1996, effective September 21, 1996, 26 Pa.B. 4526. Immediately preceding text appears at serial pages (206513) to (206514).

History

Source: The provisions of this § 105.7 amended September 20, 1996, effective September 21, 1996, 26 Pa.B. 4526. Immediately preceding text appears at serial pages (206513) to (206514).

7 Pa. Code § 105.8 Notice of disposition of application.

The Department will mail to the applicant written notice of the acceptance or rejection of a grant application within 20 days of a decision in this regard. This notice will be by regular mail to the address indicated by the applicant on the grant application form.

History

Source: The provisions of this § 105.7 amended September 20, 1996, effective September 21, 1996, 26 Pa.B. 4526. Immediately preceding text appears at serial pages (206513) to (206514).

7 Pa. Code § 105.9 Grant agreement.

After the Secretary approves a grant application, and as a precondition to the Department’s release of grant moneys to a successful applicant, the Department and the applicant will execute a written Grant Agreement which describes the terms and conditions subject to which the grant is made. This Grant Agreement shall contain and conform to the requirements of this chapter. It shall contain a project completion date. It shall also contain special terms and conditions required by the Secretary. A Grant Agreement shall be fully-executed and in effect by June 30 of the July 1—June 30 fiscal year in which funds are appropriated or otherwise available for this Grant Program. If the Grant Agreement is not fully-executed and in effect by that date, the grant will not be awarded.

History

Source: The provisions of this § 105.7 amended September 20, 1996, effective September 21, 1996, 26 Pa.B. 4526. Immediately preceding text appears at serial pages (206513) to (206514).

7 Pa. Code § 105.10 Verification of use.

(a) Verification. Within 3 months of the project completion date specified in the Grant Agreement, the applicant shall submit to the Department written receipts for the total amount of the project costs. The Department may also require that additional documentation be submitted by the applicant in order to document the expenditure of grant moneys.

(b) Extension of time. The 3-month period described in subsection (a) may only be extended by the written permission of the Secretary. An extension will be for a specific period of time.

(c) Failure to verify use. If required receipts or documentation, or both, are not submitted to the Department as described in subsections (a) and (b), or if the grant moneys or any portion thereof are unaccounted for, the Secretary may demand, in writing, the return by the grant recipient of the entire grant sum or a lesser amount, plus appropriate legal interest. The grant recipient shall repay a sum demanded by the Department within 60 days of a written demand.

This section cited in 7 Pa. Code § 105.11 (relating to grant cancellation).

History

Source: The provisions of this § 105.7 amended September 20, 1996, effective September 21, 1996, 26 Pa.B. 4526. Immediately preceding text appears at serial pages (206513) to (206514).

7 Pa. Code § 105.11 Grant cancellation.

A grant may be canceled by the Department if the Secretary determines that grant funds are not being spent in accordance with the terms and conditions of the Grant Agreement. In the event of cancellation, the Department may demand the return of the grant sum, or a portion thereof, plus legal interest thereon, and the grant recipient shall repay the sum in the manner described in § 105.10(c) (relating to verification of use).

History

Source: The provisions of this § 105.7 amended September 20, 1996, effective September 21, 1996, 26 Pa.B. 4526. Immediately preceding text appears at serial pages (206513) to (206514).

7 Pa. Code § 105.12 Deficits.

The Department’s financial obligation or liability is limited to the amount of the grant. The Department will not be financially responsible for program cost overruns incurred by grant recipients.

History

Source: The provisions of this § 105.7 amended September 20, 1996, effective September 21, 1996, 26 Pa.B. 4526. Immediately preceding text appears at serial pages (206513) to (206514).

Part V Bureau of Plant Industry

Chapter 108 Agricultural Liming Materials

7 Pa. Code § 108.11 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Act—The Agricultural Liming Materials Act (3 P. S. § § 132-1—132-14). Agricultural liming material—A product whose calcium and magnesium compounds are capable of neutralizing soil acidity. Bulk—Substances that are in nonpackaged form. Burnt lime—A material made from limestone which consists predominantly of calcium oxide or a combination of calcium oxide with magnesium oxide. CCE—Calcium Carbonate Equivalent—The acid neutralizing capacity of an agricultural liming material expressed as weight percentage of calcium carbonate. ENV—Effective Neutralizing Value—A relative value using the calcium oxide content, magnesium oxide content and fineness to express the effectiveness of a limestone in neutralizing soil acidity. The term is synonymous with effective neutralizing power (ENP). Fineness—The percentage by weight of the material which will pass United States Standard sieves of specified sizes. Hydrated lime—A material made from burnt lime which consists predominantly of calcium hydroxide or a combination of calcium hydroxide with magnesium oxide or magnesium hydroxide, or both. Industrial by-product—Industrial waste or a by-product containing calcium or calcium and magnesium in forms that will neutralize soil acidity. Label—Written or printed matter on or attached to the package or on the delivery slip which accompanies a bulk shipment. Limestone—A material consisting predominantly of calcium carbonate with magnesium carbonate capable of neutralizing soil acidity. Marl—A granular or loosely consolidated earthy material composed predominantly of seashell fragments and calcium carbonate. Shells—The product obtained by grinding the shells of mollusks.

The provisions of this § 108.11 adopted March 4, 1994, effective March 5, 1994, 24 Pa.B. 1179.

History

Authority: The provisions of this Chapter 108 issued under the Agricultural Liming Materials Act (3 P. S. § § 132-1—132-14), unless otherwise noted.
Source: The provisions of this § 108.19 adopted March 4, 1994, effective March 5, 1994, 24 Pa.B. 1179.

7 Pa. Code § 108.12 General label requirement.

Agricultural liming materials sold, or offered or exposed for sale in this Commonwealth shall have affixed to each package in a conspicuous manner on the outside thereof a plainly printed, stamped or otherwise marked label or tag or, in the case of bulk sales, a delivery slip setting forth the information required by section 4 of the act (3 P. S. § 132-4) and this chapter.

The provisions of this § 108.12 adopted March 4, 1994, effective March 5, 1994, 24 Pa.B. 1179.

History

Authority: The provisions of this Chapter 108 issued under the Agricultural Liming Materials Act (3 P. S. § § 132-1—132-14), unless otherwise noted.
Source: The provisions of this § 108.19 adopted March 4, 1994, effective March 5, 1994, 24 Pa.B. 1179.

7 Pa. Code § 108.13 Type of agricultural mining material.

(a) Label requirement. The label shall set forth the type of agricultural liming material that is the subject of the label.

(b) Types. The types of agricultural liming materials are as follows:

(1) Limestone.

(2) Hydrated lime.

(3) Burnt lime.

(4) Industrial by-product.

(5) Marl and shells.

The provisions of this § 108.13 adopted March 4, 1994, effective March 5, 1994, 24 Pa.B. 1179.

History

Authority: The provisions of this Chapter 108 issued under the Agricultural Liming Materials Act (3 P. S. § § 132-1—132-14), unless otherwise noted.
Source: The provisions of this § 108.19 adopted March 4, 1994, effective March 5, 1994, 24 Pa.B. 1179.

7 Pa. Code § 108.14 Elemental calcium and magnesium.

(a) Label requirement. The minimum percentage of calcium oxide and magnesium oxide, or calcium carbonate and magnesium carbonate, or both, shall be expressed in the following form on the label:

(b) Optional label information. In addition to the label information required under subsection (a), the equivalent of calcium and magnesium may also be shown on the label in the form of calcium oxide and magnesium oxide or calcium carbonate and magnesium carbonate, or both.

The provisions of this § 108.14 adopted March 4, 1994, effective March 5, 1994, 24 Pa.B. 1179.

This section cited in 7 Pa. Code § 108.19 (relating to guaranteed dry weight analysis).

History

Authority: The provisions of this Chapter 108 issued under the Agricultural Liming Materials Act (3 P. S. § § 132-1—132-14), unless otherwise noted.
Source: The provisions of this § 108.19 adopted March 4, 1994, effective March 5, 1994, 24 Pa.B. 1179.

7 Pa. Code § 108.15 Fineness of agricultural liming material.

(a) Label requirement. The label shall set forth the classification of the fineness of the agricultural liming material that is the subject of the label. The minimum percentages by weight of that agricultural liming material which will pass through United States Standard 20, 60 and 100 mesh sieves shall also appear on the label.

(b) Classification criteria. The classifications of the fineness of agricultural liming materials, as set forth in this subsection, are the minimum percentages by weight which shall be able to pass through various sizes of United States Standard sieves to earn a particular classification:

The provisions of this § 108.15 adopted March 4, 1994, effective March 5, 1994, 24 Pa.B. 1179.

History

Authority: The provisions of this Chapter 108 issued under the Agricultural Liming Materials Act (3 P. S. § § 132-1—132-14), unless otherwise noted.
Source: The provisions of this § 108.19 adopted March 4, 1994, effective March 5, 1994, 24 Pa.B. 1179.

7 Pa. Code § 108.16 CCE.

(a) Label requirement. The label shall set forth the minimum CCE of the agricultural liming material that is the subject of the label.

(b) Calculation of CCE. CCE shall be determined by methods prescribed by the Association of Official Analytical Chemists.

The provisions of this § 108.16 adopted March 4, 1994, effective March 5, 1994, 24 Pa.B. 1179.

This section cited in 7 Pa. Code § 108.19 (relating to guaranteed dry weight analysis).

History

Authority: The provisions of this Chapter 108 issued under the Agricultural Liming Materials Act (3 P. S. § § 132-1—132-14), unless otherwise noted.
Source: The provisions of this § 108.19 adopted March 4, 1994, effective March 5, 1994, 24 Pa.B. 1179.

7 Pa. Code § 108.17 ENV.

(a) Label requirement. The label shall set forth the minimum ENV of the agricultural liming material that is the subject of the label.

(b) Calculation of ENV. ENV shall be calculated using the following formula: (% by weight passing 20 mesh sieve—% passing 60 mesh sieve) x 0.4 = (a) (% by weight passing 60 mesh sieve—% passing 100 mesh sieve) x 0.8 = (b) (% by weight passing 100 mesh sieve) x 1.0 = (c) [(a + b + c) x Calcium Carbonate Equivalent (CCE)] divided by 100 = ENV

The provisions of this § 108.17 adopted March 4, 1994, effective March 5, 1994, 24 Pa.B. 1179.

This section cited in 7 Pa. Code § 108.19 (relating to guaranteed dry weight analysis).

History

Authority: The provisions of this Chapter 108 issued under the Agricultural Liming Materials Act (3 P. S. § § 132-1—132-14), unless otherwise noted.
Source: The provisions of this § 108.19 adopted March 4, 1994, effective March 5, 1994, 24 Pa.B. 1179.

7 Pa. Code § 108.18 Moisture.

The label shall set forth the maximum percentage by weight of the moisture content of the agricultural liming material that is the subject of the label. The actual moisture content of the agricultural liming material shall be no more than 10% greater than the percentage by weight of moisture content expressed on the label.

The provisions of this § 108.18 adopted March 4, 1994, effective March 5, 1994, 24 Pa.B. 1179.

History

Authority: The provisions of this Chapter 108 issued under the Agricultural Liming Materials Act (3 P. S. § § 132-1—132-14), unless otherwise noted.
Source: The provisions of this § 108.19 adopted March 4, 1994, effective March 5, 1994, 24 Pa.B. 1179.

7 Pa. Code § 108.19 Guaranteed dry weight analysis.

(a) Label requirement. The information required under § § 108.14, 108.16 and 108.17 (relating to elemental calcium and magnesium; CCE; and ENV) shall appear on the label under the heading ‘‘Guaranteed Dry Weight Analysis.’’

(b) Accuracy. The guaranteed dry weight analysis on a label shall be deemed deficient if testing of the agricultural liming material that is the subject of the label shows that the actual analysis falls below the guaranteed dry weight analysis and any allowed tolerance with respect to any representation required to be set forth on the label by the act or this chapter.

(1) A tolerance of 2% of the guaranteed minimum shall be allowed with respect to guaranteed minimum CCE and minimum fineness.

(2) A tolerance of 10% of the guarantee shall be allowed with respect to any other analysis required to be set forth on a label by this chapter.

The provisions of this § 108.19 adopted March 4, 1994, effective March 5, 1994, 24 Pa.B. 1179.

History

Authority: The provisions of this Chapter 108 issued under the Agricultural Liming Materials Act (3 P. S. § § 132-1—132-14), unless otherwise noted.
Source: The provisions of this § 108.19 adopted March 4, 1994, effective March 5, 1994, 24 Pa.B. 1179.

Chapter 110 Noxious Weeds

7 Pa. Code § 110.1 Noxious weed control list.

Under section 3(b) of the Noxious Weed Control Law (3 P.S. § 255.3(b)), the Noxious Weed Control Committee establishes the following noxious weed control list:

(1) [Abrogated]. (Editor’s Note: Abrogated July 20, 2016, 3 Pa.C.S. § 709, effective upon publication of the notice under 3 Pa.C.S. § 703(a)(2).)

(2) The Lythrum salicaria Complex: Any nonnative Lythrum including, Lythrum salicaria and Lythrum virgatum, their cultivars and any combination thereof.

(3) Cirsium arvense, commonly known as Canadian thistle.

(4) Rosa multiflora, commonly known as multiflora rose.

(5) Sorghum halepense, commonly known as Johnson grass.

(6) Carduus nutans, commonly known as musk thistle.

(7) Cirsium vulgare, commonly known as bull thistle.

(8) Datura stramonium, commonly known as jimson weed.

(9) Polygonum perfoliatum, commonly known as mile-a-minute.

(10) Puerria lobata, commonly known as kudzuvine.

(11) Sorghum bicolor cv. drummondii, commonly known as shattercane.

(12) Heracleum mantegazzianum, commonly known as Giant Hogweed.

(13) Galega officinalis, commonly known as Goatsrue.

The provisions of this § 110.1 amended under sections 3(b), 8 and 9 of the Noxious Weed Control Law (3 P.S. § § 255.3(b), 255.8 and 255.9); § 110.1(1) abrogated under 3 Pa.C.S. § 709.

The provisions of this § 110.1 amended April 11, 1997, effective April 12, 1997, 27 Pa.B. 1793; amended November 17, 2000, effective November 18, 2000, 30 Pa.B. 5941; § 110.1(1) abrogated July 20, 2016, 3 Pa.C.S. § 709, effective upon publication of the notice under 3 Pa.C.S. § 703(a)(2). Immediately preceding text appears at serial page (284767).

History

Authority: The provisions of this § 110.1 amended under sections 3(b), 8 and 9 of the Noxious Weed Control Law (3 P.S. § § 255.3(b), 255.8 and 255.9); § 110.1(1) abrogated under 3 Pa.C.S. § 709.
Source: The provisions of this § 110.1 amended April 11, 1997, effective April 12, 1997, 27 Pa.B. 1793; amended November 17, 2000, effective November 18, 2000, 30 Pa.B. 5941; § 110.1(1) abrogated July 20, 2016, 3 Pa.C.S. § 709, effective upon publication of the notice under 3 Pa.C.S. § 703(a)(2). Immediately preceding text appears at serial page (284767).

Chapter 111 Seed Testing, Labeling and Standards

7 Pa. Code § 111.1 Sampling and testing of seeds.

The terms used in seed testing and the methods of sampling, inspecting, analyzing, testing and examining agriculture, vegetable, flower, tree and shrub seeds, and lawn and turf mixtures and the tolerance allowed thereof shall be those adopted by the Association of Official Seed Analysts (AOSA), effective October 1, 1981, as amended, except that tolerance will not be allowed for prohibited noxious weed seeds. A copy of the rules may be obtained from the current Secretary-Treasurer AOSA or at www. aosaseed.com.

The provisions of this § 111.1 amended through April 12, 1985, effective July 1, 1985, 15 Pa.B. 1354; amended May 22, 2009, effective June 22, 2009, 39 Pa.B. 2573. Immediately preceding text appears at serial page (260946).

History

Authority: The provisions of this Chapter 111 issued under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-10), unless otherwise noted.
Source: The provisions of this § 111.42 adopted January 28, 1972, effective January 29, 1972, 2 Pa.B. 121.

7 Pa. Code § 111.2 Condition of seeds for testing.

(a) Dirty or uncleaned seeds and mixed seed kinds when a percentage of analysis is not provided will not be tested.

(b) Seed samples treated with a material will not be tested unless the name of the substance is plainly marked on the container in accordance with this chapter.

The provisions of this § 111.2 amended November 7, 1986, effective November 8, 1986, 16 Pa.B. 4383; amended May 22, 2009, effective June 22, 2009, 39 Pa.B. 2573. Immediately preceding text appears at serial page (260946).

History

Authority: The provisions of this Chapter 111 issued under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-10), unless otherwise noted.
Source: The provisions of this § 111.42 adopted January 28, 1972, effective January 29, 1972, 2 Pa.B. 121.

7 Pa. Code § 111.3 Fees and schedule of charges.

(a) The testing fee shall accompany the sample or the cost of testing will be billed at the first of every month. A fee will be considered past due when payment is not received within 30 days from day of billing.

(b) Fees shall be paid by check or money order made payable to the Commonwealth of Pennsylvania. Cash will not be accepted.

The provisions of this § 111.3 amended through November 7, 1986, effective November 8, 1986, 16 Pa.B. 4383; amended May 22, 2009, effective June 22, 2009, 39 Pa.B. 2573. Immediately preceding text appears at serial pages (260946) to (260949).

History

Authority: The provisions of this Chapter 111 issued under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-10), unless otherwise noted.
Source: The provisions of this § 111.42 adopted January 28, 1972, effective January 29, 1972, 2 Pa.B. 121.

7 Pa. Code § 111.4 Prohibitions and requirements.

(a) Seeds of which the analysis is already known will not be sent for testing unless:

(1) There is suspicion that the law is being violated.

(2) Verification of the analysis is required, in which case a copy of the analysis given by the dealer shall accompany the sample.

(b) The analysis and test may be used for labeling purposes but the name of the Bureau of Plant Industry shall in no way be used for advertising purposes.

(c) Samples to be tested shall be sent to the Bureau of Plant Industry at least 30 days before the seeds are to be planted or sold.

(d) Procedures for sampling are as follows:

(1) Samples shall be analyzed in the order in which they are received and reports shall be made as promptly as the work permits.

(2) The time required for germination tests of seeds shall be between 6 and 28 days, depending on the kind of seed.

(3) The time required for germination tests of tree seeds varies greatly.

The provisions of this § 111.4 amended February 29, 1980, effective March 1, 1980, 10 Pa.B. 910; amended May 22, 2009, effective June 22, 2009, 39 Pa.B. 2573. Immediately preceding text appears at serial pages (260949) to (260950).

History

Authority: The provisions of this Chapter 111 issued under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-10), unless otherwise noted.
Source: The provisions of this § 111.42 adopted January 28, 1972, effective January 29, 1972, 2 Pa.B. 121.

7 Pa. Code § 111.11 General labeling requirements.

(a) In labeling the kind of agriculture, vegetable, flower, tree or shrub seeds as required in 3 Pa.C.S. § 7104 (relating to labels and labeling), the following apply:

(1) Names and classifications (that is ‘‘crop’’ or ‘‘weed’’) used shall be those specified in the Rules for Seed Testing by the Association of Official Seed Analysts.

(2) Variety names shall be confined to the recognized names for the kind and may not include names or terms which create a misleading impression as to the history or quality of the seeds.

(3) Abbreviations of names of the kind and variety of seed may not be permitted.

(4) The following kinds of agricultural seed are generally labeled as to variety and shall be labeled to show either the variety name or the words ‘‘Variety Not Stated’’ or ‘‘VNS’’:

(i) Alfalfa

(ii) Bahiagrass

(iii) Barley

(iv) Bean, field

(v) Beet, field

(vi) Brome, smooth

(vii) Broomcorn

(viii) Clover, crimson

(ix) Clover, red

(x) Clover, white

(xi) Corn, field

(xii) Corn, pop

(xiii) Cowpea

(xiv) Fescue, tall

(xv) Flax

(xvi) Lespedeza, striata

(xvii) Millet, foxtail

(xviii) Millet, pearl

(xix) Oats

(xx) Pea, field

(xxi) Peanut

(xxii) Rice

(xxiii) Rye

(xxiv) Safflower

(xxv) Sorghum

(xxvi) Sorghum sudangrass hybrid

(xxvii) Soybean

(xxviii) Sudangrass

(xxix) Sunflower

(xxx) Tobacco

(xxxi) Trefoil, birdsfoot

(xxxii) Wheat, common

(xxxiii) Wheat, durum

(b) When variety or strain names are stated, they shall be used in connection with the full kind name, such as ‘‘Alta Tall Fescue,’’ ‘‘Merion Kentucky Bluegrass,’’ and ‘‘Michihli Chinese Cabbage.’’

The provisions of this § 111.11 amended January 28, 1972, 2 Pa.B. 121; amended May 22, 2009, effective June 22, 2009, 39 Pa.B. 2573. Immediately preceding text appears at serial pages (260950) to (260951).

History

Authority: The provisions of this Chapter 111 issued under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-10), unless otherwise noted.
Source: The provisions of this § 111.42 adopted January 28, 1972, effective January 29, 1972, 2 Pa.B. 121.

7 Pa. Code § 111.12 Labeling of flower seeds.

The provisions in 3 Pa.C.S. § 7104 (relating to labels and labeling) require that flower seeds be labeled with the name of the kind and variety or a statement of type and performance characteristics as prescribed by the Department of Agriculture. This provision shall be complied with as follows:

(1) For seeds of plants grown primarily for their blooms:

(i) If the seeds are of a single named variety, the kind and variety shall be stated, such as: ‘‘Marigold Butterball.’’

(ii) If the seeds are of a single type and color for which there is no specific variety name, the type of plant, if significant, and the type and color of bloom shall be indicated, such as: ‘‘Scabiosa Tall, Large-Flowered, Double, Pink.’’

(iii) If the seeds consist of an assortment or mixture of colors or varieties of a single kind, the kind name, the type of plant, if significant, and the type or types of bloom shall be indicated. It shall be clearly indicated that the seed is mixed or assorted, such as: ‘‘Marigold, Dwarf Double French, Mixed Colors.’’

(iv) If the seeds consist of an assortment or mixture of kinds and varieties, it shall be clearly indicated that the seed is assorted or mixed and specific use of the assortment or mixture shall be indicated, such as: ‘‘Cut Flower Mixture,’’ or ‘‘Rock Garden Mixture.’’ Statements such as ‘‘General Purpose Mixture,’’ ‘‘Wonder Mixture’’ or another statement which fails to indicate the specific use of the seed may not be considered as meeting the requirements of this section unless the specific use of the mixture is also stated. Containers over 3 grams shall list the kind or kind and variety names in excess of 5.0% in the order of their predominance giving the percentage by weight of each. Components of less than 5.0% shall be listed but need not be in order of predominance. A single percentage by weight shall be given for these components. Containers of 3 grams or less shall list the components without giving percentage by weight and need not be in order of predominance.

(v) Flower seed mixtures shall be considered misleading if the kinds or kinds and varieties found by analysis differs by 20% or more of those listed on the label.

(2) For seeds of plants grown for ornamental purposes other than their blooms, the kind and variety shall be stated or the kind shall be stated together with a descriptive statement concerning the ornamental part of the plant, such as: ‘‘Ornamental Gourds,’’ ‘‘Small Fruited,’’ ‘‘Mixed.’’

(3) It is permissible to label vegetable and flower seed kinds in containers of 1 pound or less with the statement: ‘‘Packed for (YY)’’ and ‘‘Sell by (12/YY)’’ and an identifying lot number for the calendar year in which they are being offered for sale.

The provisions of this § 111.12 amended through November 7, 1986, effective November 8, 1986, 16 Pa.B. 4383; amended May 22, 2009, effective June 22, 2009, 39 Pa.B. 2573. Immediately preceding text appears at serial pages (260951) to (260952).

History

Authority: The provisions of this Chapter 111 issued under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-10), unless otherwise noted.
Source: The provisions of this § 111.42 adopted January 28, 1972, effective January 29, 1972, 2 Pa.B. 121.

7 Pa. Code § 111.13 Labeling of lawn or turf grasses and mixtures.

(a) It is permissible to label cool season lawn and turf grass mixtures that include less than 5% white or ladino clover with a ‘‘Sell By Date’’ and 15 month germination period not including the month of test.

(b) Unless otherwise stated as to use, all those kinds listed under cool season lawn and turf grasses and their mixes must have a ‘‘Sell by MM/YY’’ which may be no more than 15 months from the date of test, exclusive of month of test. Those labeled as: ‘‘For Forage Use’’ or ‘‘For Pasture Use’’ or ‘‘For Conservation Use’’ or some type of qualifying statement indicating that the mixture is not for lawn or turf purposes will require a 9 month date of test not including the month of test and no ‘‘Sell By MM/YY’’ is required.

The provisions of this § 111.13 amended through November 7, 1986, effective November 8, 1986, 16 Pa.B. 4383; amended May 22, 2009, effective June 22, 2009, 39 Pa.B. 2573. Immediately preceding text appears at serial pages (260952) to (260953).

This section cited in 7 Pa. Code § 111.23 (relating to restricted noxious weed seeds).

History

Authority: The provisions of this Chapter 111 issued under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-10), unless otherwise noted.
Source: The provisions of this § 111.42 adopted January 28, 1972, effective January 29, 1972, 2 Pa.B. 121.

7 Pa. Code § 111.14 Labeling of treated seeds.

(a) Packages containing treated seeds shall be labeled as such.

(b) Whenever a separate treatment tag is not used and the treatment statement is printed on the container, the statement ‘‘See Treatment Statement on Container’’ shall be printed on the analysis label.

(c) Except as provided in subsection (d), printed on the container or tag, in type no smaller than eight-point, shall be the statement: ‘‘Treated with

History

Authority: The provisions of this Chapter 111 issued under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-10), unless otherwise noted.
Source: The provisions of this § 111.42 adopted January 28, 1972, effective January 29, 1972, 2 Pa.B. 121.

7 Pa. Code § 111.16 Responsibility for labeling.

(a) The person or dealer upon whose premises seeds are located and are exposed or offered for sale shall be responsible for labeling of the seeds.

(b) The person or dealer shall also be responsible for procuring a new germination test and subsequently attaching new analysis tags before the expiration date of the required 9-month period or 15 months for cool season lawn and turf grasses as provided in 3 Pa.C.S. § 7104 (relating to labels and labeling). Tests shall be made according to the Rules for Testing Seed published by the Association of Official Seed Analysts, and no test may be considered official unless the rules are followed.

The provisions of this § 111.16 amended May 22, 2009, effective June 22, 2009, 39 Pa.B. 2573. Immediately preceding text appears at serial page (260954).

History

Authority: The provisions of this Chapter 111 issued under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-10), unless otherwise noted.
Source: The provisions of this § 111.42 adopted January 28, 1972, effective January 29, 1972, 2 Pa.B. 121.

7 Pa. Code § 111.17 Labeling of seeds for sprouting.

The following information shall be indicated on labels of seeds sold for sprouting for salad or culinary purposes (otherwise known as health food):

(1) Commonly accepted name of kind, or kinds.

(2) Lot number.

(3) Percentage by weight of a pure seed component in excess of 5.0% of the whole, other crop seed, inert matter and weed seeds if occurring.

(4) Percentage of germination of a pure seed component and hard seed if applicable.

(5) The calendar month and year the test was completed to determine the percentages.

The provisions of this § 111.17 adopted March 1, 1974, 4 Pa.B. 361; amended April 12, 1985, effective July 1, 1985, 15 Pa.B. 1354; amended May 22, 2009, effective June 22, 2009, 39 Pa.B. 2573. Immediately preceding text appears at serial pages (260954) to (260955).

History

Authority: The provisions of this Chapter 111 issued under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-10), unless otherwise noted.
Source: The provisions of this § 111.42 adopted January 28, 1972, effective January 29, 1972, 2 Pa.B. 121.

7 Pa. Code § 111.22 Prohibited noxious weed seeds.

It shall be unlawful to sell or offer for sale seeds that contain the following prohibited weed seeds:

(1) Bindweed, field (Convolvulus arvensis).

(2) Bindweed, hedge (Calystegia sepium).

(3) Quackgrass (Elytrigia repens).

(4) Canada thistle (Cirsium arvense).

(5) Multiflora rose (Rosa multiflora).

(6) Johnsongrass (Sorghum halepense), its crosses with other grasses which produce seed which are not readily distinguishable from Johnsongrass.

(7) Shattercane (Sorghum bicolor).

(8) Marijuana (Cannabis sativa).

(9) Mile-a-minute (Polygonum perfoliatum).

(10) Kudzu-vine (Pueraria lobata).

(11) Purple Loosestrife and cultivars (Lythrum salicaria).

(12) Giant Hogweed (Heracleum mantegazzianum).

(13) Goatsrue (Galega officinalis).

(14) Jimsonweed (Datura stramonium).

The provisions of this § 111.22 amended April 12, 1985, effective July 1, 1985, 15 Pa.B. 1354; amended May 22, 2009, effective June 22, 2009, 39 Pa.B. 2573. Immediately preceding text appears at serial page (260955).

History

Authority: The provisions of this Chapter 111 issued under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-10), unless otherwise noted.
Source: The provisions of this § 111.42 adopted January 28, 1972, effective January 29, 1972, 2 Pa.B. 121.

7 Pa. Code § 111.23 Restricted noxious weed seeds.

(a) The presence of restricted noxious weed seeds in agricultural, vegetable and flower seed, other than lawn and turf grasses, and mixtures thereof listed in subsection (b)(1) shall be governed by the following:

(1) List. The seeds of the following plants shall be restricted noxious weed seeds and shall be listed on the tag or label under the heading ‘‘Noxious Weed Seeds’’ by name and number per pound:

(i) Bedstraw (Galium spp.).

(ii) Buckhorn plantain (Plantago lanceolata).

(iii) Corncockle (Agrostemma githago).

(iv) Dodder (Cuscuta spp.).

(v) Horsenettle (Solanum carolinense).

(vi) Perennial sow thistle (Sonchus arvensis).

(vii) Wild garlic (Allium vineale).

(viii) Wild onion (Allium canadense).

(ix) Wild mustard (Brassica juncea, B. lower casek kaber, and B. nigra).

(x) Bull Thistle (Cirsium vulgare).

(xi) Musk Thistle (Carduus nutans).

(2) Other states. Seeds designated as noxious weed seeds in other states shall be listed under the heading ‘‘Noxious Weed Seeds’’ if included on the tag or label.

(3) Rate of occurrence in small size seeds. The seeds of Agrostis spp., Bermuda grass, timothy, orchardgrass, fescues, alsike and white clover, Reed canary grass, ryegrass, foxtail millet, alfalfa, red clover, sweet clovers, lespedezas, smooth brome, tall oat grass, crimson clover, Brassica spp., flax, Agropyron spp., and other agricultural, vegetable and flower seeds of similar size and weight or mixtures thereof shall not contain more than one seed or bulblet, single or collectively, of restricted noxious weed seeds per 5 grams of seed-equivalent to 90 weed seeds per pound-except that not more than five seeds of buckhorn plantain per 5 grams of agricultural seed may be permitted equivalent to 450 weed seeds per pound.

(4) Rate of occurrence in large size seeds. The seeds of wheat, Sudan grass, oats, rye, barley, buckwheat, sorghums, vetches and other agricultural, vegetable and flower seeds of similar or greater size and weight or mixtures thereof may not contain more than one seed of restricted noxious weed seeds per 100 grams of seed-equivalent to five seeds per pound-except that not more than five seeds of buckhorn plantain per 100 grams of agricultural seeds may be permitted-equivalent to 25 weed seeds per pound, and seed wheat is not permitted to contain bulblets of wild garlic or wild onion-equivalent to zero bulblets per pound.

(b) The presence of restricted noxious weed seeds in lawn and turf grasses and mixtures thereof shall be governed by the following:

(1) Except as provided in paragraph (3), the seeds of the following plants shall be restricted noxious weed seeds and shall be listed on the tag or label under the heading ‘‘Undesirable Grass Seeds’’ or ‘‘Restricted Noxious Weed Seeds’’ by name and number per pound when present in bentgrass, Kentucky bluegrass, chewings fescue, hard fescue, red fescue, varieties of named turf type tall fescue, varieties of perennial ryegrass or mixtures containing these grasses:

(i) Bermudagrass. (Cynodon spp.).

(ii) Annual bluegrass. (Poa annua).

(iii) Rough bluegrass. (Poa trivialis).

(iv) Bentgrass (creeping, colonial, velvet), (Agrostis spp.).

(v) Meadow fescue (Festuca pratensis).

(vi) Tall fescue (Festuca arundinaceae).

(vii) Orchardgrass (Dactylis glomerata).

(viii) Timothy (Phleum pratense).

(ix) Velvetgrass (Holcus lanatus).

(x) Redtop (Agrostis gigantea).

(2) Restricted noxious weed seeds set forth in paragraph (1) may not exceed 0.50% by weight.

(3) The restricted noxious weed seeds set forth in paragraph (1) may not apply:

(i) To grasses or mixtures clearly labeled for pasture, forage, hay, conservation or spoil bank reclamation usages.

(ii) When the seeds are present in excess of 5.0% of the whole and the label contains the information required by § 111.13(a)(1) (relating to labeling of lawn or turf grasses and mixtures).

The provisions of this § 111.23 amended through November 7, 1986, effective November 8, 1986, 16 Pa.B. 4383; amended May 22, 2009, effective June 22, 2009, 39 Pa.B. 2573. Immediately preceding text appears at serial pages (260956) to (260957).

History

Authority: The provisions of this Chapter 111 issued under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-10), unless otherwise noted.
Source: The provisions of this § 111.42 adopted January 28, 1972, effective January 29, 1972, 2 Pa.B. 121.

7 Pa. Code § 111.31 Vegetable seeds.

(a) The germination standards for vegetable seeds, including hard seeds, shall be the following:

(b) Hard seeds may be present in the following: asparagus bean; bean, garden; bean, lima; bean, runner; cowpea; okra; pea; and soybean.

The provisions of this § 111.31 amended through April 12, 1985, effective July 1, 1985, 15 Pa.B. 1354. Immediately preceding text appears at serial pages (3868) to (3869), and (17610).

History

Authority: The provisions of this Chapter 111 issued under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-10), unless otherwise noted.
Source: The provisions of this § 111.42 adopted January 28, 1972, effective January 29, 1972, 2 Pa.B. 121.

7 Pa. Code § 111.32 Flower seeds.

(a) Germination standards for flower seeds, including hard seeds, shall be the following:

(b) Hard seeds may be present in the following: hollyhock; hyacinth bean; Ipomea; Lupine; sensitive pea and sweet pea, all kinds.

(c) Mixture of kinds of flower seeds shall be considered to be below standard if the germination of any kind or combination of kinds constituting 25% or more of the mixture by number is below standard for the kinds involved.

The provisions of this § 111.32 amended through April 12, 1985, effective July 1, 1985, 15 Pa.B. 1354. Immediately preceding text appears at serial pages (17610), to (17614).

History

Authority: The provisions of this Chapter 111 issued under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-10), unless otherwise noted.
Source: The provisions of this § 111.42 adopted January 28, 1972, effective January 29, 1972, 2 Pa.B. 121.

7 Pa. Code § 111.41 Stop sale procedures.

(a) The owner or custodian of any lot of seeds held under ’’stop sale’’ shall be allowed 90 days to correct deficiencies so that the lot conforms to the requirements of this chapter and 3 Pa.C.S. Chapter 71 (relating to the Seed Act).

(b) If subsection (a) has not been complied with, the seed shall be condemned as unfit for seeding purposes, unless the owner or custodian can show cause why the seed should not be condemned.

(c) Seed under a ‘‘stop sale’’ may not be moved from the premises of the owner or custodian without written release from the inspector.

(d) When requirements of subsection (a) have been met, a copy of the corrected label shall be sent to the address specified by the seed inspector for a written release.

(e) The provisions in 3 Pa.C.S. § 7113 (relating to stop-sale orders) containing further requirements for ‘‘stop sale’’ notice, shall be followed.

The provisions of this § 111.41 amended November 7, 1986, effective November 8, 1986, 16 Pa.B. 4383; amended May 22, 2009, effective June 22, 2009, 39 Pa.B. 2573. Immediately preceding text appears at serial page (260965).

History

Authority: The provisions of this Chapter 111 issued under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-10), unless otherwise noted.
Source: The provisions of this § 111.42 adopted January 28, 1972, effective January 29, 1972, 2 Pa.B. 121.

7 Pa. Code § 111.42 Hermetically sealed containers.

(a) The 36-month test period may not apply unless the following conditions have been met:

(1) The seed was packaged within 9 months after harvest.

(2) The container used does not allow water vapor penetration (WVP) through any wall, including the seals, greater than 0.05 grams of water per 24 hours per 100 square inches of surface at 100 F. with a relative humidity on one side of 90% and on the other side of zero percent as is measured by the standards of the United States Bureau of Standards.

(3) The seed in the container does not exceed the percentage of moisture, on a wet weight basis, as follows:

(4) The container is conspicuously labeled in not less than eight-point type to indicate:

(i) The container is hermetically sealed.

(ii) The seed has been preconditioned as to moisture content.

(iii) The calendar month and year in which the germination test was completed.

The provisions of this § 111.42 adopted January 28, 1972, effective January 29, 1972, 2 Pa.B. 121.

History

Authority: The provisions of this Chapter 111 issued under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-10), unless otherwise noted.
Source: The provisions of this § 111.42 adopted January 28, 1972, effective January 29, 1972, 2 Pa.B. 121.

Chapter 113 General Provisions for Seed Certification

7 Pa. Code § 113.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Applicant—An individual, partnership, association, cooperative or corporation applying for certification of a seed crop under this chapter. Breeder class seed—Seed which is directly controlled by the originating or sponsoring plant breeder or institution, and which provides the source for the initial and recurring increase of Foundation seed. Certification office—A unit of the Bureau of Plant Industry authorized by the Department to act as its representative in carrying out this chapter. Certified—Seed classes, including Prenuclear seed potato, Breeder, Foundation, Registered and Certified which meet the required standard of quality. Certified class seed—Seed which is the progeny of Foundation or Registered seed and is handled so that satisfactory genetic identity and purity for growing the desired product is maintained. Conditioner—A processor or handler of seed after harvest. Department—The Department of Agriculture of the Commonwealth. Field—An individual area of land for the crop under inspection, which is clearly defined by distinct lines of demarcation, such as fences, roads, natural barriers, other crops, mowed or an uncropped area. A field is the basic unit of certification. Foundation class seed—Seed which is the progeny of Breeder seed and is handled so that specific genetic identity and purity as designated by the originating or sponsoring plant breeder or experiment station is maintained. Foundation seed may be used to produce Foundation seed only with the approval of the originating or sponsoring plant breeder or experiment station. Grower—The person directly involved in growing or cultivating the seed crop entered into the certification program. Inbred line—A relatively true-breeding strain resulting from at least five successive generations of controlled self-fertilization or of back-crossing to a recurrent parent with selection, or its equivalent, for specific characteristics. Norm—The official description of the characteristics of a variety. Off-type—A plant which can be identified as not conforming to the official norm of a variety. Open-pollination—Pollination that occurs naturally as opposed to controlled pollination, such as by detasseling, cytoplasmic male sterility, self-incompatibility or similar processes. Prenuclear seed potato—Potato plants or potato tubers which are:

(i) Produced in a laboratory or greenhouse.

(ii) Propagated directly from tissue culture-grown plant material. Registered class seed—Seed which is the progeny of Foundation seed and is handled so that genetic identity and purity suitable for the production of certified seed is maintained. Rogue—An undesirable plant in a crop such as, off-type, other kind, other variety or weed. Seed Act—3 Pa.C.S. Chapter 71 (relating to the Seed Act). Seed lot or lot of seed—A definite quantity of seed identified by a lot number or other identification mark or label. With respect to Prenuclear seed potatoes, the term consists of plants derived from a single disease and variety-tested source and grown in a laboratory, or on one greenhouse bench or on some other discrete physical unit within a greenhouse to exclude mixing of soil, water or plant tissues between lots. Tissue culture—The axenic growth of plant tissues in a synthetic medium under controlled environmental conditions.

The provisions of this § 113.1 amended under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-11); and the act of April 11, 1929 (P. L. 488, No. 205) (3 P. S. § § 291—297); amended under 3 Pa.C.S. § § 7111 and 7117.

The provisions of this § 113.1 amended September 26, 1975, effective September 27, 1975, 5 Pa.B. 2522; amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878; amended April 2, 1993, effective April 3, 1993, 23 Pa.B. 1558; amended May 22, 2009, effective June 22, 2009, 39 Pa.B. 2584. Immediately preceding text appears at serial pages (276718) to (276719).

This section cited in 7 Pa. Code § 115.451 (relating to purpose).

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

7 Pa. Code § 113.2 Purpose of seed certification.

(a) The purpose of seed certification is to maintain and make available to the public sources of high quality seeds and propagating materials of varieties grown and distributed so as to insure genetic identity.

(b) Seed certification does not imply a recommendation.

The provisions of this § 113.2 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (23037).

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

7 Pa. Code § 113.3 Responsibility and applicability.

(a) The Department will act as the official seed certifying agency in this Commonwealth.

(b) In conducting the seed certification program, the Department and the Bureau of Plant Industry will cooperate with the Pennsylvania State University, College of Agriculture, Pennsylvania Foundation Seed Coop., the Seed Council of PennAg Industries Association and seed growers.

(c) This chapter applies to crops eligible for certification and constitutes the minimum seed certification requirements of the Department.

(d) In cases where there are no crop standards in this Commonwealth, the standards being used by a member of the Association of Official Seed Certifying Agencies will be used.

The provisions of this § 113.3 amended under 3 Pa.C.S. § § 7111 and 7117.

The provisions of this § 113.3 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878; amended May 22, 2009, effective June 22, 2009, 39 Pa.B. 2584. Immediately preceding text appears at serial pages (276719) to (276720).

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

7 Pa. Code § 113.4 Classes and sources of seed.

The following classes of seed are recognized for seed certification:

(1) Prenuclear seed potato class.

(2) Breeder class.

(3) Foundation class.

(4) Registered class.

(5) Certified class.

(6) Foundation G1-Foundation G7 seed potato classes.

The provisions of this § 113.4 amended under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-11); and the act of April 11, 1929 (P. L. 488, No. 205) (3 P. S. § § 291—297); amended under 3 Pa.C.S. § § 7111 and 7117.

The provisions of this § 113.4 amended September 26, 1975, effective September 27, 1975, 5 Pa.B. 2522; amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878; amended April 2, 1993, effective April 3, 1993, 23 Pa.B. 1558; amended May 22, 2009, effective June 22, 2009, 39 Pa.B. 2584. Immediately preceding text appears at serial page (276720).

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

7 Pa. Code § 113.5 Exemptions.

(a) Certain lots of seed which may be desirable for the advancement of crop improvement, but which would be lost if regular certification standards were applied, are eligible for exemption as provided in this section.

(b) Seed failing to meet certification standards, other than those affecting genetic purity, but which meet the requirements of subsection (a) may be certified as planting seed, if there is no injury to the reputation of certified seed by doing so.

(c) The tags or labels attached to exempted seed shall clearly show the respects in which the seed does not meet regular seed class standards.

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

7 Pa. Code § 113.6 Limitations of generations for certified seed.

The number of generations through which a variety may be multiplied shall be limited to that specified by the originating breeder or owner and may not exceed two generations beyond the Foundation seed class with the following exceptions which may be made with the permission of the originating plant breeder, institution or a designee:

(1) Recertification of the Certified class may be permitted when no foundation seed is being maintained.

(2) The production of an additional generation of the Certified class may be permitted on a 1-year basis only when an emergency is declared by any official seed certifying agency stating that the Foundation and Registered seed supplies are not adequate to plant the needed Certified acreage of the variety. The additional generation of Certified seed to meet the emergency need is ineligible for recertification.

The provisions of this § 113.6 adopted under 3 Pa.C.S. § § 7111 and 7117.

The provisions of this § 113.6 adopted May 22, 2009, effective June 22, 2009, 39 Pa.B. 2584.

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

7 Pa. Code § 113.11 Eligibility requirements.

To be eligible for certification, seed stock and propagating materials shall be approved by a State or Provincial agricultural experiment station or the Department. Variety recommendations for seeding practices shall be the responsibility of the Pennsylvania Agricultural Experiment Station.

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

7 Pa. Code § 113.12 Current eligibility list.

Questions concerning the eligibility of a variety of a crop should be directed to the certification office.

The provisions of this § 113.12 amended through April 13, 1973, effective April 14, 1973, 3 Pa.B. 693; amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48874).

This section cited in 7 Pa. Code § 113.13 (relating to certification of new varieties).

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

7 Pa. Code § 113.13 Certification of new varieties.

(a) To request certification for a variety not included in § 113.12 (relating to current eligibility list), the owner of the seed shall submit the following information to the certification office not later than December 1 for a spring-planted crop and not later than June 1 for a fall-planted crop:

(1) Name of the crop variety.

(2) A statement concerning the variety’s origin and the breeding procedure used in its development.

(3) A detailed description of the morphological, physiological and other characteristics of the plants and seed that distinguish it from other varieties.

(4) Evidence supporting the identity of the variety, such as comparative yield data, insect and disease resistance, or other factors supporting the identity of the variety.

(5) A statement delineating the geographic area or areas of adaptation of the variety.

(6) A statement of the plans and procedures for the maintenance of seed classes, including the number of generations through which the variety may be multiplied.

(7) A description of the manner in which the variety is constituted when a particular cycle of reproduction or multiplication is specified.

(8) Any additional restrictions on the variety, specified by the breeder, with respect to geographic area of seed production, age of stand or other factors affecting genetic purity.

(9) A sample of seed representative of the variety as marked.

(b) In lieu of the procedure set forth in subsection (a), a variety successfully submitted to the proper Variety Review Board or to the United States Variety Protection Office will also be considered for certification.

The provisions of this § 113.13 amended through February 29, 1980, effective March 1, 1980, 10 Pa.B. 910. Immediately preceding text appears at serial page (23039).

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

7 Pa. Code § 113.21 Requirements for filing applications.

(a) The following requirements apply to the procedure for filing applications for inspection and certification of a seed crop:

(1) Application blanks may be obtained from the Bureau of Plant Industry.

(2) Letters of inquiry may not be regarded as applications.

(3) Late applications may be accepted at the discretion of the certification office.

The provisions of this § 113.21 amended under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-11); and the act of April 11, 1929 (P. L. 488, No. 205) (3 P. S. § § 291—297).

The provisions of this § 113.21 amended September 26, 1975, effective September 27, 1975, 5 Pa.B. 2522; amended April 2, 1993, effective April 3, 1993, 23 Pa.B. 1558. Immediately preceding text appears at serial pages (147331) to (147332).

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

7 Pa. Code § 113.22 Completion of application.

(a) General requirements. In completing the application for inspection and certification of a seed crop other than Prenuclear seed potatoes, an identification tag or label which was attached to the containers of the planted seed, bills of sale or other documentary evidence showing class and source of the seed planted shall be included. This is required whether the grower purchases eligible planting seed from another person or uses eligible seed of his own production.

(b) Maintaining genetic purity and identity. An applicant is responsible for maintaining genetic purity and identity of the crop at all stages of certification including seeding, harvesting, conditioning and labeling.

(c) Field maps. Applications shall be accompanied by maps showing the location of the fields and the boundaries of the crop to be inspected.

(d) Requirements for Prenuclear seed potato certification. An applicant for certification of Prenuclear seed potatoes shall file the following:

(1) Written propagation records, procedural manuals, verified statements or other evidence or documentation sufficient to verify that the potato plants or tubers have been propagated from tissue culture-grown plant material.

(2) Laboratory reports, test results, statements of varietal characteristics, verified statements or other evidence or documentation sufficient to verify that the tissue culture-grown plant material used in the propagation of seed potatoes has been tested annually for trueness-to-variety.

(3) Laboratory reports, test results, verified statements or other evidence or documentation sufficient to verify that the tissue culture-grown plant material used in the propagation of the seed potatoes has been tested annually for freedom from Erwinia caratovora pv. caratovora, Erwinia caratovora pv. atroseptica, Clavibacter michiganense subsp. sepedonicum (synonym: Corynebacterium sepedonicum), potato spindle tuber viroid, potato leafroll virus and potato viruses A, M, S, X and Y.

The provisions of this § 113.22 amended under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-11); and the act of April 11, 1929 (P. L. No. 488, No. 205) (3 P. S. § § 291—297); amended under 3 Pa.C.S. § § 7111 and 7117.

The provisions of this § 113.22 amended September 26, 1975, effective September 27, 1975, 5 Pa.B. 2522; amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878; amended April 2, 1993, effective April 3, 1993, 23 Pa.B. 1558; amended May 22, 2009, effective June 22, 2009, 39 Pa.B. 2584. Immediately preceding text appears at serial pages (276722) to (276723).

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

7 Pa. Code § 113.25 Deadlines for filing applications.

(a) Applications for the various crops shall be filed on or before the dates indicated in the following chart:

(b) Applications for grass, legume and turfgrass sod shall be filed 1 month before planting so that isolation may be checked.

The provisions of this § 113.25 amended under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-11); and the act of April 11, 1929 (P. L. 488, No. 205) (3 P. S. § § 291—297).

The provisions of this § 113.25 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878; amended April 2, 1993, effective April 3, 1993, 23 Pa.B. 1558. Immediately preceding text appears at serial page (166327).

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

7 Pa. Code § 113.26 Fees.

The applicant shall be responsible for the payment of fees as outlined in the Seed Act.

The provisions of this § 113.26 amended under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-11); and the act of April 11, 1929 (P. L. 488, No. 205) (3 P. S. § § 291—297); amended under 3 Pa.C.S. § § 7111 and 7117.

The provisions of this § 113.26 amended March 9, 1979, effective March 10, 1979, 9 Pa.B. 774; amended February 29, 1980, effective March 1, 1980, 10 Pa.B. 910; amended April 17, 1981, effective April 18, 1981, 11 Pa.B. 1319; amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878; corrected April 20, 1990, effective April 6, 1990, 20 Pa.B. 2153; amended February 21, 1992, effective February 22, 1992, 22 Pa.B. 754; amended April 2, 1993, effective April 3, 1993, 23 Pa.B. 1558; amended May 22, 2009, effective June 22, 2009, 39 Pa.B. 2584. Immediately preceding text appears at serial pages (276724) to (276726).

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

7 Pa. Code § 113.31 Handling of crop prior to inspection.

(a) With respect to seed crops other than Prenuclear seed potatoes, the field shall be the unit for inspection and may not be divided for the purpose of inspection unless approved by the inspector. With respect to Prenuclear seed potatoes, the individual seed lot within the greenhouse or laboratory shall be the unit for inspection.

(b) Roguing off-type plants and objectionable crop and weed plants shall be done prior to field inspection.

(d) If all or part of a crop is harvested before inspection, it shall automatically become ineligible for certification.

(e) Every field for which certification is requested shall show evidence of good management and shall show that reasonable precaution has been taken to control contaminating crops, other varieties and objectionable weeds, the seeds of which are indistinguishable or inseparable by available conditioning equipment from seed of the particular crop being grown.

The provisions of this § 113.31 amended under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-11); and the act of April 11, 1929 (P. L. 488, No. 205) (3 P. S. § § 291—297).

The provisions of this § 113.31 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878; amended April 2, 1993, effective April 3, 1993, 23 Pa.B. 1558. Immediately preceding text appears at serial pages (166328) and (147335).

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

7 Pa. Code § 113.32 Procedure for inspections.

(a) Field inspections.

(1) Field inspections shall be made prior to harvest by trained inspectors.

(2) An applicant may withdraw a part or all of his acreage prior to inspection but if notice of withdrawal is received too late to notify the inspector and the acreage is inspected, the acreage fee shall be charged.

(b) Greenhouse inspections of Prenuclear seed potatoes. Greenhouse inspections with respect to Prenuclear seed potatoes shall be made prior to planting, between 3 and 4 weeks after planting, and again when the potato plants are at peak foliar growth. Additional inspections of the greenhouse, related facilities, records and propagation or sanitation techniques related to the production of Prenuclear seed potatoes shall be conducted at the discretion of the Department in accordance with § 115.285 (relating to inspection and testing of Prenuclear seed potatoes). Inspections shall be conducted during the normal business hours of the greenhouse.

(c) Laboratory inspections of Prenuclear seed potatoes. Laboratory inspections with respect to Prenuclear seed potatoes shall be on an annual basis. Additional inspections of the laboratory, related facilities, records and propagation or sanitation techniques related to the production of Prenuclear seed potatoes shall be conducted at the discretion of the Department in accordance with § 115.285. Inspections shall be conducted during the normal business hours of the laboratory.

The provisions of this § 113.32 amended under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-11); and the act of April 11, 1929 (P. L. 488, No. 205) (3 P. S. § § 291—297).

The provisions of this § 113.32 amended April 2, 1993, effective April 3, 1993, 23 Pa.B. 1558. Immediately preceding text appears at serial page (147335).

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

7 Pa. Code § 113.34 Reinspection.

A crop not meeting the appropriate field, greenhouse or laboratory inspection requirements in certain respects at the time of the initial inspection may be reinspected in accordance with the following:

(1) A grower desiring reinspection shall make a request to the inspector or the Certification Office.

(2) There is no guarantee that a second inspection will be made.

(3) If the reinspection is made, the grower may be charged at a rate double that ordinarily charged, depending upon the circumstances involved and the recommendation of the inspector.

The provisions of this § 113.34 amended under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-11); and the act of April 11, 1929 (P. L. 488, No. 205) (3 P. S. § § 291—297); amended under 3 Pa.C.S. § § 7111 and 7117.

The provisions of this § 113.34 amended September 26, 1975, effective September 27, 1975, 5 Pa.B. 2522; amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878; amended April 2, 1993, effective April 3, 1993, 23 Pa.B. 1558; amended May 22, 2009, effective June 22, 2009, 39 Pa.B. 2584. Immediately preceding text appears at serial page (276728).

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

7 Pa. Code § 113.35 Extra inspections.

(a) The certification office shall reserve the right to make extra inspections at any time it deems necessary to verify the variety, either in the field, bin or by special laboratory methods.

(b) Advance notice may not be given to the grower when the inspections shall be made.

The provisions of this § 113.35 amended September 26, 1975, effective September 27, 1975, 5 Pa.B. 2522. Immediately preceding text appears at serial page (1785).

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

7 Pa. Code § 113.36 Inspection of equipment.

(a) Harvesting and cleaning equipment used for Prenuclear seed potato class, Foundation seed class and Registered seed class shall be examined by an inspector.

(b) Inspection may be required for the Certified class, depending upon circumstances and at the discretion of the certification office.

The provisions of this § 113.36 amended under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-11); and the act of April 11, 1929 (P. L. 488, No. 205) (3 P. S. § § 291—297).

The provisions of this § 113.36 amended September 26, 1975, effective September 27, 1975, 5 Pa.B. 2522; amended April 2, 1993, effective April 3, 1993, 23 Pa.B. 1558. Immediately preceding text appears at serial page (147336).

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

7 Pa. Code § 113.41 General requirements.

(a) Certified seed shall be marketed only in new, uncontaminated containers.

(b) Certified labels shall be placed on small packets in such a way as to serve as a seal.

The provisions of this § 113.41 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (23045).

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

7 Pa. Code § 113.42 Color code for tags.

(a) Agricultural seed.

(1) White tags shall designate the Foundation class of seed.

(2) Lilac tags shall designate the Registered class of seed.

(3) Blue tags shall designate the Certified class of seed.

(4) Green tags shall designate the Quality Assurance class of seed.

(b) Seed potatoes.

(1) White tags shall designate the Prenuclear class of seed potatoes.

(2) Blue tags shall designate the Foundation class of seed potatoes.

(3) Green tags shall designate the Certified class of seed potatoes.

(1) Green tags shall designate the Selected class of tree seed.

(2) Yellow tags shall designate the Source Identified class of tree seed.

The provisions of this § 113.42 amended under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-11); and the act of April 11, 1929 (P. L. 488, No. 205) (3 P. S. § § 291—297); amended under the Seed Act (3 Pa.C.S. § § 7111 and 7117).

The provisions of this § 113.42 amended September 26, 1975, effective September 27, 1975, 5 Pa.B. 2522; amended April 2, 1993, effective April 3, 1993, 23 Pa.B. 1558; amended May 22, 2009, effective June 22, 2009, 39 Pa.B. 2584. Immediately preceding text appears at serial page (276729).

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

7 Pa. Code § 113.43 Two-tag system.

(a) The two-tag system shall be used in this Commonwealth.

(b) Prenuclear seed potato, Foundation, Registered and Certified tags supplied by the Department imply that the lot of seed so tagged has met the requirements for the seed class for which it was intended. These tags shall indicate seed kind and variety, other identification or other information designated by the certification office.

(c) Second, or analysis, tags shall be supplied by the grower and contain information such as variety, lot number, purity percentage, germination percentage, date of test and other information as required by the Seed Act.

The provisions of this § 113.43 amended under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-11); and the act of April 11, 1929 (P. L. 488, No. 205) (3 P. S. § § 291—297); amended under the Seed Act (3 Pa.C.S. § § 7111 and 7117).

The provisions of this § 113.43 amended September 26, 1975, effective September 27, 1975, 5 Pa.B. 2522; amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878; amended April 2, 1993, effective April 3, 1993, 23 Pa.B. 1558; amended May 22, 2009, effective June 22, 2009, 39 Pa.B. 2584. Immediately preceding text appears at serial pages (276729) to (276730).

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

7 Pa. Code § 113.44 Attachment of tags and labels.

(a) Official certification tags and labels may be purchased from the certification office and affixed to seed containers by the applicant or a representative of the Department.

(b) Tags may be sewn into the top of the bag so that all information is visible.

(d) Staples may be used with prior approval.

(e) Tags and labels shall be attached in a manner which will prevent obvious removal and reattachment.

The provisions of this § 113.44 amended under 3 Pa.C.S. § § 7111 and 7117.

The provisions of this § 113.44 amended September 26, 1975, effective September 27, 1975, 5 Pa.B. 2522; amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878; amended May 22, 2009, effective June 22, 2009, 39 Pa.B. 2584. Immediately preceding text appears at serial page (276730).

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

7 Pa. Code § 113.51 Handling and blending of seed—conditioner’s responsibilities.

(a) Prenuclear seed potato, Foundation, Registered and Certified classes of seed shall be handled to maintain the varietal purity and lot identification.

(b) Seeding equipment, grain boxes, bins, elevating, harvesting and cleaning equipment used in handling seed shall be thoroughly cleaned before handling any variety or class of seed.

(1) Two or more lots of seed harvested from fields of the same variety may be blended provided field inspection requirements have been met.

(2) If the blend involves more than one seed class, the requirements for the certified class shall be applied.

(3) Blends and contents shall be reported to the certification office.

(d) Records of operations relating to certification shall be complete and adequate to account for incoming seed and final disposition of seed.

(e) Conditioners shall permit inspection by the certification office of records pertaining to all classes of certified seed.

(f) Conditioners shall designate an individual who is responsible to the Certification Office for performing the duties required by the office. In the absence of any other designated individual, the applicant shall be the responsible individual.

The provisions of this § 113.51 amended under The Pennsylvania Seed Act of 1965 (3 P. S. § § 285-1—285-11); and the act of April 11, 1929 (P. L. 488, No. 205) (3 P. S. § § 291—297); amended under 3 Pa.C.S. § § 7111 and 7117.

The provisions of this § 113.51 amended through February 29, 1980, effective March 1, 1980, 10 Pa.B. 910; amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878; amended April 2, 1993, effective April 3, 1993, 23 Pa.B. 1558; amended May 22, 2009, effective June 22, 2009, 39 Pa.B. 2584. Immediately preceding text appears at serial pages (276730) to (276731).

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

7 Pa. Code § 113.52 Transfer of bulk seed.

To complete seed certification the following procedure shall be followed:

(1) Seed transferred in bulk shall be handled so as to maintain its identity and to prevent contamination.

(2) The applicant shall have the responsibility to file with the certification office a copy of the proper bulk transfer certificate. Bulk transfer certificate forms shall be available from the inspectors or by writing to the certification office.

(3) This section applies to the first buyer only. No further bulk transfers are permitted.

The provisions of this § 113.52 amended September 26, 1975, effective September 27, 1975, 5 Pa.B. 2522; amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878; corrected April 20, 1990, effective April 7, 1990, 20 Pa.B. 2153. Immediately preceding text appears at serial pages (48881) to (48882).

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

7 Pa. Code § 113.53 Seed testing.

(a) A representative sample of the entire lot of seed, as it is to be offered for sale, will be drawn by a representative of the certification office and sent to the Department Seed Laboratory.

(b) Seed samples will be drawn, tested and analyzed in accordance with Chapter 111 (relating to seed testing, labeling and standards). The applicant will be charged the fee established in the Seed Act for the tests. In the event of unforeseen problems, samples may be sent to another laboratory approved by the Department.

(c) A copy of the analysis report will be sent to the seedsman and may be used for labeling purposes. If seed standards have been met, the report will also indicate final certification approval. Samples not meeting seed standards shall be reconditioned, after which another official sample will be drawn and the appropriate fee charged.

The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.

The provisions of this § 113.53 amended September 26, 1975, effective September 27, 1975, 5 Pa.B. 2522; amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878; amended May 22, 2009, effective June 22, 2009, 39 Pa.B. 2584. Immediately preceding text appears at serial pages (276731) to (276732).

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

7 Pa. Code § 113.54 Final approval.

A seed may not be officially certified until all fees have been paid in full and other required information, such as satisfactory laboratory reports and tag assignments, have been received and a ‘‘Certification Approved’’ letter issued.

The provisions of this § 113.54 amended September 26, 1975, effective September 27, 1975, 5 Pa.B. 2522. Immediately preceding text appears at serial page (1787).

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

7 Pa. Code § 113.55 Interagency certification.

Interagency certification may be accomplished at the request of a seedsman and with the cooperation of another state’s certifying agency.

(1) Eligible lots of seed shall meet the genetic and mechanical standards for Pennsylvania certified seed. A field inspection report shall be completed.

(2) Seed to be recognized for interagency certification shall be received in containers properly identified and with the following information:

(i) Kind and variety.

(ii) Quantity of seed.

(iii) Inspection or lot number traceable to the previous certifying agency.

(3) Interagency tags and labels may be issued for rebagging certified seed from another state agency. Records of lots and tag numbers are to be sent to the certification office.

(4) Interagency tags and labels shall be numbered serially and shall state the kind, variety, reference or lot number and the name of the agency.

The provisions of this § 113.55 amended through February 29, 1980, effective March 1, 1980, 10 Pa.B. 910; amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial pages (48882) to (48883).

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

7 Pa. Code § 113.56 Compliance with Federal or State laws.

Responsibility for legal obligations, other than those concerned with certification, arising from the sale of shipment of lots of seed, sod or other propagating materials which have been certified shall rest with the grower or subsequent handler making the sale or shipment.

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

7 Pa. Code § 113.57 Revocation of certification.

(a) Certification service shall be revoked for any grower who:

(1) Misuses certification tags or labels.

(2) Misrepresents his seed stock in any way.

(3) Violates any of the provisions of this chapter.

(4) Fails to pay all fees.

(b) Future certification service may be denied as the Department may direct.

The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

History

Authority: The provisions of this § 113.53 amended under 3 Pa.C.S. § § 7111 and 7117.
Source: The provisions of this § 113.57 amended April 6, 1990, effective April 7, 1990, 20 Pa.B. 1878. Immediately preceding text appears at serial page (48883).

Chapter 117 Bee Shipments

7 Pa. Code § 117.1 Notice of arrival of bees.

(a) Notice shall be given to the Department of Agriculture, Bureau of Plant Industry, Harrisburg, Pennsylvania 17120 within 10 days after the arrival within this Commonwealth of bees, used hives, combs, bee appliances or equipment.

(b) The notice shall contain the following information:

(1) The exact location of the bee equipment.

(2) The name and address of the owner of the property on which the bees are located.

(3) The exact quantity of bee equipment contained in the shipment.

(4) A copy of the inspection certificate issued by an apiary inspector of the state of origin of the bee equipment.

History

Authority: The provisions of this Chapter 117 issued under act of April 6, 1921 (P. L. 95) (3 P. S. § § 691—704), unless otherwise noted.
Source: The provisions of this Chapter 117 adopted March 15, 1958, unless otherwise noted.

7 Pa. Code § 117.2 Markings on equipment in shipment.

Hives or other equally sized equipment in any shipment shall be plainly and permanently marked on the outside with the name and address of the owner of the equipment.

History

Authority: The provisions of this Chapter 117 issued under act of April 6, 1921 (P. L. 95) (3 P. S. § § 691—704), unless otherwise noted.
Source: The provisions of this Chapter 117 adopted March 15, 1958, unless otherwise noted.

7 Pa. Code § 117.3 Bee disease in unidentified colonies.

Unidentified colonies of bees located on premises other than those belonging to bee owners shall be subject to immediate destruction without notice if found to contain infectious bee diseases or bee parasites.

History

Authority: The provisions of this Chapter 117 issued under act of April 6, 1921 (P. L. 95) (3 P. S. § § 691—704), unless otherwise noted.
Source: The provisions of this Chapter 117 adopted March 15, 1958, unless otherwise noted.

7 Pa. Code § 117.4 Exemption of package bees.

Package bees bearing a certificate of inspection shall be exempt from this chapter.

History

Authority: The provisions of this Chapter 117 issued under act of April 6, 1921 (P. L. 95) (3 P. S. § § 691—704), unless otherwise noted.
Source: The provisions of this Chapter 117 adopted March 15, 1958, unless otherwise noted.

Chapter 118 Nurserymen, Dealers and Nursery Agents

7 Pa. Code § 118.1 Application for inspection.

Nurserymen, dealers and nursery agents selling or delivering nursery stock in this Commonwealth shall make application in writing before July 1 of each year to the Department for inspection of their nursery stock growing in this Commonwealth.

History

Authority: The provisions of this Chapter 118 issued under sections 6 and 9 of The Pennsylvania Plant Pest Act of 1937 (3 P. S. § § 214-6 and 214-9), unless otherwise noted.
Source: The provisions of this Chapter 118 adopted January 21, 1977, effective January 22, 1977, 7 Pa.B. 214, unless otherwise noted.

7 Pa. Code § 118.2 Certificate of inspection.

After their nursery stock has been officially inspected and found to be apparently free from any plant pests, nurserymen, dealers and nursery agents shall be issued a certification of inspection which is valid not to exceed 1 year from January 1 of each year.

History

Authority: The provisions of this Chapter 118 issued under sections 6 and 9 of The Pennsylvania Plant Pest Act of 1937 (3 P. S. § § 214-6 and 214-9), unless otherwise noted.
Source: The provisions of this Chapter 118 adopted January 21, 1977, effective January 22, 1977, 7 Pa.B. 214, unless otherwise noted.

Chapter 119 Inspection and Certification of Nursery Stock

7 Pa. Code § 119.1 Dealers’ certificates.

Persons collecting native nursery stock in this Commonwealth apply for and receive a dealer’s certificate prior to actually digging or selling any collected stock, unless the persons are already certified as nurserymen.

History

Authority: The provisions of this § 119.2 issued under section 1703 of The Administrative Code of 1929 (71 P. S. § 443); and section 3 of The Pennsylvania Plant Pest Act of 1937 (3 P. S. § 214-3).
Source: The provisions of this § 119.3 amended April 2, 1964.

7 Pa. Code § 119.2 Inspection of commercially grown and collected stock.

(a) Persons who anticipate the digging or sale of collected native nursery stock shall make proper application to the Bureau of Plant Industry for inspection prior to collecting each individual shipment.

(b) Inspectors will designate the time and place where the dug plants shall be assembled for inspection.

(d) Uninspected plants shall not be moved from the property where they are collected without a specific written directive from the inspector designating the place to which such plants are to be moved for inspection.

(e) Where an excessive growth of weeds, trash, crowding of stock or other conditions prevent a thorough examination of the nursery stock, the inspector shall notify the nurseryman, stating in writing the requirements for correcting the deficiencies. Upon written response from the nurseryman that the corrective measures have been executed the inspection will be made.

The provisions of this § 119.2 issued under section 1703 of The Administrative Code of 1929 (71 P. S. § 443); and section 3 of The Pennsylvania Plant Pest Act of 1937 (3 P. S. § 214-3).

The provisions of this § 119.2 amended through February 25, 1977, effective February 26, 1977, 7 Pa.B. 521. Immediately preceding text appears at serial page (27110).

History

Authority: The provisions of this § 119.2 issued under section 1703 of The Administrative Code of 1929 (71 P. S. § 443); and section 3 of The Pennsylvania Plant Pest Act of 1937 (3 P. S. § 214-3).
Source: The provisions of this § 119.3 amended April 2, 1964.

7 Pa. Code § 119.3 Certification of inspection.

(a) A certificate of inspection will be given to the collector of native nursery stock for the movement and sale of each shipment of collected plants found to be free of plant pests.

(b) The certification shall cover only the plants inspected and passed at the time of inspection.

The provisions of this § 119.3 amended April 2, 1964.

History

Authority: The provisions of this § 119.2 issued under section 1703 of The Administrative Code of 1929 (71 P. S. § 443); and section 3 of The Pennsylvania Plant Pest Act of 1937 (3 P. S. § 214-3).
Source: The provisions of this § 119.3 amended April 2, 1964.

7 Pa. Code § 119.4 Penalty for not providing for inspection.

(a) A collector may not transport native stock without first obtaining a written directive from the nursery inspector making provisions for inspection.

(b) A collector failing to comply with this section shall be subject to the maximum penalty provided under The Pennsylvania Plant Pest Act (3 P. S. § 214-21).

History

Authority: The provisions of this § 119.2 issued under section 1703 of The Administrative Code of 1929 (71 P. S. § 443); and section 3 of The Pennsylvania Plant Pest Act of 1937 (3 P. S. § 214-3).
Source: The provisions of this § 119.3 amended April 2, 1964.

7 Pa. Code § 119.5 Labeling stock.

(a) The Pennsylvania Plant Pest Act (3 P. S. § 214-14) requires that tags or posters containing a printed copy of the certificate of the nurseryman making the original sale shall be attached to all of the following:

(1) Wholesale lots.

(2) Lots to be forwarded by common carrier.

(3) Lots to be moved over state lines.

(b) Nursery stock exposed or offered for sale by retailers may not be required to carry a certification tag.

(c) Certificates received from the wholesaler, together with invoices governing the purchase of the lot of nursery stock, shall be kept available by the retailer for examination by the Department for at least one year.

(d) Retailers shall be required to display their certificates at each place of business.

(e) The tag or poster which shall accompany lots of nursery stock, as required in subsections (a) and (b), shall contain in printing an exact copy of the valid nursery certificate. Additions or erasures (including dates) shall constitute alterations of the tag or poster.

History

Authority: The provisions of this § 119.2 issued under section 1703 of The Administrative Code of 1929 (71 P. S. § 443); and section 3 of The Pennsylvania Plant Pest Act of 1937 (3 P. S. § 214-3).
Source: The provisions of this § 119.3 amended April 2, 1964.

7 Pa. Code § 119.6 Post-entry quarantine.

(a) In cooperation with the United States Department of Agriculture, certain imported plants arriving at points of destination in this Commonwealth shall be placed under the provisions of post entry quarantine.

(b) The following requirements shall govern the procedure of receipt, handling, growing and propagation of plants placed under the quarantine:

(1) Prompt notice shall be given to the Department of Agriculture of the arrival of the material, under The Pennsylvania Plant Pest Act of 1937 (3 P. S. § 214-15).

(2) The plot of ground for post-entry planting shall meet the approval of the State inspector.

(3) The identity of any lot of quarantined plants shall be established by the labeling in a manner acceptable to the inspector.

(4) There shall be no distribution of quarantined plants, their increases, bloom, fruit or seed during the time covered by the quarantine.

(5) Quarantined material shall remain under The Pennsylvania Plant Pest Act of 1937 (3 P. S. § 214-20) for at least two growing seasons, or a longer period as the Secretary of Agriculture may deem advisable.

(6) Quarantined plants may be inspected at any time by an authorized inspector. If evidence of the presence of a plant pest is found they shall be ordered either treated or destroyed.

History

Authority: The provisions of this § 119.2 issued under section 1703 of The Administrative Code of 1929 (71 P. S. § 443); and section 3 of The Pennsylvania Plant Pest Act of 1937 (3 P. S. § 214-3).
Source: The provisions of this § 119.3 amended April 2, 1964.

Chapter 120 Fruit Tree Improvement Program

7 Pa. Code § 120.1 Purpose.

Deciduous fruit trees may be registered for the purpose of providing seed, rootstock and scion sources for the propagation of virus-certified nursery stock when inspected, tested and found to be true-to-name and free from virus and virus-like diseases detectable by procedures outlined in the FTIP. The Department is responsible for the program implementation and operation.

History

Source: The provisions of this Chapter 120 adopted September 30, 1977, effective October 1, 1977, 7 Pa.B. 2791, unless otherwise noted.

7 Pa. Code § 120.2 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Bureau—The Bureau of Plant Industry of the Department. Department—The Department of Agriculture of the Commonwealth. FTIP—Fruit Tree Improvement Program. Foundation block—An isolated planting of registered trees, maintained by the Department to serve as the primary source of propagating material for commercial production. Index—To test a plant for virus infection by means of inoculation from the plant to be tested to an indicator plant or by other standard procedures. Indicator plant—A woody or herbaceous plant used for detecting viruses. Nuclear block—A planting of indexed trees, maintained and continuously protected from virus reinfection in a screenhouse that serves as the source of propagating material for a foundation block. Nursery increase block—A planting of nursery stock, originating from registered seed and scion sources, used for increasing registered trees. Off-type—Possessing characteristics different from the variety or cultivar listed on the application. Penn premium-certified—Department approved fruit tree nursery stock produced from registered rootstock and scion sources. Penn standard-certified—Department approved fruit tree nursery stock produced from registered scion sources and nonregistered seed sources or from Department-approved scion sources and nonregistered rootstock sources. Registered tree—A specific tree used as a seed, rootstock or scion source that has been routinely inspected and indexed by the Department and found to be free from detectable viruses. Scion block—A planting of registered trees, maintained by a commercial nurseryman, that serves as a source of propagating material. Seed block—A planting of registered trees, maintained by a commercial nurseryman, that serves as a source of seed. Stool bed—A planting of registered clonally propagated trees that are used exclusively for producing vegetatively propagated rootstocks. Virus-infected—The presence of a virus in a plant or plant part. Virus-like—A disorder of unknown cause displaying symptoms commonly associated with known virus diseases.

History

Source: The provisions of this Chapter 120 adopted September 30, 1977, effective October 1, 1977, 7 Pa.B. 2791, unless otherwise noted.

7 Pa. Code § 120.11 General.

Participation in the FTIP shall be voluntary. Once a written request to participate in the FTIP is received by the Department, no participant may withdraw until the end of the calendar year. Registration or certification of fruit trees will not imply any warranty or guarantee on the part of the Department or any employe thereof, beyond the terms of the FTIP.

History

Source: The provisions of this Chapter 120 adopted September 30, 1977, effective October 1, 1977, 7 Pa.B. 2791, unless otherwise noted.

7 Pa. Code § 120.12 Responsibility of applicant.

The applicant nurseryman shall be responsible, subject to approval by the Department, for the selection of the location and the proper maintenance of registered plantings being grown under the provisions of the FTIP. The applicant shall be responsible for maintaining the identity of nursery stock entered in the FTIP in a manner approved by the Department.

History

Source: The provisions of this Chapter 120 adopted September 30, 1977, effective October 1, 1977, 7 Pa.B. 2791, unless otherwise noted.

7 Pa. Code § 120.13 Location of plantings.

(a) Each planting location shall be subject to approval by the Department and shall be in an area having minimal risks for spread of infectious pests by drainage, flooding, irrigation or other means.

(b) A scion block may not be located within 300 feet of any nonregistered plant of the same genus. Volunteer or wild fruit trees of the same genus within 500 feet, further if practical, shall be eradicated. Herbicide programs approved by the Department shall be followed in registered plantings. Registered scion block trees may not be used for propagation purposes until trueness-to-name has been established. Each tree shall bear a permanent registration number.

(c) Registered scion block trees shall have originated from the foundation or nuclear block maintained by the Department or other sources approved by the Department.

(d) A seed block may not be located within 300 feet of a nonregistered plant of the same genus. The rootstock and scion sources and the maintenance of seed block trees shall be the same as outlined under this section.

History

Source: The provisions of this Chapter 120 adopted September 30, 1977, effective October 1, 1977, 7 Pa.B. 2791, unless otherwise noted.

7 Pa. Code § 120.14 Certified nursery stock.

(a) Fruit tree nursery stock being grown for Penn Premium-certification shall be on rootstocks approved by the Department and shall originate from registered seed trees or from registered stool beds. Fruit tree nursery stock being grown for Penn Standard-certification may be grown on noncertified rootstocks, however registered scion sources should be used when available.

(b) Penn Premium- and Penn Standard-certified nursery stock shall be planted sufficiently apart to maintain their identity and may not be located within 300 feet of a commercial planting of stone or pome fruit. All certified nursery stock shall be designated as to topstock, interstock and rootstock sources. There may be no rebudding or regrafting of nursery row stock unless the stock is reworked from the same registered scion sources as used originally.

(c) Certified nursery stock shall have been produced on soils that received a preplant nematicide or that were sampled before planting and found to be free from virus vector nematodes (Xiphinema spp.).

(d) Nursery stock meeting the requirements of the FTIP, when sold, shall have the variety, interstock and rootstock designated, where applicable, as follows: variety/interstock/rootstock.

History

Source: The provisions of this Chapter 120 adopted September 30, 1977, effective October 1, 1977, 7 Pa.B. 2791, unless otherwise noted.

7 Pa. Code § 120.15 Establishment and maintenance of plantings.

(a) Plantings entered in the FTIP shall be kept in a thrifty growing condition and pests shall be effectively controlled. Suitable precautions shall be taken in cultivation, irrigation, movement and use of equipment and in other farming practices to guard against spread entered in the FTIP.

(b) To assure that the inspections required by this chapter may be made properly and to provide close working knowledge of field operations, the nurseryman shall notify the Department, in advance, of removal of nursery stock or trees entered in the FTIP so that approval can be granted before the work is done. There may be no budding, grafting or top working of registered trees in any scion block, seed block or stool bed.

(c) Labeling of each registered tree and of nursery stock growing in plantings entered in the FTIP to identify it as to rootstock and scion sources shall be done in manner approved by the Department.

History

Source: The provisions of this Chapter 120 adopted September 30, 1977, effective October 1, 1977, 7 Pa.B. 2791, unless otherwise noted.

7 Pa. Code § 120.16 Eligibility.

(a) Any type of deciduous tree fruit, when approved by the Department, is eligible for entry in the FTIP as provided in this chapter. To be acceptable for registration or to be eligible for any planting entered in the FTIP, a plant shall have been tested and found to be free from detectable viruses. Patented clones shall be certified true to type and may be accepted providing written permission is obtained from the patent holder or his assignee allowing propagation for experimental manipulation and incorporation into the repository. Release of patented clones in the repository will be made only to the patent holder or his assignee during the duration of patent rights. Patented clones may not be entered in the program unless they have indexed negative for known viruses.

(b) For registration of a tree in a scion orchard, the Department will be notified at the time of planting of the intention of the applicant to seek registration, and application for registration shall be filed at least 2 years before propagating material is needed.

History

Source: The provisions of this Chapter 120 adopted September 30, 1977, effective October 1, 1977, 7 Pa.B. 2791, unless otherwise noted.

7 Pa. Code § 120.21 Procedure.

Inspection and testing procedures prescribed in the FTIP may be carried out only by the Department or by a subcontract approved by the Department and shall be conducted in a manner and at times approved by the Pennsylvania FTIP Advisory Committee. The Department will use the best available indexing procedures. A description of current indexing or procedures will be furnished upon request.

History

Source: The provisions of this Chapter 120 adopted September 30, 1977, effective October 1, 1977, 7 Pa.B. 2791, unless otherwise noted.

7 Pa. Code § 120.22 Tagging and identity.

(a) Tagging. The Department will authorize the use of official certification tags for the identification of nursery stock or seed that meet the requirements of the FTIP.

(b) Identity. A person selling Pennsylvania certified fruit tree nursery stock or seed is responsible for the identity of the stock bearing each tag and for the nursery stock meeting the requirements of the FTIP. Persons issued tags authorized by the FTIP shall account for stock produced and sold and keep the records required by the Department.

History

Source: The provisions of this Chapter 120 adopted September 30, 1977, effective October 1, 1977, 7 Pa.B. 2791, unless otherwise noted.

7 Pa. Code § 120.31 Refusal, suspension or cancellation.

Registration or certification may be refused, suspended or cancelled for any plants in part or all of a planting under any of the following conditions:

(1) The requirements of this chapter have not been met.

(2) The plant is found to be virus-infected or off-type.

(3) A registered tree is found upon indexing to be virus-infected.

(4) The pest control requirements for nursery stock in the nursery inspection regulations of The Pennsylvania Plant Pest Act of 1937 (3 P. S. § § 214-1—214-25) have not been met.

(5) For any reason the identity of a plant becomes uncertain or has not been properly maintained.

(6) A registration number is misused.

(7) The status of nursery stock produced under the provisions of the FTIP is knowingly misrepresented.

History

Source: The provisions of this Chapter 120 adopted September 30, 1977, effective October 1, 1977, 7 Pa.B. 2791, unless otherwise noted.

7 Pa. Code § 120.41 Application.

Application for certification shall be made yearly on or before January 30 by contacting the Fruit Tree Improvement Program, Department of Agriculture, 2301 North Cameron Street, Harrisburg, Pennsylvania, 17120.

History

Source: The provisions of this Chapter 120 adopted September 30, 1977, effective October 1, 1977, 7 Pa.B. 2791, unless otherwise noted.

7 Pa. Code § 120.42 Fees.

Revenues to aid in the support of the FTIP and related research will be generated by a fee imposed on each participating nursery amounting to 1% of the gross sales received by that nursery for fruit trees produced by them and sold during the participating year. Payments should be made on or before December 15 for trees sold during that calendar year. Checks should be made payable to the Commonwealth of Pennsylvania and mailed to the Fruit Tree Improvement Program, Bureau of Plant Industry, Department of Agriculture, Harrisburg, Pennsylvania, 17120.

History

Source: The provisions of this Chapter 120 adopted September 30, 1977, effective October 1, 1977, 7 Pa.B. 2791, unless otherwise noted.

Chapter 122 Certification of Virus-Tested Geraniums

7 Pa. Code § 122.1 Purpose.

Geraniums (Pelargonium spp.) may be certified as virus-tested when inspected, tested and found to be true-to-name and free from virus and virus-like diseases detectable by procedures outlined in this chapter. The Department is responsible for the implementation and operation of the program.

History

Authority: The provisions of this Chapter 122 issued under sections 3 and 17 of The Pennsylvania Plant Pest Act of 1937 (3 P. S. § § 214-3 and 214-17), unless otherwise noted.
Source: The provisions of this Chapter 122 adopted May 18, 1979, effective May 19, 1979, 9 Pa.B. 1617, unless otherwise noted.

7 Pa. Code § 122.2 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Department—The Department of Agriculture of the Commonwealth. Elite nuclear block—Plants which are derived from heat-treated meristem tip cultures, are culture indexed, have been indexed negative for recognized viruses and are used as the source of propagating material for the nuclear block. Increase block—Plants which are produced directly from the nuclear block and are used as the source of propagating material for the production block. Index—Testing a plant for virus infection by means of inoculation from the plant to be tested to an indicator plant or other standard procedures such as seriological detection. Indicator plant—A woody or herbaceous plant used for detecting viruses. Nuclear block—Plants which are produced directly from the elite nuclear block, have been indexed negative for recognized viruses and are used as the source of propagating material for the increase block. Off-type—Possessing horticultural characteristics different from the variety or cultivar listed on the application. Production block—Plants which are produced directly from the increase block and are used as the source of propagating material for saleable plants. Program—The geranium certification program set forth in this chapter. Registered plant—A plant which has been produced under the provisions of this chapter and is certified as virus-tested by the Department; this includes plants in elite nuclear, nuclear, increase and production blocks and saleable plants. Virus-infected—The presence of a virus in a plant or plant part. Virus-like—An agent such as a spiroplasma, mycoplasma or viroid which elicits symptoms similar to those caused by viruses. Virus-tested—A plant which has been indexed negative for recognized viruses detectable by procedures outlined in this chapter.

History

Authority: The provisions of this Chapter 122 issued under sections 3 and 17 of The Pennsylvania Plant Pest Act of 1937 (3 P. S. § § 214-3 and 214-17), unless otherwise noted.
Source: The provisions of this Chapter 122 adopted May 18, 1979, effective May 19, 1979, 9 Pa.B. 1617, unless otherwise noted.

7 Pa. Code § 122.3 Requirements for registration and certification.

(a) General. Participation in the program is voluntary. Once a written request to participate in the program is received by the Department, no participant may withdraw until the end of the calendar year. Registration or certification of geraniums does not imply a warranty or guarantee on the part of the Department or any employe thereof beyond the terms of the program.

(b) Responsibility of applicant. The applicant shall be responsible for proper maintenance and indexing of registered plants being grown under the provisions of the program. The applicant shall be responsible for maintaining the identity and records of the propagation history of all registered plants in a manner approved by the Department.

(1) All plants sold or advertised as virus-tested shall be certified by the Department.

(2) Only registered plants may be certified.

(d) Requirements for certification as a registered plant. Requirements for certification as a registered plant shall conform with the following:

(1) Registered plants shall be located in an environment in which insects are effectively controlled as approved by the Department.

(2) Registered plants shall be rooted and maintained in soil which has been freed of nematodes by methods approved by the Department.

(3) Blocks of registered plants shall be physically separated from each other in a manner approved by the Department.

(4) Registered plants shall be indexed or propagated from indexed plants.

(5) Registered plants shall be labeled as to variety by methods approved by the Department and shall not be off-type.

(6) Registered plants shall have a record kept of their propagation and indexing history.

(7) Registered plants shall be kept in thrifty growing condition, and pests and diseases shall be effectively controlled.

(8) Approved sanitary practices shall be used to prevent mechanical transmission of viruses to registered plants.

(9) Registered plants shall only be propagated from other registered plants or heat-treated meristem tip cultures. Saleable plants may not be used as a propagation source to produce registered plants.

(10) Registered plants, other than saleable plants, may not be shipped or sold without permission of the Department.

(11) Registered plants shall be less than 1 year old.

(12) Registered plants shall not be permitted to flower except for variety identification purposes.

(e) Indexing. Indexing shall conform with the following:

(1) Indexing shall be the responsibility of the applicant.

(2) Indexing techniques and indicator plants shall be approved by the Department and will be made available to interested persons upon request.

(3) All registered plants in nuclear elite and nuclear blocks shall be indexed.

(4) A representative sample, as approved and selected by the Department, of increase block plants shall be indexed.

(5) The Department may require the indexing or reindexing of any registered plant which is suspected of being virus-infected.

(f) Propagation. Propagation shall conform with the following:

(1) Elite nuclear plants shall only be propagated from heat-treated meristem tip culture or other elite nuclear plants.

(2) Nuclear plants may only be propagated from elite nuclear plants.

(3) Increase block plants may only be propagated from elite nuclear and nuclear plants.

(4) Production block plants may only be propagated from increase block plants.

(5) Saleable plants may only be propagated from production block plants.

(6) Plants propagated from saleable plants are not certified.

(g) Eligibility. A geranium (Pelargonium spp.) variety with stable horticultural characteristics, when approved by the Department, is eligible for entry in the program. New varieties entering the program shall go through heat treatment, meristem tip culture and the prescribed propagation route before they can be sold or advertised as certified as virus-tested.

History

Authority: The provisions of this Chapter 122 issued under sections 3 and 17 of The Pennsylvania Plant Pest Act of 1937 (3 P. S. § § 214-3 and 214-17), unless otherwise noted.
Source: The provisions of this Chapter 122 adopted May 18, 1979, effective May 19, 1979, 9 Pa.B. 1617, unless otherwise noted.

7 Pa. Code § 122.4 Inspection and testing.

The Department reserves the right to inspect the applicant’s facilities, techniques, plants and records to insure that the provisions of the program are being followed. The Department also reserves the right to conduct independent indexing on registered plants.

History

Authority: The provisions of this Chapter 122 issued under sections 3 and 17 of The Pennsylvania Plant Pest Act of 1937 (3 P. S. § § 214-3 and 214-17), unless otherwise noted.
Source: The provisions of this Chapter 122 adopted May 18, 1979, effective May 19, 1979, 9 Pa.B. 1617, unless otherwise noted.

7 Pa. Code § 122.5 Labeling.

(a) The method of labeling shipments of registered plants shall be approved by the Department, and the labels shall contain the following information:

(1) Variety.

(2) A number which can be used to trace the plant’s origin.

(3) The fact that the plants are certified as virus-tested by the Department.

(b) In addition, each shipment shall contain a cover letter with the following information:

(1) The fact that the plants originated from virus-indexed plants.

(2) The indicators or antisera, or both, used to test the plants for viruses.

(3) The specific viruses the procedures set forth in paragraphs (1) and (2) should detect.

(4) General procedures to help prevent reinfection with viruses.

History

Authority: The provisions of this Chapter 122 issued under sections 3 and 17 of The Pennsylvania Plant Pest Act of 1937 (3 P. S. § § 214-3 and 214-17), unless otherwise noted.
Source: The provisions of this Chapter 122 adopted May 18, 1979, effective May 19, 1979, 9 Pa.B. 1617, unless otherwise noted.

7 Pa. Code § 122.6 Enforcement.

Registration or certification may be refused, suspended or cancelled for any plant or group of plants if:

(1) The requirements of this chapter have not been met.

(2) The plant is found to be virus-infected or off-type.

(3) For any reason, the identity of a plant, its propagation history or its indexing history becomes uncertain or has not been maintained properly.

(4) The status of plants produced under the provisions of the program is knowingly misrepresented.

History

Authority: The provisions of this Chapter 122 issued under sections 3 and 17 of The Pennsylvania Plant Pest Act of 1937 (3 P. S. § § 214-3 and 214-17), unless otherwise noted.
Source: The provisions of this Chapter 122 adopted May 18, 1979, effective May 19, 1979, 9 Pa.B. 1617, unless otherwise noted.

7 Pa. Code § 122.7 Application and fees.

(a) Application. Application for certification can be made by contacting the Department of Agriculture, 2301 North Cameron Street, Harrisburg, Pennsylvania 17110.

(b) Fees. There is no fee charged for certification of geraniums as virus-tested.

History

Authority: The provisions of this Chapter 122 issued under sections 3 and 17 of The Pennsylvania Plant Pest Act of 1937 (3 P. S. § § 214-3 and 214-17), unless otherwise noted.
Source: The provisions of this Chapter 122 adopted May 18, 1979, effective May 19, 1979, 9 Pa.B. 1617, unless otherwise noted.

7 Pa. Code § 122.8 Warranty.

(a) This program is designed to insure the production of a superior product by eliminating most viruses from geranium propagating stock. Neither the Department nor any applicant can guarantee that all certified geraniums are free of all viruses.

(b) The responsibility of an applicant or the Department for the maintenance of registered plants under the provisions of the program is terminated after the plants are received by a customer.

History

Authority: The provisions of this Chapter 122 issued under sections 3 and 17 of The Pennsylvania Plant Pest Act of 1937 (3 P. S. § § 214-3 and 214-17), unless otherwise noted.
Source: The provisions of this Chapter 122 adopted May 18, 1979, effective May 19, 1979, 9 Pa.B. 1617, unless otherwise noted.

Chapter 131 Rules of Practice and Procedure

7 Pa. Code § 131.1 Scope.

(a) This chapter governs the practice and procedure before the Department in adjudicatory proceedings relating to matters within the jurisdiction of the Department.

(b) This chapter is not applicable to a proceeding to the extent that the applicable statute governing or authorizing the proceeding sets forth inconsistent practice or procedure.

(c) Existing rules and regulations of the Department relating to practice and procedure are hereby suspended to the extent they are inconsistent with this chapter.

The provisions of this § 131.1 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 340.

History

Authority: The provisions of this Chapter 131 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 35 of the Administrative Agency law (71 P. S. § 1710.35) (Repealed), unless otherwise noted.
Source: The provisions of this § 131.36 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 664.

7 Pa. Code § 131.2 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Action—An order, decree, decision, determination or ruling by the Department affecting personal or property rights, privileges, immunities, duties, liabilities or obligations of a person, including, but not limited to, denials, modifications, suspensions and revocations of permits, licenses and registrations, and orders to cease the operation of an establishment or facility. Department—The Department of Agriculture. Hearing examiner—A person designated to preside at hearings or conferences. Intervener—A person intervening or petitioning to intervene as provided by this chapter when admitted as a participant to a proceeding. Party—The department whose action is appealed from, an intervener and a person appealing an action whether designated as an applicant, respondent or otherwise. Person—An individual, partnership, association, corporation, political subdivision, municipality, authority or other entity. Respondent—A person subject to a statute or other delegated authority administered by the Department to whom an order or notice is issued by the Department instituting a proceeding or investigation on its own initiative or otherwise. Secretary—The Secretary of Agriculture. Where appropriate, the term means a hearing examiner or other person acting for the Secretary. Supersedeas—A suspension of the effect of an action of the Department pending proceedings before the Secretary.

The provisions of this § 131.2 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 340.

History

Authority: The provisions of this Chapter 131 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 35 of the Administrative Agency law (71 P. S. § 1710.35) (Repealed), unless otherwise noted.
Source: The provisions of this § 131.36 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 664.

7 Pa. Code § 131.11 Time.

(a) Appeals, briefs, notices and other documents required or permitted to be filed under this chapter shall be received by the Secretary within the time limits, if any, for the filing. The date of receipt by the Secretary and not the date of deposit in the mails is determinative. The time fixed or the period of time prescribed for the filing may be extended by the Secretary for good cause upon motion made before expiration of the time for filing.

(b) Actions of the Department are effective as of the date of issuance of written notification of the action unless otherwise specially provided in the notice. The day of issuance is the day the Department mails or delivers copies of the notice of the action to the parties or makes the copies public.

(c) Subsections (a) and (b) supersede 1 Pa. Code § § 31.11 and 35.31 (relating to timely filing required; and notice and action on petitions to intervene) and other applicable sections of the general rules including sections concerning the same, similar or related subject matter as subsections (a) and (b).

The provisions of this § 131.11 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 340.

History

Authority: The provisions of this Chapter 131 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 35 of the Administrative Agency law (71 P. S. § 1710.35) (Repealed), unless otherwise noted.
Source: The provisions of this § 131.36 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 664.

7 Pa. Code § 131.12 Appearances.

(a) A party may appear in his own behalf or may be represented by an attorney at law admitted to practice before the Supreme Court of Pennsylvania. In appropriate circumstances, the Secretary may require that a party be represented by an attorney.

(b) In the absence of an attorney, a partnership may be represented by any of its members; a corporation or association may be represented by any of its officers.

(d) Subsections (a)—(c) supplement 1 Pa. Code § § 31.21 and 31.22 (relating to appearance in person; and appearance by attorney).

The provisions of this § 131.12 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 340.

History

Authority: The provisions of this Chapter 131 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 35 of the Administrative Agency law (71 P. S. § 1710.35) (Repealed), unless otherwise noted.
Source: The provisions of this § 131.36 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 664.

7 Pa. Code § 131.13 Service.

(a) Notices and other documents shall be served upon the person designated in the notice of appearance and shall be served by mail, in which case, unless provided otherwise in this chapter, the date of service shall be the day of deposit in the United States mail or by personal service. Where appropriate, the Secretary may require proof of service.

(b) Publication of a notice of action or proposed action by the Department in the Pennsylvania Bulletin constitutes notice to or service upon all persons, except a party, effective as of the date of publication.

(c) Subsections (a) and (b) supplement 1 Pa. Code § 33.33 (relating to effect of service upon an attorney) and supersede 1 Pa. Code § § 31.26 and 35.105 (relating to service on attorneys; and notice of nonrulemaking proceedings) and other applicable sections of the general rules including sections concerning the same, similar or related subject matter as subsections (a) and (b).

The provisions of this § 131.13 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 340.

History

Authority: The provisions of this Chapter 131 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 35 of the Administrative Agency law (71 P. S. § 1710.35) (Repealed), unless otherwise noted.
Source: The provisions of this § 131.36 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 664.

7 Pa. Code § 131.14 Interveners.

(a) Petitions for leave to intervene in a proceeding before the Secretary shall be filed prior to initial presentation of evidence in the proceeding and shall set forth the specific grounds for the proposed intervention, the position and interest of the petitioner in the proceeding and a statement wherein the interest is or may be inadequately represented in the proceeding.

(b) Intervention is discretionary with the Secretary and shall be subject to the terms and conditions the Secretary may prescribe.

(c) Subsections (a) and (b) supplement 1 Pa. Code § § 35.28 and 35.29 (relating to eligibility to intervene; and form and contents of petitions to intervene) and supersede 1 Pa. Code § § 35.27, 35.30 and 35.31 (relating to initiation of intervention; filing petitions to intervene; and notice and action on petitions to intervene) and other applicable sections of the general rules including sections concerning the same, similar or related subject matter as subsections (a) and (b).

The provisions of this § 131.14 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 340.

History

Authority: The provisions of this Chapter 131 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 35 of the Administrative Agency law (71 P. S. § 1710.35) (Repealed), unless otherwise noted.
Source: The provisions of this § 131.36 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 664.

7 Pa. Code § 131.15 Subpoenas.

(a) Upon request, the Secretary will provide to the parties subpoenas for the attendance of witnesses or for the production of documentary evidence which will be served in the same manner as notices and other documents.

(b) Compliance with subpoenas may be excused by the Secretary when he determines that the testimony of documents are not relevant or material to the issues or for other cause.

The provisions of this § 131.15 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 340.

History

Authority: The provisions of this Chapter 131 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 35 of the Administrative Agency law (71 P. S. § 1710.35) (Repealed), unless otherwise noted.
Source: The provisions of this § 131.36 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 664.

7 Pa. Code § 131.16 Supersedeas.

(a) An appeal or other proceeding before the Secretary does not act as a supersedeas to the action of the Department unless granted by the Department or the Secretary.

(b) A petition for supersedeas may be filed with the Secretary at any time during the proceeding and shall set forth the specific grounds for which it is requested. In granting a supersedeas, the Secretary may impose conditions warranted by the circumstances including, where appropriate, the filing of a bond or other security. Except for compelling reasons justifying a supersedeas, a supersedeas will be denied in cases of health hazard or nuisance which either exists or is threatened.

The provisions of this § 131.16 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 340.

History

Authority: The provisions of this Chapter 131 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 35 of the Administrative Agency law (71 P. S. § 1710.35) (Repealed), unless otherwise noted.
Source: The provisions of this § 131.36 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 664.

7 Pa. Code § 131.17 Docket.

(a) The Secretary will maintain a docket of proceedings and each proceeding as initiated will be assigned an appropriate designation.

(b) The docket shall be available for inspection and copying by the public during regular office hours of the office of the Secretary.

(c) Subsections (a) and (b) supersede 1 Pa. Code § 33.51 (relating to docket) and other applicable sections of the general rules including sections concerning the same, similar or related subject matter as subsections (a) and (b).

The provisions of this § 131.17 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 340.

History

Authority: The provisions of this Chapter 131 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 35 of the Administrative Agency law (71 P. S. § 1710.35) (Repealed), unless otherwise noted.
Source: The provisions of this § 131.36 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 664.

7 Pa. Code § 131.21 Appeals.

(a) Actions taken by a subordinate officer under authority delegated by the Secretary may be appealed to the Secretary by filing a written appeal within 15 days from the date of service of notice of the action.

(b) The appeal shall set forth the name, address and telephone number of the appellant and shall include or be accompanied by a copy of the written notification of the action of the Department and a specification of objections setting forth the manner in which appellant is aggrieved by the action and the relevant issues to be resolved by the Secretary. Thereafter, the proceedings shall be limited to the issues set forth in the specification of objections.

(c) Failure to comply with this section shall be a sufficient basis for dismissing the appeal. The action of the Department is final to a person who fails to file an appeal or to perfect an appeal under this section.

(d) Subsections (a)—(c) supersede 1 Pa. Code § 35.20 (relating to appeals from actions of the staff) and other applicable sections of the general rules including sections concerning the same, similar or related subject matter as provided in subsections (a)—(c).

The provisions of this § 131.21 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 340.

History

Authority: The provisions of this Chapter 131 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 35 of the Administrative Agency law (71 P. S. § 1710.35) (Repealed), unless otherwise noted.
Source: The provisions of this § 131.36 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 664.

7 Pa. Code § 131.22 Special actions.

(a) In cases where the Department chooses or is required to take or request action after hearing or an opportunity for a hearing, it may initiate or request the action by filing a verified complaint or petition with the Secretary and serve a copy of the complaint or petition, together with any order to show cause issued by the Secretary, upon the person against whom it is directed.

(b) Within 15 days from the date of service of the complaint, petition or order, the person against whom it is directed shall file with the Secretary a verified answer responding to the allegations in the complaint, petition or order and setting forth whether a hearing is desired. Allegations in the complaint, petition or order which are not specifically denied shall be deemed to have been admitted. Failure to file an answer or to specifically deny the essential allegations of the complaint, petition or order which are not specifically denied shall be deemed to have been admitted. Failure to file an answer or to specifically deny the essential allegations of the complaint, petition or order shall constitute a sufficient basis for the entry of a default order or adjudication.

(c) Subsections (a) and (b) supplement 1 Pa. Code § § 35.14 and 35.37 (relating to orders to show cause; and answers to orders to show cause).

The provisions of this § 131.22 adopted April 14, 1972, effective April 15, 1972, 2 Pa.B. 664.

History

Authority: The provisions of this Chapter 131 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 35 of the Administrative Agency law (71 P. S. § 1710.35) (Repealed), unless otherwise noted.
Source: The provisions of this § 131.36 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 664.

7 Pa. Code § 131.31 Conferences.

(a) The Secretary, on his own motion or on motion of a party, may hold a conference either prior to or during a hearing for the purpose of considering offers of settlement, adjustment of the proceeding or an issue therein, or other matters to expedite the orderly conduct and disposition of a hearing.

(b) Stipulations of the parties or rulings of the Secretary as a result of the conference shall be binding upon the parties.

(c) Subsections (a) and (b) supplement 1 Pa. Code § § 35.111 and 35.114 (relating to conferences to adjust, settle or expedite proceedings; and authority of presiding officer at conference).

The provisions of this § 131.31 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 664.

History

Authority: The provisions of this Chapter 131 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 35 of the Administrative Agency law (71 P. S. § 1710.35) (Repealed), unless otherwise noted.
Source: The provisions of this § 131.36 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 664.

7 Pa. Code § 131.32 Hearings.

(a) When the proceedings are at issue and hearing is required, a formal evidentiary hearing shall be scheduled and a notice of hearing shall be sent to all parties to the proceedings. Unless ordered otherwise hearings shall be held in Harrisburg.

(b) The Secretary may order proceedings involving a common question of law or fact to be consolidated for hearing of any or all of the matters in issue in the proceedings.

(c) A hearing will not be held if waived by appellant or respondent or if the parties stipulate all of the essential facts or agree to submit direct and rebuttal testimony or documentary evidence in affidavit form, sworn or affirmed on personal knowledge or by deposition.

(d) Hearings will not be continued except for compelling reasons. Requests for continuances shall be submitted to the Secretary in writing with a copy served upon the other parties to the proceedings.

(e) Subsections (a)—(c) supersede 1 Pa. Code § § 35.101, 35.121 and 35.122 (relating to waiver of hearing; initiation of hearings; and consolidation of formal proceedings) and other applicable sections of the general rules including sections concerning the same, similar or related subject matter as subsections (a)—(c).

The provisions of this § 131.32 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 664.

History

Authority: The provisions of this Chapter 131 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 35 of the Administrative Agency law (71 P. S. § 1710.35) (Repealed), unless otherwise noted.
Source: The provisions of this § 131.36 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 664.

7 Pa. Code § 131.33 Evidence.

(a) Parties shall have the right of presentation of evidence, cross-examination, objection, motion and argument. The Secretary will not be bound by technical rules of evidence but relevant and material evidence of reasonable probative value shall be admissible. The Secretary may limit the number of witnesses upon an issue and may require a party to present additional evidence on an issue. Witnesses shall be sworn or shall affirm.

(b) Written testimony, on numbered lines in either narrative or question and answer form, of a witness may be admitted into evidence provided the witness is present and sworn or affirmed and provided a copy of the testimony was served upon and actually received by all other parties at least 3 days prior to the hearing.

(c) Applications, permits, licenses, registrations, orders and formal notices relating to the proceeding may be considered by the Secretary in adjudicating the case even though they have not been made a part of the record or referred to therein. The Secretary may also take official notice of an official or public document not relating to the proceeding and of any matter subject to judicial notice.

(d) In case a matter contained in a report or other document on file with the Department is offered in evidence, the report or document need not be produced or marked for identification but may be offered in evidence by specifying the report, document or other file containing the matter so offered.

(e) Subsections (a)—(d) supersede 1 Pa. Code § § 35.126, 35.161, 35.162, 35.164, 35.166 and 35.173, and other applicable sections of the general rules including sections thereof concerning the same, similar or related subject matter as subsections (a)—(d).

The provisions of this § 131.33 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 664.

History

Authority: The provisions of this Chapter 131 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 35 of the Administrative Agency law (71 P. S. § 1710.35) (Repealed), unless otherwise noted.
Source: The provisions of this § 131.36 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 664.

7 Pa. Code § 131.34 Briefs, suggested findings.

(a) The parties may, and upon request shall, submit briefs within the time the Secretary prescribes and shall serve a copy of the brief on the other parties.

(b) Upon request, the parties shall submit suggested findings of fact, with references to the appropriate exhibit or page of the transcript, and conclusions of law which may be included in a brief.

(c) Subsections (a) and (b) supersede 1 Pa. Code § § 35.191—35.193 (relating to briefs) and other applicable sections of the general rules including sections concerning the same, similar or related subject matter as subsections (a) and (b).

The provisions of this § 131.34 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 664.

History

Authority: The provisions of this Chapter 131 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 35 of the Administrative Agency law (71 P. S. § 1710.35) (Repealed), unless otherwise noted.
Source: The provisions of this § 131.36 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 664.

7 Pa. Code § 131.35 Transcript.

(a) Hearings shall be stenographically reported and a transcript of the report shall be a part of the record.

(b) Parties desiring copies of the transcript shall obtain the copies from the official reporter. Parties shall also have the opportunity to review a copy of the transcript on file with the Secretary.

(c) Subsections (a) and (b) supersede 1 Pa. Code § § 35.131 and 35.133 (relating to recording of proceedings; and copies of transcripts) and other applicable sections of the general rules including sections concerning the same, similar or related subject matter as subsections (a) and (b).

The provisions of this § 131.35 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 664.

History

Authority: The provisions of this Chapter 131 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 35 of the Administrative Agency law (71 P. S. § 1710.35) (Repealed), unless otherwise noted.
Source: The provisions of this § 131.36 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 664.

7 Pa. Code § 131.36 Adjudication.

(a) At the conclusion of the proceedings, the Secretary will issue an adjudication containing findings of fact, conclusions of law and an order.

(b) The Secretary will serve a copy of the adjudication on all parties to the proceedings or their representative.

The provisions of this § 131.36 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 664.

History

Authority: The provisions of this Chapter 131 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 35 of the Administrative Agency law (71 P. S. § 1710.35) (Repealed), unless otherwise noted.
Source: The provisions of this § 131.36 adopted February 25, 1972, effective February 26, 1972, 2 Pa.B. 664.

Chapter 133 New or Amended Pari-Mutual License Applications—Statement of Policy

7 Pa. Code § 133.1 Introduction and definitions.

(a) The Commissions have authority to issue licenses to conduct horse race meetings.

(b) Any corporation may apply for a license to conduct horse race meetings at which pari-mutuel wagering is permitted.

(c) Applicants should be aware that the act authorizes a limited number of licenses to be issued. Not every applicant will be issued a license.

(d) The license gives its holder the privilege to conduct horse race meetings at which pari-mutuel wagering is permitted. The license does not give its holder a property right.

(e) The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise:

(1) Act—The Race Horse Industry Reform Act (4 P. S. § § 325.101—325.402).

(2) Commissions—The State Harness Commission and the State Horse Racing Commission.

History

Source: The provisions of this Chapter 133 adopted May 2, 2003, effective May 3, 2003, 33 Pa.B. 2172, unless otherwise noted.

7 Pa. Code § 133.2 Eligibility.

Any corporation is eligible to apply for an available license under this chapter.

History

Source: The provisions of this Chapter 133 adopted May 2, 2003, effective May 3, 2003, 33 Pa.B. 2172, unless otherwise noted.

7 Pa. Code § 133.3 Application requirements.

The following procedures and requirements are established for license applications:

(1) Applications shall be submitted using the Commission’s application form.

(2) Applications shall be submitted by the application closing date, which is published by the appropriate Commission in a notice substantially similar to the Application Notice form set forth in § 133.4 (relating to Application Notice).

(3) An applicant shall follow the procedures and requirements of the Application Notice for the application to be considered.

(4) A Commission may reject an incomplete application. Applicants who submit new applications which the Commissions deem deficient or incomplete will be given the balance of the 60-day time period or 30 days, whichever is longer, to correct the deficiency.

(5) Each Commission reserves the right to:

(i) Request additional information regarding any aspect of the application or the applicant’s plan.

(ii) Require explanation or revision of the applicant’s plan.

(iii) Require clarification of any aspect of the applicant’s plan.

(6) Applications shall be submitted to the following addresses:

(i) State Horse Racing Commission c/o Executive Secretary 2301 N. Cameron Street, Room 304 Harrisburg, Pennsylvania 17110

(ii) State Harness Racing Commission c/o Executive Secretary2301 N. Cameron Street, Room 301 Harrisburg, Pennsylvania 17110

This section cited in 7 Pa. Code § 133.4 (relating to Application Notice).

History

Source: The provisions of this Chapter 133 adopted May 2, 2003, effective May 3, 2003, 33 Pa.B. 2172, unless otherwise noted.

7 Pa. Code § 133.4 Application Notice.

The Application Notice to be published under § 133.3 (relating to application requirements) shall be in substantially the following form:

LICENSE REQUIRED FOR ALL HORSE RACE MEETS. The Race Horse Industry Reform Act (act of December 17, 1981, P. L. 435 No. 135) (4 P. S. Sec. 325.101 et seq.) (Act) provides that no corporation shall have the right to conduct any horse race meet except on obtaining a license from either the State Horse Racing Commission or the State Harness Racing Commission.
LIMITED NUMBER OF THOROUGHBRED RACING LICENSES. Sec. 325.405(a) of the Act provides that no more than six corporations shall be licensed by the State Horse Racing Commission to conduct a pari-mutuel meet;
LIMITED NUMBER OF HARNESS RACING LICENSES. Sec. 325.205(b) of the Act provides that no more than five corporations shall be licensed by the State Harness Racing Commission to conduct a pari-mutuel meet;
MORE APPLICATIONS FILED THAN AVAILABLE LICENSES. The Commissions have received more applications for thoroughbred and harness licenses than are authorized by the Act. The Commissions do not have the power under the Act to issue licenses to all applicants for thoroughbred and harness licenses. The Commissions are not obligated to issue any license despite the availability of a license. Each Commission will be charged with reviewing the pending applications submitted under its respective jurisdiction as set forth in the Act.
INFORMATION ABOUT APPLICATION PROCEDURE. The Commissions believe that it is in the public interest under Section 325.209 of Act and the best interests of the racing industry in this Commonwealth to establish an administrative review process to treat the applicants as a comparative group for thoroughbred and harness horse race meeting license applications presently pending before the Commissions as well as any new applications or renewals.

A. CONSIDERATION GROUP. APPLICATION CLOSING DATES. The Commissions will consider applications for racing licenses made under Section 325.209 of the Act comparatively as part of a consideration group identified by an application closing date that is published by the Commission. Application closing dates will be published anytime that the respective Commissions receive or have pending before them more than one (1) application for a license.

B. APPLICATIONS. In order to qualify to be placed into the consideration group for an available license, each new or amended application must be made using the application form available from the Commissions. At a minimum, each new or amended application must contain the standards set forth in Appendix A.

No consideration shall be given to any application which is deemed to be untimely filed or deficient by the appropriate Commissions.

C. APPLICATION CLOSING DATE. The Commissions hereby establish an application closing date of

History

Source: The provisions of this Chapter 133 adopted May 2, 2003, effective May 3, 2003, 33 Pa.B. 2172, unless otherwise noted.

7 Pa. Code § 133.5 Procedure.

(a) All applications received by the application closing date set forth in the Application Notice shall be placed into a single group for comparative consideration by each respective Commission.

(b) No license will be issued until all applications in the respective consideration groups have been examined and considered by the appropriate Commission.

(c) A Commission may hold a hearing and provide for public comment under § 133.6 (relating to public hearing and public comment). The Commission may also hold any other type of hearing(s) it deems necessary and appropriate to allow participation by other interested persons as set forth in the notice in § 133.6

(d) A Commission will notify an applicant by mail that a license has been issued. A Commission shall notify by mail all applicants to whom licenses have not been issued.

(e) An applicant may appeal the denial of a license under the act.

History

Source: The provisions of this Chapter 133 adopted May 2, 2003, effective May 3, 2003, 33 Pa.B. 2172, unless otherwise noted.

7 Pa. Code § 133.6 Public hearing and public comment.

(a) Upon the filing of an application by a corporation, and after the application closing date, the Commission will place the following notice or a similar notice in a newspaper of general circulation in the county in which the facility is to be located, if the Commission deems a hearing necessary:

TO WHOM IT MAY CONCERN:

The Pennsylvania State

History

Source: The provisions of this Chapter 133 adopted May 2, 2003, effective May 3, 2003, 33 Pa.B. 2172, unless otherwise noted.

7 Pa. Code § 133.7 Contact information.

Inquiries shall be directed to one of the following:

(1) State Harness Racing Commission c/o Executive Secretary Agriculture Building, Room 301 2301 North Cameron Street Harrisburg, Pennsylvania 17110

(2) State Horse Racing Commission c/o Executive Secretary Agriculture Building, Room 304 2301 North Cameron Street Harrisburg, Pennsylvania 17110

To qualify to be placed into the consideration group for an available license, each new or amended application must, at a minimum, contain:

Documentation of an ownership interest (copy of a lease, purchase option or purchase agreement) in the proposed land.
A pro-forma financial statement projecting among other things attendance, handle and revenue at the proposed racetrack facility.
A detailed itemized list of projected costs of operation for the proposed racetrack facility.
A complete and accurate listing of all funding sources, including any and all financial documents and letters and personal contacts.
A complete listing of officers, directors, shareholders or other persons having a beneficial or equitable ownership in the applicant or its parent organization.
A correct and detailed description of the acreage for the proposed facility, including a detailed description of the physical facility and architectural renderings, where the applicant proposes to conduct live horse/harness race meetings with pari-mutuel wagering.
The number of projected live race days.
A detailed construction/project timeline for completion of the proposed facility.

History

Source: The provisions of this Chapter 133 adopted May 2, 2003, effective May 3, 2003, 33 Pa.B. 2172, unless otherwise noted.

Chapter 136 Sewer and Water Line Assessment Exemption

7 Pa. Code § 136.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise. Act—The act of May 28, 1976 (P. L. 148, No. 71) (53 P. S. § § 1241—1243). Agricultural commodity—An agricultural, horticultural, viticultural, and dairy products, livestock and the products thereof, ranch-raised fur bearing animals and the products thereof, the products of poultry and bee raising, foresting and forestry products and products raised or produced on farms intended for human consumption and the processed or manufactured products thereof intended for human consumption, transported or intended to be transported in commerce. Reference should be made to the Pennsylvania Agricultural Commodities Marketing Act of 1968 (3 P. S. § § 1001—1013). Assessing authority—A municipality or authority empowered to install water or sewer lines and to assess landowners for the costs thereof. Cemetery—A place for the disposal or burial of deceased human beings, by cremation or in a grave, mausoleum, vault, columbarium or other receptacle. Department—The Department of Agriculture of the Commonwealth of Pennsylvania, 2301 North Cameron Street, Harrisburg, Pennsylvania 17110. Farm product—An agricultural, horticultural, vegetable, fruit and floricultural product of the soil, livestock and meats, wool, hides, poultry, eggs, dairy products, nuts, mushrooms and honey. Reference should be made to 1 Pa.C.S. § 1991 (relating to definitions). Livestock products include equine and other livestock that are produced and bred for commercial purposes. Land devoted to agricultural use—That land used for the purpose of producing an agricultural commodity or any farm product. Land devoted to cemetery use—That land used or being held for cemetery purposes and land contiguous to a cemetery which is being held by the cemetery owner for cemetery use. Secretary—The Secretary of the Department.

The provisions of this § 136.1 adopted December 11, 1981, effective December 12, 1981, 11 Pa.B. 4259.

History

Authority: The provisions of this Chapter 136 issued under act of May 28, 1976 (P. L. 148, No. 71) (53 P. S. § § 1241—1243), unless otherwise noted.
Source: The provisions of this § 136.9 adopted December 11, 1981, effective December 12, 1981, 11 Pa.B. 4259.

7 Pa. Code § 136.2 General provisions.

(a) The owner of land certified by the Secretary as land primarily devoted to agricultural use or as land devoted to cemetery use is not liable for the cost of the installation of water or sewer lines so long as the landowner does not use the lines and the land continues to be devoted to agricultural or cemetery use.

(b) If a landowner uses the services provided by the lines, either voluntarily or as required by law, but continues to meet the eligibility requirements set forth in § § 136.3 and 136.4 (relating to eligibility requirements for agricultural use; and eligibility requirements for cemetery use), the landowner shall be liable for the cost of installation of the lines, but only on that amount of the property that is benefited by the use of the lines.

The provisions of this § 136.2 adopted December 11, 1981, effective Decembr 12, 1981, 11 Pa.B. 4259.

History

Authority: The provisions of this Chapter 136 issued under act of May 28, 1976 (P. L. 148, No. 71) (53 P. S. § § 1241—1243), unless otherwise noted.
Source: The provisions of this § 136.9 adopted December 11, 1981, effective December 12, 1981, 11 Pa.B. 4259.

7 Pa. Code § 136.3 Eligibility requirements for agricultural use.

(a) If the land is more than 10 contiguous acres, it is eligible if it is presently devoted to agricultural use and was devoted to such use for 3 years prior to the installation of water or sewer lines and up until the present time.

(b) If the land is less than ten contiguous acres, it is eligible if it is presently devoted to agricultural use and was devoted to such use for 3 years prior to the installation of water or sewer lines and up until the present time and if it can be shown that the use of the land produces an anticipated gross income of $2,000 per year from the sale of agricultural commodities or farm products.

The provisions of this § 136.3 adopted December 11, 1981, effective December 12, 1981, 11 Pa.B. 4259.

This section cited in 7 Pa. Code § 136.2 (relating to general provisions).

History

Authority: The provisions of this Chapter 136 issued under act of May 28, 1976 (P. L. 148, No. 71) (53 P. S. § § 1241—1243), unless otherwise noted.
Source: The provisions of this § 136.9 adopted December 11, 1981, effective December 12, 1981, 11 Pa.B. 4259.

7 Pa. Code § 136.4 Eligibility requirements for cemetery use.

The land is eligible if it is presently devoted to or being held for cemetery use and was devoted to such use for 3 years prior to the installation of water or sewer lines and up until the present time.

The provisions of this § 136.4 adopted December 11, 1981, effective December 12, 1981, 11 Pa.B. 4259.

This section cited in 7 Pa. Code § 136.2 (relating to general provisions).

History

Authority: The provisions of this Chapter 136 issued under act of May 28, 1976 (P. L. 148, No. 71) (53 P. S. § § 1241—1243), unless otherwise noted.
Source: The provisions of this § 136.9 adopted December 11, 1981, effective December 12, 1981, 11 Pa.B. 4259.

7 Pa. Code § 136.5 Application procedures.

(a) Application forms for certification of agricultural or cemetery land are available from the Department.

(b) The landowner shall have received a notice of an assessment for water or sewer lines in a right-of-way fronting on or crossing the land before the application is submitted.

(c) If the land is in agricultural use, the application shall include documentation sufficient to establish that the land to be certified has been devoted to agricultural use for 3 years prior to the installation of lines and up until the present time. The documentation may include, but is not limited to:

(1) Records of production of or income from agricultural commodities or farm products.

(2) Evidence of assessment under the Pennsylvania Farmland and Forest Land Assessment Act (72 P. S. § § 5490.1—5490.13).

(3) Convenants prepared under the act of January 13, 1966 (P. L. (1965) 1292, No. 515) (16 P. S. § § 11941—11947).

(4) Voluntary crop and livestock reports.

(d) If the land is in cemetery use, the application shall include documentation sufficient to establish that the land to be certified has been devoted to cemetery use for 3 years prior to the installation of lines and up until the present time. The documentation may include but is not limited to:

(1) Articles of incorporation or charter.

(2) Perpetual care fund.

(3) Burial records.

(4) Pre-need sales records.

(e) If the agricultural land is not 10 acres in area, the application shall include documentation sufficient to establish the fact. The documentation may include but is not limited to:

(1) Copy of owner’s deed.

(2) County tax map.

(3) Professional land surveyor’s map.

(f) If the agricultural land is less than 10 acres in area but produces anticipated yearly gross income of at least $2,000, the application shall include documentation sufficient to establish the fact. The documentation may include, but is not limited to:

(1) Soil surveys and calculations.

(2) Farm schedules from income tax records.

(3) Receipts and invoices.

History

Authority: The provisions of this Chapter 136 issued under act of May 28, 1976 (P. L. 148, No. 71) (53 P. S. § § 1241—1243), unless otherwise noted.
Source: The provisions of this § 136.9 adopted December 11, 1981, effective December 12, 1981, 11 Pa.B. 4259.

7 Pa. Code § 136.6 Duties of the landowner.

(a) The landowner shall complete the application and submit it to the Department along with the required documentation.

(b) If the land is certified by the Secretary, the landowner shall submit one copy of the certification to the assessing authority for a permanent record.

(c) The owner of certified agricultural land shall notify the assessing authority in writing within 60 days following a change of use from agricultural use.

(d) The owner of certified cemetery land shall notify the assessing authority in writing within 60 days following a change of use from cemetery use. The owner of certified cemetery land does not have to notify the assessing authority when he applies land held in reserve for cemetery use to active cemetery use.

(e) If the use of certified land is changed to an ineligible use, the owner at the time of change shall be liable for the original cost of installation of the lines.

The provisions of this § 136.6 adopted December 11, 1981, effective December 12, 1981, 11 Pa.B. 4259.

This section cited in 7 Pa. Code § 136.8 (relating to duties of the assessing authority).

History

Authority: The provisions of this Chapter 136 issued under act of May 28, 1976 (P. L. 148, No. 71) (53 P. S. § § 1241—1243), unless otherwise noted.
Source: The provisions of this § 136.9 adopted December 11, 1981, effective December 12, 1981, 11 Pa.B. 4259.

7 Pa. Code § 136.7 Duties of the Department.

(a) The Department will provide the application forms.

(b) The Department will ensure that the application is properly completed and executed with a notarized signature of the landowner.

(c) An agent of the Department will conduct an on-site inspection of the premises to confirm the information contained in the application.

(d) The Department will return two copies of the certification to the landowner when land is certified.

The provisions of this § 136.7 adopted December 11, 1981, effective December 12, 1981, 11 Pa.B. 4259.

History

Authority: The provisions of this Chapter 136 issued under act of May 28, 1976 (P. L. 148, No. 71) (53 P. S. § § 1241—1243), unless otherwise noted.
Source: The provisions of this § 136.9 adopted December 11, 1981, effective December 12, 1981, 11 Pa.B. 4259.

7 Pa. Code § 136.8 Duties of the assessing authority.

(a) The assessing authority shall not hold the owner of certified land liable for the cost of installation of water or sewer lines so long as the landowner does not use the lines and the land continues to be devoted to agricultural or cemetery use.

(b) The assessing authority shall file with the Recorder of Deeds in the county in which the land is located a notice of record, a certification signed and acknowledged by the landowner and indexed in the owner’s name, indicating that the lines were installed and that if the current or any subsequent owner of the land uses the lines or changes the land use to an ineligible use, the owner shall be liable for the payment of the original assessment.

(c) If the use of certified land is changed to an ineligible use, the assessing authority may place a lien against the property in the amount of the original assessment and collectible according to the act of May 16, 1923 (P. L. 207, No. 153) (53 P. S. § § 7101—7505).

(d) If the owner of certified land fails to notify the assessing authority within 60 days of a change of use as required by § 136.6(c) and (d) (relating to duties of the landowner), the assessing authority may charge as a penalty 10% of the original assessment plus interest at the rate of 8% from the date of change.

The provisions of this § 136.8 adopted December 11, 1981, effective December 12, 1981, 11 Pa.B. 4259.

History

Authority: The provisions of this Chapter 136 issued under act of May 28, 1976 (P. L. 148, No. 71) (53 P. S. § § 1241—1243), unless otherwise noted.
Source: The provisions of this § 136.9 adopted December 11, 1981, effective December 12, 1981, 11 Pa.B. 4259.

7 Pa. Code § 136.9 Appeals procedure.

(a) The applicant or the assessing authority shall have the right of appeal from the certification or noncertification by the Department. This appeal must be in writing to the Secretary, and it must be filed within 30 days of the notice of action by the Department.

(b) Where the Department undertakes, on its own initiative or on the written request of the assessing authority, a review of a previous certification, the affected parties shall have a right of appeal, in writing, within 30 days of the notice of action by the Department in accordance with subsection (a).

(d) All appeals from the Department’s certification decisions shall be in accordance with Part V-A (relating to rules of administrative practice and procedure). To the extent that this chapter expands the time period to perfect appeals beyond that granted in Chapter 131 (relating to rules of practice and procedure), this chapter will be deemed controlling.

The provisions of this § 136.9 adopted December 11, 1981, effective December 12, 1981, 11 Pa.B. 4259.

History

Authority: The provisions of this Chapter 136 issued under act of May 28, 1976 (P. L. 148, No. 71) (53 P. S. § § 1241—1243), unless otherwise noted.
Source: The provisions of this § 136.9 adopted December 11, 1981, effective December 12, 1981, 11 Pa.B. 4259.

Part VI Milk Marketing Board

Chapter 141 Preliminary Provisions

7 Pa. Code § 141.1 Definitions.

The following words and terms, when used in this part, have the following meanings, unless the context clearly indicates otherwise: Act—The Milk Marketing Law (31 P.S. § § 700j-101—700j-1302). Board—The Pennsylvania Milk Board of the Commonwealth.

The provisions of this § 141.1 updated May 23, 2025, 55 Pa.B. 3565. Immediately preceding text appears at serial page (365943).

History

Source: The provisions of this § 141.4 reserved October 10, 1980, effective October 11, 1980, 10 Pa.B. 4037. Immediately preceding text appears at serial pages (48901) and (50386).

7 Pa. Code § 141.2 Rules of practice and procedure before the Board.

Under 1 Pa. Code § 31.1 (relating to scope of part), 1 Pa. Code Part II (relating to general rules of administrative practice and procedure) is applicable to the activities of and proceedings before the Board.

The provisions of this § 141.2 adopted February 7, 1975, effective February 8, 1975, 5 Pa.B. 238.

History

Source: The provisions of this § 141.4 reserved October 10, 1980, effective October 11, 1980, 10 Pa.B. 4037. Immediately preceding text appears at serial pages (48901) and (50386).

7 Pa. Code § 141.3 Advance filing of documents in conjunction with price hearing.

The Board, with notice, may require, a party who intends to submit documented statistical evidence at price hearing, to do so at least 7 days prior to the hearing.

The provisions of this § 141.3 adopted February 7, 1975, effective February 8, 1975, 5 Pa.B. 238.

History

Source: The provisions of this § 141.4 reserved October 10, 1980, effective October 11, 1980, 10 Pa.B. 4037. Immediately preceding text appears at serial pages (48901) and (50386).

Chapter 143 Transactions between Dealers and Producers

7 Pa. Code § 143.1 Milk purchased both from producers and dealers.

(a) When a dealer purchases milk from both producers and other dealers, milk utilized in Class I shall be, as much as possible, that milk purchased from producers.

(b) In successive classes, milk purchased from producers shall, insofar as available, be considered in the highest class in which the dealer utilizes any milk.

(c) The Board may authorize a dealer to pool milk purchased from other dealers with milk purchased from producers to arrive at the blend rate on which producers shall be paid, if the dealer shall furnish the Board with proof that the milk purchased directly from producers was not adequate to supply normal Class I needs.

(d) The provisions of this section do not apply when the Board has adopted Federal Order pricing and classification systems.

The provisions of this § 143.1 amended July 16, 1976, effective July 17, 1976, 6 Pa.B. 1665. Immediately preceding text appears at serial page (19541).

History

Authority: The provisions of this § 143.33 amended under sections 301 and 307 of the Milk Marketing Law (31 P.S. § § 700j-301 and 700j-307).
Source: The provisions of this § 143.46 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended January 16, 2009, effective January 17, 2009, 39 Pa.B. 308; amended December 3, 2010, effective December 4, 2010, 40 Pa.B. 6936. Immediately preceding text appears at serial pages (340269) to (340270).

7 Pa. Code § 143.2 Milk purchased outside of this Commonwealth.

A dealer who purchases milk or cream from producers in this Commonwealth and in other jurisdictions shall not place milk or cream purchased in other jurisdictions in a higher class than the milk or cream purchased from producers within this Commonwealth.

History

Authority: The provisions of this § 143.33 amended under sections 301 and 307 of the Milk Marketing Law (31 P.S. § § 700j-301 and 700j-307).
Source: The provisions of this § 143.46 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended January 16, 2009, effective January 17, 2009, 39 Pa.B. 308; amended December 3, 2010, effective December 4, 2010, 40 Pa.B. 6936. Immediately preceding text appears at serial pages (340269) to (340270).

7 Pa. Code § 143.11 Determination of payment to producers by dealers having more than one plant.

(a) Dealers shall pay their producers on a weight and butterfat or milk component basis as determined by the components in the milk or the utilization of the milk, or both, received at each plant or receiving station.

(b) Upon written authorization from the Board, a dealer may base payments to producers upon the aggregate utilization of the milk received at several plants or receiving stations. A dealer electing to base payments upon the aggregate utilization shall receive authorization from the Board before returning to an individual plant or receiving station utilization unless the Board revokes authorization on the Board’s motion.

The provisions of this § 143.11 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).

The provisions of this § 143.11 amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial page (353964).

History

Authority: The provisions of this § 143.33 amended under sections 301 and 307 of the Milk Marketing Law (31 P.S. § § 700j-301 and 700j-307).
Source: The provisions of this § 143.46 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended January 16, 2009, effective January 17, 2009, 39 Pa.B. 308; amended December 3, 2010, effective December 4, 2010, 40 Pa.B. 6936. Immediately preceding text appears at serial pages (340269) to (340270).

7 Pa. Code § 143.12 Terms of payment.

(a) Producers shall be paid not later than the 26th day of each month and the 17th day of the following month, as follows:

(1) Payment that covers the approximate value of milk or cream purchased from the first to the 15th of each month shall be made not later than the 26th day of each month. This payment need not be accompanied by an itemized statement. This payment shall be at least the lowest announced class price for the previous month for the number of pounds purchased or received during the first 15 days of the month.

(2) Final settlement for all milk and cream purchased during any month shall be made not later than the 17th day of the following month. The final settlement shall include any balances due for the first 15-day period and shall be accompanied by a statement to each producer setting forth the information required under § 143.14 (relating to monthly statement to producers).

(3) If payment for milk is made under a Federal milk marketing order, payment to producers, cooperatives and producer settlement funds shall be made under the Federal milk marketing order.

(4) If a date required for payment falls on a Saturday, Sunday or State or National holiday, the payment is due on the next day that the office of the Board is open for the public business.

(b) This section may not be interpreted as prohibiting a dealer from paying its producers on a weekly basis; however, when a dealer pays on this basis, it shall also provide its producers with a monthly statement as prescribed by § 143.14. All advance payments on the weekly basis shall be at least at the lowest announced class price for the previous month for the number of pounds purchased or received during the week in question. The final settlement shall include any balances due for the initial weeks during the month and shall be accompanied by a statement to each producer setting forth the information required under § 143.14.

The provisions of this § 143.12 amended under sections 307, 608 and 704 of the Milk Marketing Law (31 P.S. § § 700j-307, 700j-608 and 700j-704); and section 5 of the Milk Producers’ and Cooperative Security Funds Act (31 P.S. § 625.5) (Repealed).

The provisions of this § 143.12 amended October 17, 1980, effective October 18, 1980, 10 Pa.B. 4094; amended September 24, 1999, effective September 25, 1999, 29 Pa.B. 4952; amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial pages (353964) to (353965).

This section cited in 7 Pa. Code § 151.5 (relating to notice with respect to claims against the Milk Producers’ Security Fund).

History

Authority: The provisions of this § 143.33 amended under sections 301 and 307 of the Milk Marketing Law (31 P.S. § § 700j-301 and 700j-307).
Source: The provisions of this § 143.46 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended January 16, 2009, effective January 17, 2009, 39 Pa.B. 308; amended December 3, 2010, effective December 4, 2010, 40 Pa.B. 6936. Immediately preceding text appears at serial pages (340269) to (340270).

7 Pa. Code § 143.13 Manner of payment.

(a) Dealers shall pay producers either by check, cash, wire transfer, money order or any other Board-approved payment device. Dealers electing to pay producers by cash shall, in all cases, obtain a dated, signed receipt from each producer. Receipts shall be made a part of the permanent records of the dealer.

(b) The giving of a promissory note shall not constitute payment within the meaning of this section.

The provisions of this § 143.13 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).

The provisions of this § 143.13 amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial page (353965).

History

Authority: The provisions of this § 143.33 amended under sections 301 and 307 of the Milk Marketing Law (31 P.S. § § 700j-301 and 700j-307).
Source: The provisions of this § 143.46 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended January 16, 2009, effective January 17, 2009, 39 Pa.B. 308; amended December 3, 2010, effective December 4, 2010, 40 Pa.B. 6936. Immediately preceding text appears at serial pages (340269) to (340270).

7 Pa. Code § 143.14 Monthly statement to producers.

Dealers purchasing milk or cream from producers shall furnish producers with statements containing each of the following items by not later than the 18th day of each month. Producers receiving their statements through electronic media shall have an agreement to do so on file with the purchasing dealer.

(1) The name and address of dealer issuing statement.

(2) The date of statement.

(3) The period for which statement is rendered.

(4) The name and producer number of the producer for whom statement is intended.

(5) A report of the results of the component tests required under § 143.21 (relating to testing; notification of producer).

(6) The percentage of milk utilized in each classification for milk purchased in this Commonwealth not regulated under a Federal milk marketing order.

(7) The rate paid per hundredweight for each classification as established by applicable Official General Order, which may be obtained from the Pennsylvania Milk Board, 2301 N. Cameron Street, Harrisburg, Pennsylvania 17110.

(8) Applicable components, component rates and total component pounds and values for milk purchased under a Federal milk marketing order.

(9) The blend rate paid at the producer’s average test.

(10) The total pounds of milk purchased from producer.

(11) The gross amount paid for milk.

(12) The pounds of milk subject to State-mandated premiums and additional amounts paid as premiums, bonuses or similar payments.

(13) The gross amount due after addition of premiums, bonuses or similar payment.

(14) Itemization of advance payments and authorized deductions.

(15) The total deductions.

(16) The net amount due and paid.

(17) A listing of the amount of milk picked up each day.

The provisions of this § 143.14 amended under sections 307, 608 and 704 of the Milk Marketing Law (31 P.S. § § 700j-307, 700j-608 and 700j-704); and section 5 of the Milk Producers’ and Cooperative Security Funds Act (31 P.S. § 625.5).

The provisions of this § 143.14 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended September 24, 1999, effective September 25, 1999, 29 Pa.B. 4952; amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216; updated May 23, 2025, 55 Pa.B. 3565. Immediately preceding text appears at serial pages (365380) and (404597).

This section cited in 7 Pa. Code § 143.12 (relating to terms of payment).

History

Authority: The provisions of this § 143.33 amended under sections 301 and 307 of the Milk Marketing Law (31 P.S. § § 700j-301 and 700j-307).
Source: The provisions of this § 143.46 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended January 16, 2009, effective January 17, 2009, 39 Pa.B. 308; amended December 3, 2010, effective December 4, 2010, 40 Pa.B. 6936. Immediately preceding text appears at serial pages (340269) to (340270).

7 Pa. Code § 143.15 Cooperative communication of over-order premium.

(a) Cooperatives shall show by line item on their monthly statements to dairy farmers marketing milk through the cooperative the specific amount of the Board over-order premium being paid.

(b) For the purpose of this section, ‘‘the specific amount of the Board over-order premium being paid’’ shall be calculated monthly by each cooperative by:

(1) deriving an over-order premium rate by dividing the total Pennsylvania over-order premium paid to the cooperative by the total cooperative Pennsylvania member pounds marketed,

(2) multiplying the rate derived in subsection (b) paragraph (1) by the Pennsylvania member pounds marketed.

(c) The amount calculated in subsection (b) shall be expressed on dairy farmer monthly statements in cents/hundredweight. When the result of the calculation in subsection (b)(1) falls between cents, the rate reported to dairy farmers shall be rounded down to the lower cent.

(d) If a cooperative is not paid an over-order premium during a month, the cooperative shall disclose on its monthly statement that no over-order premium was received.

(e) Other than setting forth the calculation of value in subsection (b), nothing in this section shall require reduction or alteration of amounts, content or format of information about cooperative premium programs on the monthly statements to dairy farmers.

The provisions of this § 143.15 added under sections 103, 301, 307 and 608 of the Milk Marketing Law (31 P.S. § § 700j-103, 700j-301, 700j-307 and 700j-608).

The provisions of this § 143.15 adopted May 28, 2021, effective 120 days after publication, 51 Pa.B. 2963; updated May 23, 2025, 55 Pa.B. 3565. Immediately preceding text appears at serial pages (404597) to (404598).

History

Authority: The provisions of this § 143.33 amended under sections 301 and 307 of the Milk Marketing Law (31 P.S. § § 700j-301 and 700j-307).
Source: The provisions of this § 143.46 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended January 16, 2009, effective January 17, 2009, 39 Pa.B. 308; amended December 3, 2010, effective December 4, 2010, 40 Pa.B. 6936. Immediately preceding text appears at serial pages (340269) to (340270).

7 Pa. Code § 143.21 Testing; notification of producer.

(a) A milk dealer buying or receiving milk from a producer on the basis of, or with reference to, the amount or percentage of components contained in the milk shall, within 5 days after the end of each sampling period, test composite samples and within 2 days thereafter notify the producer of the result of the test, stating the period of time during which samples were taken.

(b) Notice to the producer shall be in writing delivered to the producer or made available to the producer electronically through Internet access, e-mail, automated telephone dial-in or any other method approved by the Board.

(c) For the purposes of implementing the act regarding ‘‘Composite Samples,’’ it may be interpreted that ‘‘Fresh Samples’’ may be used for the determination of component content for payment to producers, providing that not less than two random representative fresh milk samples, evenly spaced, shall be taken and tested in each 1/2 month period, or a total of not less than four random representative fresh milk samples, and not less than four butterfat tests in each calendar month.

The provisions of this § 143.21 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).

The provisions of this § 143.21 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended through October 3, 1980, effective October 4, 1980, 10 Pa.B. 3916; amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial pages (363966) to (353967).

This section cited in 7 Pa. Code § 143.14 (relating to monthly statement to producers).

History

Authority: The provisions of this § 143.33 amended under sections 301 and 307 of the Milk Marketing Law (31 P.S. § § 700j-301 and 700j-307).
Source: The provisions of this § 143.46 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended January 16, 2009, effective January 17, 2009, 39 Pa.B. 308; amended December 3, 2010, effective December 4, 2010, 40 Pa.B. 6936. Immediately preceding text appears at serial pages (340269) to (340270).

7 Pa. Code § 143.22 Acceptable test methods.

For the purposes of implementing the act regarding tests as to the amount or percentage of components contained in milk or cream, the term ‘‘test’’ as used in the act shall include all component-testing methods referenced in Chapter 144 (relating to electronic methods for testing milk for fat content) and performed in accordance with the standards established by the Association of Official Agricultural Chemists in that organization’s current edition of Official Methods of Analysis.

The provisions of this § 143.22 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).

The provisions of this § 143.22 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial page (353967).

History

Authority: The provisions of this § 143.33 amended under sections 301 and 307 of the Milk Marketing Law (31 P.S. § § 700j-301 and 700j-307).
Source: The provisions of this § 143.46 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended January 16, 2009, effective January 17, 2009, 39 Pa.B. 308; amended December 3, 2010, effective December 4, 2010, 40 Pa.B. 6936. Immediately preceding text appears at serial pages (340269) to (340270).

7 Pa. Code § 143.23 Quantity of sample.

(a) At least a 35 milliliter sample shall be taken under sanitary conditions from each lot of milk for use by the plant or laboratory in all quality and composition determinations.

(b) The samples must be held, unless used for testing purposes the same day of pick-up, until the next set of samples is collected.

The provisions of this § 143.23 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).

The provisions of this § 143.23 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended through October 3, 1980, effective October 4, 1980, 10 Pa.B. 3916; amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial pages (353467) to (353468).

History

Authority: The provisions of this § 143.33 amended under sections 301 and 307 of the Milk Marketing Law (31 P.S. § § 700j-301 and 700j-307).
Source: The provisions of this § 143.46 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended January 16, 2009, effective January 17, 2009, 39 Pa.B. 308; amended December 3, 2010, effective December 4, 2010, 40 Pa.B. 6936. Immediately preceding text appears at serial pages (340269) to (340270).

7 Pa. Code § 143.24 Agitation before sampling.

Before any sample is taken from a farm bulk milk tank for testing purposes, the milk shall be agitated for a minimum of 5 minutes, unless a longer period of time is specified by the buyer of the milk or his agent or the manufacturer of the bulk tank.

The provisions of this § 143.24 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).

The provisions of this § 143.24 amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial page (353968).

History

Authority: The provisions of this § 143.33 amended under sections 301 and 307 of the Milk Marketing Law (31 P.S. § § 700j-301 and 700j-307).
Source: The provisions of this § 143.46 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended January 16, 2009, effective January 17, 2009, 39 Pa.B. 308; amended December 3, 2010, effective December 4, 2010, 40 Pa.B. 6936. Immediately preceding text appears at serial pages (340269) to (340270).

7 Pa. Code § 143.25 Calibration chart.

(a) A calibration chart for a farm bulk milk tank shall be posted in the milk house of the producer, and an exact reproduction of the chart shall be maintained as part of the records of the dealer or the cooperative for their producer members.

(b) The chart shall show the name and address of the manufacturer, the serial number of the tank, the serial number of the measuring rod together with the tank capacity, the name or number of the producer and the date of calibration.

The provisions of this § 143.25 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).

The provisions of this § 143.25 amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial page (353968).

History

Authority: The provisions of this § 143.33 amended under sections 301 and 307 of the Milk Marketing Law (31 P.S. § § 700j-301 and 700j-307).
Source: The provisions of this § 143.46 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended January 16, 2009, effective January 17, 2009, 39 Pa.B. 308; amended December 3, 2010, effective December 4, 2010, 40 Pa.B. 6936. Immediately preceding text appears at serial pages (340269) to (340270).

7 Pa. Code § 143.26 Temperature of samples.

Composite and fresh samples shall be maintained at a temperature of between 0.0°C and 4.4°C. When daily additions to composites are made, composite samples shall not be unrefrigerated for more than 30 minutes.

The provisions of this § 143.26 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).

The provisions of this § 143.26 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended through October 3, 1980, effective October 4, 1980, 10 Pa.B. 3916; amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial page (353968).

History

Authority: The provisions of this § 143.33 amended under sections 301 and 307 of the Milk Marketing Law (31 P.S. § § 700j-301 and 700j-307).
Source: The provisions of this § 143.46 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended January 16, 2009, effective January 17, 2009, 39 Pa.B. 308; amended December 3, 2010, effective December 4, 2010, 40 Pa.B. 6936. Immediately preceding text appears at serial pages (340269) to (340270).

7 Pa. Code § 143.27 Transportation of samples.

(a) Milk samples may be transported in bulk tank trucks provided the facilities for transporting the samples maintain a temperature of between 0.0°C and 4.4°C at all times when samples are contained therein.

(b) The daily fresh samples shall be transferred to the composite sample bottle or maintained at the dealer’s plant or designated sample storage location at a temperature between 0.0°C and 4.4°C for testing if fresh sampling method for payment is used.

The provisions of this § 143.27 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).

The provisions of this § 143.27 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended through October 3, 1980, effective October 4, 1980, 10 Pa.B. 3916; amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial page (353968).

History

Authority: The provisions of this § 143.33 amended under sections 301 and 307 of the Milk Marketing Law (31 P.S. § § 700j-301 and 700j-307).
Source: The provisions of this § 143.46 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended January 16, 2009, effective January 17, 2009, 39 Pa.B. 308; amended December 3, 2010, effective December 4, 2010, 40 Pa.B. 6936. Immediately preceding text appears at serial pages (340269) to (340270).

7 Pa. Code § 143.28 Off-premises testing.

Composite and fresh samples may be tested off the premises of the milk dealer by a recognized laboratory if the samples are transported at a temperature of between 0.0°C and 4.4°C.

The provisions of this § 143.28 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).

The provisions of this § 143.28 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended through October 3, 1980, effective October 4, 1980, 10 Pa.B. 3916; amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial pages (353968) to (353969).

History

Authority: The provisions of this § 143.33 amended under sections 301 and 307 of the Milk Marketing Law (31 P.S. § § 700j-301 and 700j-307).
Source: The provisions of this § 143.46 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended January 16, 2009, effective January 17, 2009, 39 Pa.B. 308; amended December 3, 2010, effective December 4, 2010, 40 Pa.B. 6936. Immediately preceding text appears at serial pages (340269) to (340270).

7 Pa. Code § 143.29 Weighing and sampling of direct load milk.

(a) Definitions. The following words and terms, when used in this section, have the following meanings, unless the context clearly indicates otherwise: Bulk milk tanker or tanker—

(i) A mobile bulk container used to transport milk or fluid milk products in bulk from a dairy farm, or to or from a dairy processing plant which is designed to be towed by a motor vehicle.

(ii) The term includes equipment and accessories related to the mobile bulk container. Bureau—The Bureau of Ride and Measurement Standards, of the Department. Department—The Department of Agriculture of the Commonwealth. Direct load milk—Producer milk that is loaded directly from the farm milking parlor into a bulk milk tanker and is not weighed or sampled, or both, by means of an onfarm bulk tank. Milk Sanitation Division—The Bureau of Food Safety and Laboratory Services, Milk Sanitation Division, of the Department.

(b) General.

(1) For purposes of payment to producers, direct load milk shall be weighed and sampled in accordance with the provisions of this section.

(2) Sampling and weighing of direct load milk shall take place as close as practicable to the farm and shall take place in this Commonwealth or in a state with a reciprocal agreement for recognition of direct load weighing and sampling methods.

(3) An in-line temperature recorder and indicating thermometer must be located between the chiller and the bulk milk tanker to record the temperature of the milk.

(4) Direct load milk shall be weighed and sampled by a weigher/sampler certified by the Board for direct load milk pickup.

(5) This section does not replace or supersede the requirements, standards and procedures for weighing and sampling of milk established by the Bureau or the Milk Sanitation Division.

(c) Weighing. Direct load milk weight shall be established by type-approved scales of appropriate size and location, tested and approved by the Bureau or by a mass flow meter certified to be in compliance with National Institute of Standards Technology Handbook 44 and tested and approved by the Bureau.

(1) Weighing by scales.

(i) Scale weight shall be certified by a person licensed as a public weighmaster by the Bureau.

(ii) Snow, ice, mud and other debris shall be removed from the bulk milk tanker before weighing on scales.

(iii) Weighing methods must comply with 3 Pa.C.S. Chapter 41 (relating to Consolidated Weights and Measures Act).

(iv) The weighmaster shall complete and provide to the weigher/sampler, at the time of weighing, a weigh slip approved by the Bureau. Weigh slips with the weighmaster’s license number shall be deemed to be completed by the weighmaster, in accordance with 3 Pa.C.S. § 4153 (relating to preparation of weighmaster’s certificate).

(A) A licensed public weighmaster may not enter on a weighmaster’s certificate issued by the weighmaster weight values which the weighmaster has not personally determined. The weighmaster may not make entries on a weighmaster’s certificate issued by another person.

(B) A weighmaster’s certificate shall be prepared to show clearly what weights were actually determined.

(C) If the certificate form provides for the entry of gross, tare and net weights in any case in which only the gross, the tare or the net weight is determined by the weighmaster, the weighmaster shall strike through or otherwise cancel the printed entries for the weights not determined or computed.

(D) If gross and tare weights are shown on a weighmaster’s certificate and both of these were not determined on the same scale and on the day for which the certificate is dated, the weighmaster shall identify on the certificate the scale used for determining each weight and the date of each determination.

(v) A standard empty weight may be established for a tanker that is regularly used to haul direct load milk from a producer.

(A) The standard empty weight shall be established at least every month.

(B) The producer shall maintain a record for each tanker. A copy of the record shall be kept with each tanker and available on demand with the following information:

(I) The tanker serial number.

(II) The manufacturer’s rated capacity of the tanker.

(III) The date the tanker was put into service hauling direct load milk of the producer.

(IV) The date and location of the scale where the standard empty weight was last established

(V) Whether the tanker was equipped with a spare tire when the standard empty weight was last established.

(C) After the standard empty weight is established, the tanker must be equipped with the same spare tire, or not be equipped with a spare tire, whichever was the case when the standard empty weight was last established.

(D) If tires are changed, maintenance is performed that may affect the weight of the tanker or other equipment or utensils are attached to the tanker, the standard empty weight of the tanker must be established before the tanker is placed back into service.

(vi) A tanker for which a standard empty weight has not been established shall be weighed before each loading.

(A) The empty tanker weight may be established by unhooking the tanker on the scales and weighing the tanker alone.

(B) A tractor and empty tanker combination may be weighed together if either of the following occur:

(I) The tractor and tanker will remain coupled until after the milk is loaded onto the tanker at the farm and the tractor and loaded tanker combination is reweighed.

(II) The tractor and loaded tanker combination is weighed at or near a dairy in this Commonwealth before unloading at the dairy, and the tractor and empty tanker combination is reweighed after unloading at or near the dairy where unloaded.

(vii) To establish milk weight, subtract the weight of the empty tanker or combination from the weight of the loaded tanker or combination.

(A) The loaded tanker weight may be established by unhooking the tanker on the scales and weighing the tanker alone.

(B) If a loaded tanker will not be unhooked from the tractor when weighing the loaded tanker, the weight of the tractor shall be established independently before hooking on to the loaded tanker. The tractor weight shall be added to the empty weight of the tanker to establish the empty weight of the combination.

(viii) When a tractor is weighed, either alone or in combination with an empty or loaded tanker, the weigher/sampler shall account for the weight of the fuel as follows:

(A) If the tractor has traveled 15 miles or more between weighing empty and weighing loaded, the weigher/sampler shall account for the weight of the fuel consumed by subtracting 20 pounds from the empty weight of the tractor for every 15 miles traveled.

(B) If the tractor has been refueled between weighing empty and weighing loaded, the weigher/sampler shall account for the additional weight of the fuel by adding 7.15 pounds to the weight of the tractor for every gallon of fuel added.

(2) Meter weight.

(i) Only a food grade, 3-A approved, volumetric flow meter capable of direct pound computations approved by the Board and by the Milk Sanitation Division may be used for establishing milk weight.

(ii) A meter shall be installed by an installer or repair person registered by the Bureau.

(iii) Meters must be National Type Evaluation Program approved, tested and approved by the Bureau and certified for custody transfer.

(iv) The Bureau will annually inspect, test and approve these meters.

(v) The meter shall be positioned at a stationary point between the chiller and the milk tanker.

(vi) The weigher/sampler shall permanently record on paper:

(A) The manufacturer’s rated capacity of the tanker.

(B) The date and time the milk tanker began and ended filling.

(D) The date that the meter was last verified for accuracy.

(3) Other weighing or measuring devices, or both. Other weighing or measuring devices, or both, may be approved on a case-by-case basis by the Bureau and the Board.

(d) Sampling.

(1) Samples must comply with § § 143.23, 143.26 and 143.27 (relating to quantity of sample; refrigeration of samples; and transportation of samples).

(2) Samples shall only be taken after agitation sufficient to ensure that the milk is in a homogenous condition by one of the following methods:

(i) In-tanker agitation.

(A) Agitation by a mechanical device placed inside the tanker may be used if the agitation method and equipment are approved by the Board.

(B) Sampling takes place immediately when the agitator is turned off.

(ii) Over-the-road agitation.

(A) Agitation by the normal movement of the milk inside the tanker during transport over the road may be used only when the tanker is filled to no more than 97% of the tanker manufacturer’s rated volumetric capacity.

(B) A sensor, metering device or other measurement strategy, coupled with an automatic shut-off or alarm system, shall be used to ensure that the tanker is filled to not more than 97% of its rated capacity.

(C) Agitation must take place in not less than a 3-mile trip during which at least three stops and starts shall have occurred.

(D) Sampling shall take place without delay, but less than 5 minutes after the tanker has stopped, and the sample shall be taken from the hatch in accordance with the guidelines of the Milk Sanitation Division.

(iii) Other agitation methods. Other agitation methods, such as air agitation, may be used if the agitation method has been certified as effective in at least five repeatable trials and if the method is approved by the Milk Sanitation Division. The Board will provide testing and certification of other agitation methods on a case-by-case basis.

(3) Other sampling methods. Other sampling methods, including in-line sampling devices, may be approved by the Board on a case-by-case basis.

The provisions of this § 143.29 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).

The provisions of this § 143.29 adopted December 3, 2010, effective December 4, 2010, 40 Pa.B. 6936.

History

Authority: The provisions of this § 143.33 amended under sections 301 and 307 of the Milk Marketing Law (31 P.S. § § 700j-301 and 700j-307).
Source: The provisions of this § 143.46 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended January 16, 2009, effective January 17, 2009, 39 Pa.B. 308; amended December 3, 2010, effective December 4, 2010, 40 Pa.B. 6936. Immediately preceding text appears at serial pages (340269) to (340270).

7 Pa. Code § 143.31 Written notice required.

(a) No dealer shall terminate its contract or purchasing agreement or ordinary continuance of a previous course of dealing with a producer except by giving such producer at least a 90-day written notice before termination. No producer shall terminate its contract or purchasing agreement or ordinary continuance of a previous course of dealing with a dealer except by giving such dealer at least a 28-day written notice before termination. The period of notice shall begin when the producer or dealer receives the notice. The dealer shall specify in such notice the reasons for termination, shall include the list of agencies and organizations required by section (j), and shall pay in full the producer whose contract has been terminated by the 20th day of the month following actual termination. If a dealer petitions for a shorter notice period under subsections (c), (d), (e) and (f), the notice to the producer must inform the producer that the dealer is petitioning for the shorter notice period, this notice must be provided simultaneously to the Board, and this notice shall be sent by certified mail return receipt requested to affected producers and the Board with notice effective no later than on the first date of attempted delivery. If a dealer petitions for a shorter notice period under subsections (c), (d), (e) or (f), the Board shall notify the dealer and affected producers by certified mail return receipt requested within 10 business days of receiving from the dealer the information required by the respective clause its decision to either approve or disapprove the petition.

(b) Repetitions of the causes set forth in § 143.44 (relating to rejection of producer’s milk) may, however, cause termination of the contract without the requisite notice.

(c) A dealer may terminate a contract or purchasing agreement or ordinary continuance of a previous course of dealing with a producer by giving a 28-day written notice if the dealer is in financial distress. ‘‘Financial distress’’ means an Ohlson O-score of 0.5 and higher. The dealer’s Ohlson O-score shall be calculated as follows:

O = -1.32 - 0.407log(TAt/GNP) + 6.03TLt/TAt - 1.43 WCt/TAt + 0.0757 CLt/CAt - 1.72X - 2.37NIt/TAt - 1.83FFOt/TLt = + 0.285Y - 0.521 (NIt-NIt-1)/(|NIt| + |NIt-1|)

Where

TA = total assets GNP = Gross National Product price index level found at (https://fred.stlouisfed.org/series/A001RG3A086NBEA) TL = total liabilities WC = working capital = (current assets) - (current liabilities) CL = current liabilities CA = current assets X = 1 if TL › TA, 0 otherwise NI = net income after taxes FFO = cash flow from operating activities Y = 1 if a net loss for the last 2 years, 0 otherwise t = most recent year data t-1 = prior year data

The Board shall complete its computation and review of the Ohlson O-score, and notify the dealer and affected producers, within 10 business days of receiving the necessary documentation from a dealer. ‘‘Necessary documentation’’ is the Balance Sheet and Statement of Operations found in the Milk Dealer’s Financial Statement (PMMB-60), and the Statement of Cash Flows prepared annually with the dealer’s financial statements.

(d) A dealer may terminate a contract or purchasing agreement or ordinary continuance of a previous course of dealing with a producer by giving a 28-day written notice if the dealer’s Ohlson O-score is between -1.0 and 0.5 if any three of the following five solvency ratio conditions are met:

(1) Quick ratio less than or equal to 0.6, where quick ratio = (cash on hand + accounts receivable)/current liabilities.

(2) Current ratio less than 1.0, where current ratio = current assets/current liabilities.

(3) Current liabilities/total equity greater than 2/3.

(4) Total liabilities/total equity greater than 1.0.

(5) Fixed assets/total equity greater than 3/4.

(e) A dealer may terminate a contract or purchasing agreement or ordinary continuance of a previous course of dealing with a producer by giving a 28-day written notice if the dealer has raw milk volumes for which there are insufficient customer sales. Raw milk volumes for which there are insufficient customer sales shall be determined as follows:

(1) Identify sales reductions or customer losses experienced within any 90-day rolling period.

(2) Document weekly average sales history in pounds for the customer(s) decreased volume or for the lost customer(s) based on a 26-week rolling average, or a lesser time period if such customer was a customer for less than 26 weeks or was a school(s) and the school contract was lost during the school year.

(3) Affirm that good faith efforts were made to replace the lost sales.

(4) If the lost sales calculated according to paragraph (2) amount to at least 40,000 pounds or 3% of raw milk receipts, whichever is less, of raw milk per week and the dealer has made the affirmation required by paragraph (3), the Board shall approve the 28 day written notice based on the dealer having raw milk volumes for which there are insufficient customer sales.

(5) The Board shall determine if a dealer has raw milk volumes for which there are insufficient customer sales, and notify the dealer and affected producers, within 10 business days of receiving the necessary documentation from a dealer.

(f) A dealer may terminate a contract or purchasing agreement or ordinary continuance of a previous course of dealing with a producer by giving a 28-day notice if the dealer has raw milk volumes for which there is insufficient plant output due to a verifiable catastrophic event affecting a milk plant’s ability to handle, process or sell/deliver historical volumes of packaged milk products, which is reasonably expected to last beyond 28-days. Raw milk volumes for which there is insufficient plant output shall be determined as follows:

(1) Identify catastrophic events including mechanical failure; weather-related damage; infrastructure-related damage; shut down or slow down of plant operations; government-imposed plant shutdown, partial or otherwise; or other similar catastrophic circumstance.

(2) Document weekly average plant output as measured by sales in pounds of packaged milk products prior to catastrophic event based on a 26-week rolling average.

(3) Document weekly average raw milk receipts in pounds prior to catastrophic event based on a 26-week rolling average.

(4) Document reasons, nature and extent (estimated in pounds) of reduced ability to handle, process or sell/deliver historical output of packaged milk products.

(5) Affirm that good faith efforts have been made to return to historical plant output documented under paragraph (2).

(6) Affirm that despite good faith efforts the reduction in output will last beyond 28-days.

(7) If the reduction in plant output documented in paragraph (4) amounts to at least 40,000 pounds or 3% of historical raw milk receipts in paragraph (3), whichever is less, of raw milk per week and the dealer has made the affirmations required in paragraphs (5) and (6), the Board shall approve the 28-day written notice based on the dealer having raw milk volumes for which there is insufficient plant capacity due to a catastrophic event.

(8) The Board shall determine if a dealer has raw milk volumes for which there is insufficient output due to catastrophic event and notify the dealer and affected producers within 10 business days of receiving the information required by this subsection.

(g) Any 28-day notice period as provided by this section shall commence on the day the 28-day notice is approved by the Board.

(h) If a contract between a cooperative and a member of the cooperative provides for the amount of notice required to terminate the contract, this section shall not apply.

(i) Notwithstanding subsection (a), a producer and dealer may contract for either more or less than a 90-day notice period to terminate a contract or purchasing agreement. Subsection (a) shall apply when the contract, purchasing agreement or ordinary continuance of a previous course of dealing between a producer and dealer does not contain a termination provision.

(j) The Board shall maintain and make available on its web site a current list of government agencies and nonprofit organizations which are available to assist producers who receive a termination notice. The termination notice shall not be considered received by the producer unless it includes this list.

The provisions of this § 143.31 amended under sections 301 and 307 of the Milk Marketing Law (31 P.S. § § 700j-301 and 700j-307).

The provisions of this § 143.31 amended September 29, 1978, effective September 30, 1978, 8 Pa.B. 2671; amended July 30, 2021, effective July 31, 2021, 51 Pa.B. 4223. Immediately preceding text appears at serial page (365388).

This section cited in 7 Pa. Code § 143.33 (relating to individual variations).

History

Authority: The provisions of this § 143.33 amended under sections 301 and 307 of the Milk Marketing Law (31 P.S. § § 700j-301 and 700j-307).
Source: The provisions of this § 143.46 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended January 16, 2009, effective January 17, 2009, 39 Pa.B. 308; amended December 3, 2010, effective December 4, 2010, 40 Pa.B. 6936. Immediately preceding text appears at serial pages (340269) to (340270).

7 Pa. Code § 143.33 Individual variations.

Nothing in § 143.31 (relating to written notice required) shall prohibit a contract or agreement providing for a longer period of notice, or severing a relation between dealer and producer by mutual agreement on shorter period of notice.

The provisions of this § 143.33 amended under sections 301 and 307 of the Milk Marketing Law (31 P.S. § § 700j-301 and 700j-307).

The provisions of this § 143.33 amended July 30, 2021, effective July 31, 2021, 51 Pa.B. 4223. Immediately preceding text appears at serial page (365389).

History

Authority: The provisions of this § 143.33 amended under sections 301 and 307 of the Milk Marketing Law (31 P.S. § § 700j-301 and 700j-307).
Source: The provisions of this § 143.46 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended January 16, 2009, effective January 17, 2009, 39 Pa.B. 308; amended December 3, 2010, effective December 4, 2010, 40 Pa.B. 6936. Immediately preceding text appears at serial pages (340269) to (340270).

7 Pa. Code § 143.41 Uniform milk production.

A dealer and his producers may establish a system of level or uniform milk production in accordance with the requirements of the dealer, and pursuant to the terms and conditions prescribed by the Board, if the milk dealer first shall make a formal application to the Board and receive written authorization to do so.

History

Authority: The provisions of this § 143.33 amended under sections 301 and 307 of the Milk Marketing Law (31 P.S. § § 700j-301 and 700j-307).
Source: The provisions of this § 143.46 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended January 16, 2009, effective January 17, 2009, 39 Pa.B. 308; amended December 3, 2010, effective December 4, 2010, 40 Pa.B. 6936. Immediately preceding text appears at serial pages (340269) to (340270).

7 Pa. Code § 143.42 Transportation deductions.

(a) —

(1) When a dealer provides the service of transporting the producer’s milk from the producer’s farm to a dealer’s plant of first receipt, the dealer may make reasonable deduction from the payment to the producer for such service based upon the dealer’s actual cost of transportation, a record of which shall be kept by the dealer. Such deductions shall not exceed 25¢ per hundredweight of milk transported.

(2) If a dealer is already deducting less than 25¢ per hundredweight for such transportation service on the effective date of this Chapter, he shall thereafter, not increase that deduction, unless such increase is authorized under subsection (b).

(b) The Board may by permit authorize a dealer to deduct in excess of 25¢ per hundredweight or increase his present transportation deduction charge for the transportation service if the dealer presents a written petition to the Board requesting the same and furnishes evidence that the services rendered, the conditions under which the transportation is effected and the costs incurred by the dealer in transporting milk on a particular route warrant an additional deduction.

(c) A dealer shall be deemed to have violated the provisions of this section if he engages in such violation directly or through an agent, employe, subsidiary, or affiliated company or corporation.

History

Authority: The provisions of this § 143.33 amended under sections 301 and 307 of the Milk Marketing Law (31 P.S. § § 700j-301 and 700j-307).
Source: The provisions of this § 143.46 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended January 16, 2009, effective January 17, 2009, 39 Pa.B. 308; amended December 3, 2010, effective December 4, 2010, 40 Pa.B. 6936. Immediately preceding text appears at serial pages (340269) to (340270).

7 Pa. Code § 143.43 Distressed or surplus milk.

Fluid milk dealers may request an allowance on bulk sales of surplus or distressed milk to other licenses solely engaged in the manufacture of dairy products if the selling dealer obtains written authorization in advance from the Board and provides the Board with information required on detailed forms.

History

Authority: The provisions of this § 143.33 amended under sections 301 and 307 of the Milk Marketing Law (31 P.S. § § 700j-301 and 700j-307).
Source: The provisions of this § 143.46 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended January 16, 2009, effective January 17, 2009, 39 Pa.B. 308; amended December 3, 2010, effective December 4, 2010, 40 Pa.B. 6936. Immediately preceding text appears at serial pages (340269) to (340270).

7 Pa. Code § 143.44 Rejection of producer’s milk.

(a) No handler under the act or person holding any license, permit or certificate issued by the Board shall return any milk to a producer or reject any milk of a producer for any cause except:

(1) Inferior quality of the milk.

(2) Noncompliance with the regulations of other governmental health or sanitation agencies.

(b) The return or rejection of the milk shall be supported by a signed statement to the producer setting forth the reasons for which the milk was returned or rejected. A copy of the statement shall be retained by the rejecting handler as a part of his permanent records.

(c) In the case of bulk tank pick-up, the signed statement shall be delivered to the producer in person at the time of rejection or, in the event neither the producer nor his representative is available at the time, it shall be posted in a conspicuous place in the milk house.

(d) In the case of can pick-up, the signed statement shall be delivered to the producer with the returned or rejected milk.

This section cited in 7 Pa. Code § 143.31 (relating to written notice required).

Due to the inferior quality of high bacteria milk, dealers may opt to return it to the producers. Eastern Milk Producers Cooperative Association v. Milk Marketing Board, 479 A.2d 29 (Pa. Cmwlth. 1984).

History

Authority: The provisions of this § 143.33 amended under sections 301 and 307 of the Milk Marketing Law (31 P.S. § § 700j-301 and 700j-307).
Source: The provisions of this § 143.46 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended January 16, 2009, effective January 17, 2009, 39 Pa.B. 308; amended December 3, 2010, effective December 4, 2010, 40 Pa.B. 6936. Immediately preceding text appears at serial pages (340269) to (340270).

7 Pa. Code § 143.45 Deductions or assessments from producers.

Deductions of any kind from payments due a producer shall be made only upon written authorization from a producer. A copy of the authorization shall be retained by the milk dealer as part of his permanent records.

History

Authority: The provisions of this § 143.33 amended under sections 301 and 307 of the Milk Marketing Law (31 P.S. § § 700j-301 and 700j-307).
Source: The provisions of this § 143.46 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended January 16, 2009, effective January 17, 2009, 39 Pa.B. 308; amended December 3, 2010, effective December 4, 2010, 40 Pa.B. 6936. Immediately preceding text appears at serial pages (340269) to (340270).

7 Pa. Code § 143.46 Producer receipt for farm bulk milk.

(a) Pick-up of farm bulk milk shall be supported by a bill of lading or similar document either by Board-approved electronic media or paper document and containing the following information:

(1) Date of pick-up and time.

(2) Name or number of a producer.

(3) Pounds or gallons or similar metric equivalent of milk.

(4) Milk hauler’s license number assigned by the Board.

(5) Signature, or electronic equivalent, together with the certificate number of the weigher/sampler picking up the milk.

(6) Temperature of the milk at the time of pickup.

(b) The information required by subsection (a) shall be left with each producer at the time of pick-up. The same information shall be retained by the milk hauler for 90 days; and the same information shall be retained by the purchasing milk dealer or cooperative for 90 days. In the event that the quantity of milk recorded and left with the producer at the time of pick-up differs from either the hauler information or the information retained by the dealer or cooperative, the producer shall be paid based on the highest quantity of milk recorded that can be correlated back to the calibration chart.

(c) For direct load milk weighed and sampled under § 143.29 (relating to weighing and sampling of direct load milk), the following provisions apply:

(1) In addition to the information required in subsection (a), the bill of lading or similar document must also contain:

(i) When milk weight is established by scales, a copy of the weigh slip required under § 143.29(c)(1)(iv).

(ii) When milk weight is established by a flow meter, a copy of the information required under § 143.29(c)(2)(vi).

(iii) The method of sampling.

(iv) The method of agitation, if applicable.

(2) If weighing and sampling was done at the farm, the information shall be left with the producer at the time of pick-up. If weighing or sampling was done at a distant location, the information shall be provided to the producer within 24 hours of pick-up, or at the time the next tanker is picked up, whichever is earlier.

The provisions of this § 143.46 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended January 16, 2009, effective January 17, 2009, 39 Pa.B. 308; amended December 3, 2010, effective December 4, 2010, 40 Pa.B. 6936. Immediately preceding text appears at serial pages (340269) to (340270).

History

Authority: The provisions of this § 143.33 amended under sections 301 and 307 of the Milk Marketing Law (31 P.S. § § 700j-301 and 700j-307).
Source: The provisions of this § 143.46 amended October 11, 1974, effective October 12, 1974, 4 Pa.B. 2170; amended January 16, 2009, effective January 17, 2009, 39 Pa.B. 308; amended December 3, 2010, effective December 4, 2010, 40 Pa.B. 6936. Immediately preceding text appears at serial pages (340269) to (340270).

Chapter 144 Electronic Methods for Testing Milk for Fat and Component Content

7 Pa. Code § 144.1 Electronic methods—general.

(a) Reference methods used to determine the component content of milk for payment purposes shall be those recognized or approved and set forth in the latest edition of the SMEDP, by the AOAC in Official Methods of Analysis, published by the AOAC, Gaithersburg, Maryland, or by the USDA. Only electronic instruments capable of performance standards as referenced in § 144.4 (relating to routine inspection and control) shall be used to test milk for payment purposes in this Commonwealth.

(b) A certified tester using an electronic testing instrument shall make available upon request to the Board a complete instrument operation and maintenance manual and further information as requested.

The provisions of this § 144.1 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).

The provisions of this § 144.1 amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial pages (237843) to (237845).

This section cited in 7 Pa. Code § 144.4 (relating to routine inspection and control).

History

Authority: The provisions of this § 144.14 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).
Source: The provisions of this § 144.14 amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial page (237853).

7 Pa. Code § 144.1a Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: AOAC—AOAC International. Accuracy check—A test made at the beginning of each testing session and once per hour thereafter to determine the continued accuracy of the electronic testing apparatus. Calibration—The adjustment of an electronic instrument so that the results for a given payment component meet the comparison criteria results of an AOAC, SMEDP or USDA approved reference method. Certified tester—A Board certified technician as provided in section 602 of the act (31 P.S. § 700j-602). Control milk or control sample—Samples produced by a commercial laboratory or by the USDA, or its successor agency, used to do the following:

(i) Determine the calibration of an electronic instrument.

(ii) Set the calibration of an electronic instrument. Electronic method—A method for determining the components in raw milk using an electronic testing instrument. Milk component or component—A unique compound within milk whose relative mass within the milk may be used to determine the payment to producers. Component parts of milk include but are not necessarily limited to the following:

(i) Butterfat.

(ii) Protein.

(iii) Lactose.

(iv) Solids nonfat.

(v) Other solids.

(vi) Total solids. Reference method—A standard method using analytical chemistry or other approved techniques by which all other electronic methods of testing milk are compared for determining the components in milk. Repeatability check—A test run at the beginning of each testing session to demonstrate the ability of a given electronic testing instrument or piece of equipment to meet the requirements for repeatability in § 144.4(b)(2) (relating to routine inspection and control). SMEDP—Standard Methods for the Examination of Dairy Products published by the American Public Health Association, Washington, D.C. USDA—The United States Department of Agriculture.

The provisions of this § 144.1a issued under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).

The provisions of this § 144.1a adopted January 11, 2013, effective January 12, 2013, 43 Pa.B. 216.

History

Authority: The provisions of this § 144.14 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).
Source: The provisions of this § 144.14 amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial page (237853).

7 Pa. Code § 144.2 Certification and approval requirements.

(a) No person may use a method to test milk for component content for payment purposes unless the method has been approved by the Board, the SMEDP, the AOAC or the USDA or their successor organizations.

(b) No person may use or employ an electronic instrument or method to test milk for component content for payment purposes unless certified by the Board under section 602 of the act (31 P.S. § 700j-602).

The provisions of this § 144.2 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).

The provisions of this § 144.2 amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial page (237845).

History

Authority: The provisions of this § 144.14 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).
Source: The provisions of this § 144.14 amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial page (237853).

7 Pa. Code § 144.3 Laboratory facilities and supplies.

Laboratories and other facilities using an electronic instrument or method to test milk for component content for payment purposes shall have the following supplies and facilities available and in proper working order:

(1) An electronic testing instrument capable of performance standards as referenced in § 144.4 (relating to routine inspection and control), required accessories and reagents and an instruction manual for operation of the instrument.

(2) A thermostatically controlled water, or other manufacturer-prescribed medium, bath with recording thermometer having proper temperature distribution, set to maintain samples at the temperature specified by the manufacturer of the electronic testing instrument or other methods of obtaining the required temperature as specified by the instrument manufacturer.

The provisions of this § 144.3 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).

The provisions of this § 144.3 amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial pages (237845) to (237846).

History

Authority: The provisions of this § 144.14 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).
Source: The provisions of this § 144.14 amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial page (237853).

7 Pa. Code § 144.4 Routine inspection and control.

(a) Preparation of control samples. Control samples shall be prepared in accordance with the methods in § 144.1 (relating to electronic methods—general).

(b) Daily performance.

(1) Accuracy check. Each day before routine testing begins, at least once each hour during the course of the testing session, and when the testing session ends, at least one subsample of control milk shall be tested using the electronic instrument. The certified tester shall read the test to 0.01%. The result difference obtained by the reference method must be 0.05 or less than the known reference test sample result. If the difference of the samples exceeds 0.05, the certified tester shall discontinue operation of the instrument, determine the reason for the difference and correct the deficiencies before resuming operation.

(2) Repeatability check. Each day before routine testing begins, and generally within the first hour of the session, at least ten consecutive readings on a single well-mixed sample of milk that has not been homogenized shall be made and recorded as a permanent record. If more than ten consecutive readings are taken, the certified tester shall use the last ten results. The repeatability check is acceptable if the range of the ten readings is 0.04 or less.

The provisions of this § 144.4 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).

The provisions of this § 144.4 amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial pages (237846) to (237847).

This section cited in 7 Pa. Code § 144.1 (relating to electronic methods—general); 7 Pa. Code § 144.1a (relating to definitions); and 7 Pa. Code § 144.3 (relating to laboratory facilities and supplies).

History

Authority: The provisions of this § 144.14 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).
Source: The provisions of this § 144.14 amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial page (237853).

7 Pa. Code § 144.5 Instrument calibration.

(a) Calculation of calibration results. An instrument shall be considered to be calibrated properly when the average difference between the instrument results for butterfat and protein and the reference method results for at least ten different control samples, called mean average, is +/-0.04 and the standard deviation of the difference between the instrument and reference methods, called standard deviation, is 0.04 or less. For all solids the mean average is +/-0.09 and the standard deviation of the differences between the instrument and reference methods is 0.12 or less for those same ten samples.

(b) Conditions requiring calibration.

(1) The instrument shall be calibrated when initially installed.

(2) The instrument shall be calibrated when the accuracy check is confirmed to have failed.

(3) The instrument shall be calibrated if a part which may affect proper operation of the instrument is replaced, rebuilt or adjusted.

(4) The instrument shall be calibrated upon the occurrence of the specific circumstances which require calibration for that instrument, as determined by the manufacturer.

(5) The instrument shall be calibrated when new controls are available.

The provisions of this § 144.5 amended under section 307 of the Milk Marketing Law (31 P.S. § 700-307).

The provisions of this § 144.5 amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial pages (237847) to (237851).

History

Authority: The provisions of this § 144.14 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).
Source: The provisions of this § 144.14 amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial page (237853).

7 Pa. Code § 144.6 Required records.

(a) The certified tester and testing facility or laboratory shall maintain the records listed in this section for at least 2 years. Records may be maintained in paper or electronic formats. Records must denote the record date. The name and license number of the certified tester who created or maintained the records must be included in the records or be readily available upon request.

(b) Records of calibrations, accuracy checks, mean average and standard deviation computations and other instrument use are required.

(c) Records of the operation and maintenance of each electronic testing instrument and records of test results by electronic method are required.

(d) Certified testers shall record standard deviation of the calibration verification as follows:

(1) The results of individual samples by reference method (average only for reference method) and electronic method.

(2) The date of computation, name and license number of certified tester.

(e) Certified testers operating electronic testing equipment shall perform a daily accuracy check and record the following:

(1) Reference method used, sample identification, individual test results and average test.

(2) Electronic method used, time, sample identification, individual test results and average test results.

The provisions of this § 144.6 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).

The provisions of this § 144.6 amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial page (237851).

History

Authority: The provisions of this § 144.14 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).
Source: The provisions of this § 144.14 amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial page (237853).

7 Pa. Code § 144.7 Summary record required.

(a) The certified tester and the testing facility or laboratory shall compile summary records of component tests performed for producers for the first and second half of each month containing results for at least two evenly spaced representative samples in each half month for each producer. The record must contain the farm sampling date, the laboratory testing date, the laboratory or testing site, the tester identification, the producer identification and the test result for each sample. The record shall be known as the original record or laboratory record and shall be maintained by the tester for at least 2 years. If the tests are performed by a milk dealer licensed by the Board, the milk dealer shall maintain the records of the component content of producers’ milk samples for at least 2 years.

(b) If tests are performed in a commercial laboratory which is not an integral part of the milk plant where the samples were delivered, the licensed dealer or plant shall make available to the Board a copy of the final laboratory records of the component tests in computerized or written form for at least 2 years.

The provisions of this § 144.7 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).

The provisions of this § 144.7 amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial page (237851).

History

Authority: The provisions of this § 144.14 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).
Source: The provisions of this § 144.14 amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial page (237853).

7 Pa. Code § 144.12 Credit producers with actual component test.

(a) No individual producers delivering milk or cream, or both, to a milk or cream-receiving or purchasing plant, where the milk or cream is purchased on the basis of the milk components contained therein, may be credited with a greater or lesser percentage or average percentage of milk components than is actually contained in the milk or cream delivered.

(b) No report on a test to determine the milk component content of milk or cream may be of a greater or lesser percentage of milk components than is actually contained in the milk or cream from which the sample was taken. To be a basis of payment to an individual producer, a recheck of a producer’s milk component test shall be made from the next available sample taken after the original test. Rechecks of a producer’s milk component test shall be made when the butterfat varies 0.5% or more or the protein varies 0.3% or more from the most recent test.

The provisions of this § 144.12 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).

The provisions of this § 144.12 amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial pages (237852) to (237853).

History

Authority: The provisions of this § 144.14 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).
Source: The provisions of this § 144.14 amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial page (237853).

7 Pa. Code § 144.13 Availability of records.

Laboratory, cooperative or plant records shall be open to examination by the Board or its authorized representative. Upon request of a producer, the purchaser or receiver of milk or cream, or both, shall permit the producer to examine the part of the record containing information concerning the samples of milk or cream representing the milk or cream delivered by the producer. A purchaser or receiver of milk or cream from the producer thereof shall, on written request, at least once each month mail or deliver to the producer a written statement, unless the producer agrees to accept a verbal statement, of the percentage of milk components found to have been contained in the sample or samples representing the milk or cream delivered by the producer.

The provisions of this § 144.13 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).

The provisions of theis § 144.13 amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial page (237853).

History

Authority: The provisions of this § 144.14 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).
Source: The provisions of this § 144.14 amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial page (237853).

7 Pa. Code § 144.14 Responsibility for violations.

A certified tester at a laboratory or plant is responsible for a violation of the act or this chapter, including the keeping of the reports and records required under the act and this chapter. The purchaser or receiver, or both, of the milk or cream, or both, or the licensed manager of a milk-gathering station, manufactory or plant receiving or purchasing milk or cream from producers for sale or resale or for manufacture, where the payment or settlement for the milk or cream is based in whole or in part on the milk component content thereof, is responsible for a violation of the act or this chapter by a person working under his direction or subject to his orders or the act or this chapter, including the keeping of the reports and records required by the act and this chapter.

The provisions of this § 144.14 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).

The provisions of this § 144.14 amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial page (237853).

History

Authority: The provisions of this § 144.14 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).
Source: The provisions of this § 144.14 amended January 11, 2013, effective January 12, 2013, 43 Pa.B. 216. Immediately preceding text appears at serial page (237853).

Chapter 146 Transactions Between Dealers and Customers

7 Pa. Code § 146.1 Applicability.

(a) Dealers and subdealers purchasing refrigeration equipment directly for use by, or sale to, or lease or rental to their wholesale customers are governed by this chapter.

(b) Dealers and subdealers providing refrigeration equipment to their wholesale customers in conjunction with, or through, or in coordination with, a third party refrigeration equipment manufacturer or supplier are deemed to be supplying the refrigeration equipment directly and are governed by this chapter.

(c) A manufacturer or seller of refrigeration equipment may not sell, deliver, arrange for delivery, or in any way handle, as defined by the act, milk within this Commonwealth without a dealer or subdealer license.

(d) This chapter does not apply to transactions between grocery wholesalers and their subsidiaries, affiliates, franchisees or wholesale customers to the extent the transactions occur in the normal course of the grocery wholesaler’s business and are only incidentally related to acquisition or retention of the fluid milk business of the subsidiary, affiliate, franchisee or wholesale customer.

This section cited in 7 Pa. Code § 147.12 (relating to contracts for sale or lease of refrigeration equipment).

History

Authority: The provisions of this Chapter 146 issued under section 307 of the Milk Marketing Law (31 P.S. § 700j-307), unless otherwise noted.
Source: The provisions of this Chapter 146 adopted June 6, 2008, effective September 5, 2008, 38 Pa.B. 2654, unless otherwise noted.

7 Pa. Code § 146.2 Gifts of refrigeration equipment.

(a) A dealer or subdealer may not give or lend refrigeration equipment or milk or cream dispensers of any type to customers for storing or dispensing milk or cream.

(b) Nothing in subsection (a) prohibits a dealer or subdealer from selling or leasing any of the described equipment to a wholesale customer.

History

Authority: The provisions of this Chapter 146 issued under section 307 of the Milk Marketing Law (31 P.S. § 700j-307), unless otherwise noted.
Source: The provisions of this Chapter 146 adopted June 6, 2008, effective September 5, 2008, 38 Pa.B. 2654, unless otherwise noted.

7 Pa. Code § 146.3 Leasing agreements.

(a) Whenever a dealer or subdealer leases refrigeration equipment, or milk or cream dispensers or similar facilities to a wholesale customer, the lease agreement must be reduced to writing and provide for a payment of at least the minimum price established by the Board plus an additional charge of at least $0.0025 per quart equivalent for every unit of controlled products sold to that wholesale customer at the site at which the equipment is used.

(b) The agreement must contain a complete description of the equipment with respect to type, style, model and serial number, manufacturer and year of manufacture.

History

Authority: The provisions of this Chapter 146 issued under section 307 of the Milk Marketing Law (31 P.S. § 700j-307), unless otherwise noted.
Source: The provisions of this Chapter 146 adopted June 6, 2008, effective September 5, 2008, 38 Pa.B. 2654, unless otherwise noted.

7 Pa. Code § 146.4 Sale of equipment.

(a) Whenever refrigeration equipment, or milk or cream dispensers, or similar facilities are sold to stores or other wholesale customers, the agreement of sale must be reduced to writing and contain the following:

(1) A complete description of the equipment with respect to type, style, model and serial number, manufacturer and year of manufacture.

(2) An itemized record of the actual cost of new equipment to the dealer, or the value of used equipment as determined in accordance with subsection (c), at the time it was placed at the customer’s location, including handling, installation, freight, tax if applicable and interest.

(3) A provision that title to the refrigeration equipment, or milk or cream dispensers, or similar facilities does not pass until the last payment has been made under the agreement.

(b) Equipment may be purchased outright by payment in full at or before the time of installation or by payment of an additional charge per quart equivalent purchased until the full purchase price has been made. If payment is to be made by means of an additional charge per quart equivalent, each agreement must provide for a payment of at least the minimum price posted by the Board plus an additional charge of at least $0.01 per quart equivalent for every unit of controlled products sold to that wholesale customer at the site at which the equipment is used. When the cumulative sum of the additional charges is equal to the itemized cost or value established in subsection (a)(2), the dealer may eliminate the additional charge. At that time, ownership of the equipment may be transferred to the customer.

(c) Used equipment may be sold to a wholesale customer at a price determined by adjusting its original cost to the dealer for annual straight line depreciation at a rate of 8-1/3% per annum plus all ancillary costs.

(d) A dealer or subdealer selling equipment under an agreement providing for payment by means of an additional charge per unit shall maintain the following records for review by the Board for the time period specified in § 147.9 (relating to equipment records):

(1) A complete list of all wholesale customers purchasing equipment pursuant to this provision, showing the location of each piece of equipment and the date the equipment was placed at that location.

(2) A record of the number of quart equivalents of price-controlled packaged products sold to each customer in this program along with the cumulative sum of the additional charges since the equipment was placed at the customer’s location.

History

Authority: The provisions of this Chapter 146 issued under section 307 of the Milk Marketing Law (31 P.S. § 700j-307), unless otherwise noted.
Source: The provisions of this Chapter 146 adopted June 6, 2008, effective September 5, 2008, 38 Pa.B. 2654, unless otherwise noted.

7 Pa. Code § 146.5 Exceptions for certain schools regarding refrigeration equipment.

Dealers or subdealers installing refrigeration equipment, including milk vending machines, dispensers and milkshake dispensers in schools which are approved for the school milk program and which are eligible for reimbursement, in whole or in part, for the amortization of the equipment need not execute and submit to the Board a formal lease or contract of sale if the dealer submits to the Board a sworn statement setting forth the type, style, model and serial number, manufacturer, year of manufacture, cost of the equipment to the dealer plus handling, installation, tax and freight charges, and date of installation, together with the method of amortization.

History

Authority: The provisions of this Chapter 146 issued under section 307 of the Milk Marketing Law (31 P.S. § 700j-307), unless otherwise noted.
Source: The provisions of this Chapter 146 adopted June 6, 2008, effective September 5, 2008, 38 Pa.B. 2654, unless otherwise noted.

7 Pa. Code § 146.6 Maintenance of equipment.

(a) Maintenance of equipment when it is leased to the customer may be the responsibility of the lessor. When maintenance is performed by the lessee, no charge may be made to the lessor dealer for maintenance.

(b) Maintenance of equipment, whenever it is sold either by lump sum payment or on a time payment sales basis, shall be the responsibility of the purchaser.

History

Authority: The provisions of this Chapter 146 issued under section 307 of the Milk Marketing Law (31 P.S. § 700j-307), unless otherwise noted.
Source: The provisions of this Chapter 146 adopted June 6, 2008, effective September 5, 2008, 38 Pa.B. 2654, unless otherwise noted.

7 Pa. Code § 146.7 Identification of ownership of equipment.

Dealers or subdealers leasing equipment to customers shall identify the equipment as the property of the dealer by painting, decal or metal plate affixed to the equipment. Identification shall be placed on all equipment in place by October 6, 2008. New identifications shall be so identified not later than 15 days after installation. Dealers or subdealers shall replace mutilated or missing identification within 15 days after either observing the requirement or being notified by the Board of the requirement.

History

Authority: The provisions of this Chapter 146 issued under section 307 of the Milk Marketing Law (31 P.S. § 700j-307), unless otherwise noted.
Source: The provisions of this Chapter 146 adopted June 6, 2008, effective September 5, 2008, 38 Pa.B. 2654, unless otherwise noted.

7 Pa. Code § 146.8 Unfair pricing.

(a) Sale of equipment by a dealer or subdealer to a wholesale customer at a price less than the brand or retail list price or fair market value of the equipment when there is no list price, is prohibited.

(b) When purchasing any equipment or property from a wholesale customer or prospective wholesale customer, a dealer or subdealer may not pay the customer a price in excess of the fair market value of the equipment or property at the time for the transfer to the milk dealer.

History

Authority: The provisions of this Chapter 146 issued under section 307 of the Milk Marketing Law (31 P.S. § 700j-307), unless otherwise noted.
Source: The provisions of this Chapter 146 adopted June 6, 2008, effective September 5, 2008, 38 Pa.B. 2654, unless otherwise noted.

7 Pa. Code § 146.9 Financing.

Milk dealers and their affiliates, subsidiaries or representatives thereof may not provide financial accommodations for a wholesale customer by lending money to the customer, or by paying or guaranteeing the payment of any obligation of the customer, or by acting as a cosigner on a promissory note or other obligation of the customer, or by depositing money or collateral with a third party, person or organization which will lend money or extend credit to the customer. This section does not apply to transactions between grocery wholesalers and their subsidiaries, affiliates, franchisees or wholesale customers to the extent the transactions occur in the normal course of the grocery wholesaler’s business and are only incidentally related to acquisition or retention of the fluid milk business of the subsidiary, affiliate, franchisee or wholesale customer.

History

Authority: The provisions of this Chapter 146 issued under section 307 of the Milk Marketing Law (31 P.S. § 700j-307), unless otherwise noted.
Source: The provisions of this Chapter 146 adopted June 6, 2008, effective September 5, 2008, 38 Pa.B. 2654, unless otherwise noted.

7 Pa. Code § 146.21 Giveaways.

Milk dealers and their affiliates, subsidiaries or representatives thereof may not give or lend any milk, milk products, money, article, prize, award or any other item to a customer or a prospective customer, as an inducement for the purpose of soliciting or securing business. This section does not apply to transactions between grocery wholesalers and their subsidiaries, affiliates, franchisees or wholesale customers to the extent the transactions occur in the normal course of the grocery wholesaler’s business and are only incidentally related to acquisition or retention of the fluid milk business of the subsidiary, affiliate, franchisee or wholesale customer.

History

Authority: The provisions of this Chapter 146 issued under section 307 of the Milk Marketing Law (31 P.S. § 700j-307), unless otherwise noted.
Source: The provisions of this Chapter 146 adopted June 6, 2008, effective September 5, 2008, 38 Pa.B. 2654, unless otherwise noted.

7 Pa. Code § 146.22 Sampling prospective retail customers and established retail customers.

The practice of providing free samples to prospective retail customers or to established retail customers may not be permitted. This section does not apply to on-the-premises consumption in stores or restaurants.

History

Authority: The provisions of this Chapter 146 issued under section 307 of the Milk Marketing Law (31 P.S. § 700j-307), unless otherwise noted.
Source: The provisions of this Chapter 146 adopted June 6, 2008, effective September 5, 2008, 38 Pa.B. 2654, unless otherwise noted.

7 Pa. Code § 146.23 Gifts to established retail customers.

(a) Dealers may distribute to any of their established retail customers, but not to prospective retail customers, free of charge, in any one calendar year, any gift including milk, milk products, or other item, if the cost to the dealer of the gift does not exceed the sum of 60¢.

(1) Dealers may provide utilitarian gifts to any of their established retail customers who have purchased milk for at least 60 days prior to the birth of a child.

(2) The cost to the dealer of the gift may not exceed $2.

(3) The gift must have particular and exclusive relationship to the care of newborn children.

(4) A dealer is limited to one gift for each child.

(b) The word ‘‘gift’’ may not be construed to prohibit a dealer from lending a porch box to an established retail customer provided the box is imprinted with the name of the dealer and the unit cost to the dealer does not exceed $5.

History

Authority: The provisions of this Chapter 146 issued under section 307 of the Milk Marketing Law (31 P.S. § 700j-307), unless otherwise noted.
Source: The provisions of this Chapter 146 adopted June 6, 2008, effective September 5, 2008, 38 Pa.B. 2654, unless otherwise noted.

7 Pa. Code § 146.24 Samples or gifts to wholesale customers.

(a) Samples of a product may not be given to a wholesale customer or prospective wholesale customer by or on behalf of a milk dealer.

(b) Gifts of any value may not be given by a dealer to a wholesale customer or to a purchasing agent, contracting officer or other person or organization whose position, rank or other means of influence, enables him to select or to influence the selection of milk vendors.

History

Authority: The provisions of this Chapter 146 issued under section 307 of the Milk Marketing Law (31 P.S. § 700j-307), unless otherwise noted.
Source: The provisions of this Chapter 146 adopted June 6, 2008, effective September 5, 2008, 38 Pa.B. 2654, unless otherwise noted.

7 Pa. Code § 146.25 Extension of credit to wholesale customers.

(a) Extension of credit to a wholesale customer, excluding a hospital, school or government agency, beyond 30 days from the date of invoice is prohibited.

(1) The invoice from dealers to customers must be rendered at least monthly.

(2) If a customer fails to pay an invoice within 30 days, the dealer shall place that customer on a cash basis.

(b) For the purpose of this section, cash payment basis may, at the option of the dealer, be interpreted to mean weekly payments for the delivery of the past weeks plus at least 4% of the past due account to be received by the dealer, on a regular and continuing weekly basis until the customer has reduced the past due balance below the maximum 30-day credit limitation. A dealer who has placed a customer on a cash payment basis under this section may, with approval of the Board, require the customer to execute a promissory note in favor of the dealer, or to grant the dealer a lien on assets of the customer, or to otherwise secure payment of the past due balance to the dealer. The dealer shall immediately notify the Board of the full details of an action taken to secure the payment of a past due balance under this section.

(c) This section does not apply to transactions between grocery wholesalers and their subsidiaries, affiliates, franchisees or wholesale customers to the extent the transactions occur in the normal course of the grocery wholesaler’s business and are only incidentally related to acquisition or retention of the fluid milk business of the subsidiary, affiliate, franchisee or wholesale customer.

History

Authority: The provisions of this Chapter 146 issued under section 307 of the Milk Marketing Law (31 P.S. § 700j-307), unless otherwise noted.
Source: The provisions of this Chapter 146 adopted June 6, 2008, effective September 5, 2008, 38 Pa.B. 2654, unless otherwise noted.

Chapter 147 Records and Reports

7 Pa. Code § 147.1 Sales invoice.

All wholesale sales of milk, dairy products, or other products shall be accompanied by a sales invoice which shall be retained by the buyer for a period of 3 months, and which shall contain the following information:

(1) Date of sale.

(2) Name and address of seller and buyer.

(3) Quantity of milk, dairy product, or other product delivered detailed as to size, type, any number of containers of each product, together with the unit price and total amount.

(4) The statement ‘‘By order of the Pennsylvania Milk Board, the buyer shall retain this invoice for a period of three months subsequent to the date shown on this invoice.’’

The provisions of this § 147.1 updated May 23, 2025, 55 Pa.B. 3565. Immediately preceding text appears at serial page (237863).

History

Authority: The provisions of this § 147.12 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).
Source: The provisions of this § 147.12 amended June 6, 2008, effective September 5, 2008, 38 Pa.B. 2654. Immediately preceding text appears at serial page (302012).

7 Pa. Code § 147.2 Retention of wholesale delivery slips.

Dealers shall retain for two years copies of delivery slips, or equivalent records, of all sales and deliveries to wholesale customers, whether such sales are cash, credit, route, or general office accounts. Such records shall clearly show the number of units and the total value of each item sold.

History

Authority: The provisions of this § 147.12 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).
Source: The provisions of this § 147.12 amended June 6, 2008, effective September 5, 2008, 38 Pa.B. 2654. Immediately preceding text appears at serial page (302012).

7 Pa. Code § 147.3 Driver’s daily load, return and settlement sheets.

(a) Section 701 of the act (31 P.S. § 700j-701) requires that dealers retain copies of daily load, return and settlement sheets for each driver for 2 years.

(b) The cash receipts of each driver shall be shown on his settlement sheet, and where combined or summarized into one entry and not supported by route books or other detailed records, the dealers shall support the cash receipts with a copy of the receipt left with each customer which shall be detailed as to date, name and address of customer, amount received and the purpose of payment.

History

Authority: The provisions of this § 147.12 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).
Source: The provisions of this § 147.12 amended June 6, 2008, effective September 5, 2008, 38 Pa.B. 2654. Immediately preceding text appears at serial page (302012).

7 Pa. Code § 147.4 Bill of lading.

(a) All sales of bulk milk between dealers or handlers, whether the transaction is intrastate or interstate, shall be accompanied by a bill of lading or a similar document, a copy of which shall be kept on file by the selling dealer and the hauler for a period of 2 years. The document shall contain the following information:

(1) Date of transaction.

(2) Pounds or gallons and test of milk included in shipment.

(3) Name and address of person or company performing the hauling.

(4) Milk Hauler’s Board license number assigned by Board.

(5) Name and address of buying dealer. (If buyer is not known, that fact shall be stated.)

(6) Ultimate destination of milk (delivery point).

(7) Point of origin and name of selling dealer.

(b) The provisions of this section are applicable to all sales of bulk tank milk diverted directly from the farms of producers to plants other than those operated by the selling dealer, with the exception of the test of the milk included in shipment.

(c) The point of origin of the diverted milk shall be shown on the bill of lading as ‘‘farm diverted milk.’’ The pounds or gallons included in shipment shall be the total of the farm pick-up slips.

History

Authority: The provisions of this § 147.12 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).
Source: The provisions of this § 147.12 amended June 6, 2008, effective September 5, 2008, 38 Pa.B. 2654. Immediately preceding text appears at serial page (302012).

7 Pa. Code § 147.5 Control accounts.

(a) Dealers shall maintain in their general ledgers, or equivalent books of record, separate control accounts covering the following items:

(1) Accounts receivable arising from sale of merchandise.

(2) Amounts due a dealer for loans, advances, notes and equipment.

(3) Payments made to customers for any purpose.

(b) Dealers shall maintain a subsidiary record for each customer or subdealer in support of the control accounts.

History

Authority: The provisions of this § 147.12 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).
Source: The provisions of this § 147.12 amended June 6, 2008, effective September 5, 2008, 38 Pa.B. 2654. Immediately preceding text appears at serial page (302012).

7 Pa. Code § 147.6 Cash received account.

(a) Except for isolated or incidental sales, whenever cash-receipts entries are combined or summarized into one entry in the cash receipts journal or other records and are not supported by the drivers’ daily load, return and settlement sheets, the detail of these entries showing the date, the name of the payor, and the amount received, shall be kept by the dealer in chronological order for 2 years as part of his records as support of the summary entries.

(b) Cash income derived from incidental sales of milk, milk products, and other products normally sold and distributed by dealers off routes or at the plant of the dealer, or any other type of incidental sale, shall be recorded in such a manner so as to clearly indicate the source of any income thus derived.

History

Authority: The provisions of this § 147.12 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).
Source: The provisions of this § 147.12 amended June 6, 2008, effective September 5, 2008, 38 Pa.B. 2654. Immediately preceding text appears at serial page (302012).

7 Pa. Code § 147.7 Cash disbursements account.

Cash payments and checks drawn by dealers to the order of cash or to any person, corporation or association shall be explained on the books and records of the dealer. Explanations shall include the purpose for which the expenditure was made and the name and address of the person ultimately receiving the proceeds, together with the amount and basis for arriving at the amount.

History

Authority: The provisions of this § 147.12 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).
Source: The provisions of this § 147.12 amended June 6, 2008, effective September 5, 2008, 38 Pa.B. 2654. Immediately preceding text appears at serial page (302012).

7 Pa. Code § 147.9 Equipment records.

Dealers engaged in selling or leasing equipment of any type to wholesale milk customers shall maintain in current condition the following records:

(1) Inventory of each item of such equipment detailing the complete financial and location history from date of acquisition. Records for equipment sold outright or on completed installment plans shall be retained and shall be available for audit with current records for a minimum of 5 years after sale or payment of the final installment.

(2) A current status record of payments by customers for rent or installments due. Records for customers shall also be retained and available for audit with current records for a minimum of 5 years after the date of the latest entry on such records.

The provisions of this § 147.9 issued under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).

The provisions of this § 147.9 amended June 3, 1977, 7 Pa.B. 1478. Immediately preceding text appears at serial page (1906).

This section cited in 7 Pa. Code § 146.4 (relating to sale of equipment).

History

Authority: The provisions of this § 147.12 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).
Source: The provisions of this § 147.12 amended June 6, 2008, effective September 5, 2008, 38 Pa.B. 2654. Immediately preceding text appears at serial page (302012).

7 Pa. Code § 147.10 Monthly reports.

(a) Licensees, including subdealers, milk haulers, and stores shall make and file verified reports with the Board of all matters on which records shall be required to be kept, together with other information and facts which may be pertinent and material under the act.

(b) Reports shall cover the period specified by the Board, and shall be filed on or before the date specified in the form.

This section cited in 7 Pa. Code § 150.13 (relating to time for payment of fees).

History

Authority: The provisions of this § 147.12 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).
Source: The provisions of this § 147.12 amended June 6, 2008, effective September 5, 2008, 38 Pa.B. 2654. Immediately preceding text appears at serial page (302012).

7 Pa. Code § 147.11 Annual financial statement.

(a) Year-end adjustments, auditor adjustments, or tax adjustments made after a milk dealer has submitted his annual financial statement to the Board shall be reported to the Board within 30 days after adjustments are made, in the form of an amended financial statement within 30 days after such adjustments are made.

(b) Any item on the annual financial statement in excess of $500 which is not derived from one general ledger account shall be supported by a worksheet or similar document showing the ledger account, name, and dollar amount for each account comprising the one item on the financial statement.

History

Authority: The provisions of this § 147.12 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).
Source: The provisions of this § 147.12 amended June 6, 2008, effective September 5, 2008, 38 Pa.B. 2654. Immediately preceding text appears at serial page (302012).

7 Pa. Code § 147.12 Contracts for sale or lease of refrigeration equipment.

Whenever a dealer or subdealer which is subject to § 146.1 (relating to applicability) sells or leases refrigeration equipment, milk or cream dispensers or similar facilities to a customer, the agreement of sale or lease shall be submitted to the Board on or before the date of installation of the equipment.

The provisions of this § 147.12 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).

The provisions of this § 147.12 amended June 6, 2008, effective September 5, 2008, 38 Pa.B. 2654. Immediately preceding text appears at serial page (302012).

History

Authority: The provisions of this § 147.12 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).
Source: The provisions of this § 147.12 amended June 6, 2008, effective September 5, 2008, 38 Pa.B. 2654. Immediately preceding text appears at serial page (302012).

7 Pa. Code § 147.13 Reports on transactions with wholesale customers other than sale of refrigeration equipment.

Before a dealer enters into any oral or written agreement or arrangement of any kind with a wholesale customer under which the dealer is to furnish, directly or indirectly, anything other than milk, cream, dairy products, eggs or other products customarily distributed by milk dealers he shall submit a statement in duplicate to the Board setting forth fully the terms or details of the contemplated arrangement together with any written agreement pertaining thereto and the name and address of the customer or customers involved.

History

Authority: The provisions of this § 147.12 amended under section 307 of the Milk Marketing Law (31 P.S. § 700j-307).
Source: The provisions of this § 147.12 amended June 6, 2008, effective September 5, 2008, 38 Pa.B. 2654. Immediately preceding text appears at serial page (302012).

Chapter 149 Uniform System of Accounts

7 Pa. Code § 149.1 Basic requirements.

Records. Milk dealers subject to license by the Board shall keep, within this Commonwealth, the following records:

(1) A record of the quantity of all milk received or produced, detailed as to location and as to names and addresses of producers or milk dealers from whom received, with butterfat test, weights, prices paid, and deductions or charges made.

(2) A record of the quantity of all milk sold, detailed as to grade, use, location, market outlet, and size and type of container, with prices and amounts received therefore, and the butterfat test thereof.

(3) A record of the quantities of all milk transported, shipped, or hauled; including the distances and the amounts paid for the movement of such milk, in all cases where the dealer pays on his own account or on the account of producers for the movement thereof.

(4) A record of the quantity of each milk product manufactured, the quantity of milk used in the manufacture of each product, and the quantity and value of milk products sold.

(5) The price or cost of containers used, by size and type.

(6) A record of wastage or loss of milk or butterfat.

(7) A record of the spread or handling expense and profit or loss, represented by the difference between the price paid and the price received for all milk and milk products.

(8) In addition to the accounts and records required to be kept by the Uniform System of Accounts, milk dealers subject to license by the Board shall calculate unit cost data as prescribed by and on forms provided by the Board.

The provisions of this § 149.1 amended March 25, 1983, effective March 26, 1983, 13 Pa.B. 1139. Immediately preceding text appears at serial page (41200).

History

Authority: The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).
Source: The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

7 Pa. Code § 149.2 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Accounts—The accounting titles prescribed in this chapter. Controlled items—The revenues and expenditures generated from the sale of fluid milk products on which the Board establishes a resale price. Noncontrolled items—The revenues and expenditures generated from the sale of both fluid milk and nonfluid milk products on which the Board does not establish a resale price. Affiliated and related companies—Companies, groups, or persons that directly or indirectly, through one or more intermediaries, control, are controlled by, or are under common control with the licensed milk dealer, including all subsidiaries, divisions, and branches. Licensed milk dealer—Any milk dealer duly licensed by the Board who receives, processes, or distributes fluid milk and fluid milk products. Books and records or books or records—Including all pertinent books, ledgers, journals, records, papers, memoranda, correspondence, vouchers, receipts, cancelled checks, accounts, exhibits, photographs, bills and other documents, including corporate minutes, Federal, State, and local tax returns, and any other records required to verify financial statements. Licensee—A licensed milk dealer or handler. Person—Including any individual, corporation, association, partnership, limited partnership, or other unincorporated enterprise, owned or conducted by or on behalf of two or more individuals or other persons. Costs—The amount of money actually incurred for property or services. Amortization—The gradual extinction of an amount in an account, by distributing such amount over a fixed period during the life of the asset or liability to which it applies or over the period during which it is anticipated that the benefit will be realized. Depreciation—The systematic write-off of costs over the estimated useful life of tangible assets applicable to the current accounting period. Cost center—The department, process or function used to gather direct or indirect costs related to that department, process or function. Tolling—The income and costs associated with performing one or all of the following services to raw milk for the account of another licensee; receiving, processing, packaging, containers and distributing the finished products.

History

Authority: The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).
Source: The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

7 Pa. Code § 149.3 Records.

(a) Each licensee shall keep its books of account and other books, records, and memoranda which support the entries in such books of account so as to be able to furnish readily full information as to any item included in any account. Each entry shall be supported by such detailed information as will permit ready identification, analysis, and verification of all facts relevant thereto.

(b) The books and records referred to in this chapter include not only accounting records but all other records, such as minute books, stock correspondence, and memoranda, which may be useful in developing the history of all facts regarding any transaction.

(d) In addition to the accounts prescribed, clearing accounts, temporary or experimental accounts, and subdivisions of any account may be kept, providing the integrity of the prescribed accounts is not impaired.

(e) All amounts included in the accounts prescribed in this chapter for licensees shall be just and reasonable, and any payments or accruals for or by the licensee in excess of just and reasonable charges shall be included in other expenses.

History

Authority: The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).
Source: The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

7 Pa. Code § 149.4 Accounting period.

(a) Each licensee shall post its books on a monthly basis so that, for each month, all basic transactions applicable thereto as nearly as may be ascertained shall be recorded chronologically in the books. This requirement does not include adjustments for inventories, accruals or deferrals, or allocations of service centers to productive centers.

(b) Each licensee shall close its books at the end of each calendar year. However, with prior written approval of the Board, a licensee may operate on a fiscal year basis.

History

Authority: The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).
Source: The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

7 Pa. Code § 149.5 Accounting to be on accrual basis.

(a) Each licensee is required to keep its accounts on the accrual basis. Accruals shall consist of expenses which have been incurred and reflected on the accounting records but have not been paid and of income which has been paid and of income which has been earned and reflected on the accounting records but has not yet been received.

(b) When payments are made in advance for items such as insurance, rents, taxes, interests, the amount applicable to future periods shall be charged to the appropriate prepayment account and spread over the periods to which applicable.

History

Authority: The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).
Source: The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

7 Pa. Code § 149.6 Records for each plant operated.

If a licensee operates more than one processing plant, separate accounting records shall be maintained for each plant.

History

Authority: The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).
Source: The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

7 Pa. Code § 149.7 Transactions with subsidiaries, associated, affiliated and parent companies.

Each licensee shall keep its accounts and records so as to be able to furnish, accurately and expeditously, statements of all transactions with subsidiaries, associated, affiliated, and parent companies.

History

Authority: The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).
Source: The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

7 Pa. Code § 149.8 Distribution of certain expense classifications.

Underlying or supporting accounting data shall be maintained so that distribution of expense items such as payroll, Social Security Taxes, Workmen’s Compensation Insurance, and depreciation, may be charged to the various cost center accounts.

History

Authority: The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).
Source: The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

7 Pa. Code § 149.9 Submittal of questions.

To maintain uniformity of accounting, licensees shall submit questions of doubtful interpretation to the Board for consideration and decision.

History

Authority: The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).
Source: The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

7 Pa. Code § 149.21 Sales to affiliated and related organizations.

All sales to affiliated or related organizations shall be recorded as controlled or non-controlled, whether or not the Board controls the resale prices. Prices recorded for sales to such organizations shall be commensurate to those charged to independent organizations for similarly delivered products in similar quantities.

History

Authority: The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).
Source: The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

7 Pa. Code § 149.22 Returns, allowances, and discounts.

Sales, as used throughout this chapter, are gross sales, and they are thus recorded in the appropriate account classification. Discounts on sales are to be shown as separate items and thus recorded in the appropriate accounts. ‘‘Returns’’ refer to products which have no further use and which are returned for credit and ultimate discard. Invoices and statements shall always indicate gross sales prices and discounts. Invoices shall not be prepared or recorded as ‘‘net of discount.’’

History

Authority: The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).
Source: The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

7 Pa. Code § 149.23 Separating costs into controlled and noncontrolled.

Although it is agreed that both the Board and, in some areas, the Federal government ‘‘control’’ the cost of raw products purchased from producers, the division of costs into controlled and noncontrolled for financial reporting is dependent only on whether or not the Board establishes a price for the sale of the packaged item. Costs must be classified as controlled or noncontrolled to parallel the classification of the related sales. For example: Sales of packaged fluid milk products delivered to an out-of-State customer are noncontrolled because the Board does not establish the sales prices. Even though the product delivered in the was purchased as raw product from a producer in this Commonwealth at a price established by the Board, the cost of sales for these items is non-controlled, as are the containers in which they are packaged. All plant and delivery expenses must also be noncontrolled so the ‘‘points’’ or ‘‘dollars’’ related to the sale must be recorded as noncontrolled in worksheets used for computing allocation percentages. An in-State sale to an agency of the Federal government on ceded land is also noncontrolled, so all costs associated with it must be recorded as noncontrolled.

History

Authority: The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).
Source: The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

7 Pa. Code § 149.24 Separating expenditures for raw product into controlled and noncontrolled accounts.

(a) From the milk dealer’s monthly report, the product and butterfat pounds sold or utilized shall be determined for each producer payment category, as follows:

(1) Controlled, Class I

(2) Controlled, Class II

(3) Noncontrolled, Class I

(4) Noncontrolled, Class II

(5) Noncontrolled, Class III

(6) Noncontrolled, Class IV

(b) The value of each category, using the applicable Federal or State prices adjusted for zone and butterfat differentials, shall be determined.

(d) The difference between the total dollars accounted for in subsection (c) and the total paid for the milk, including payments to settlement and assessment funds shall be determined. This difference shall consist of market administration fees, shrinkage, plant loss and premiums.

(e) The dollar difference specified in subsection (d) shall be divided between controlled and noncontrolled, in the same proportion as the controlled and noncontrolled pounds totalled in subsection (c).

(f) Add or subtract the differences separated in subsection (e) to the two dollar figures computed in subsection (c). The total of the controlled and noncontrolled dollar figures shall then equal the total payment for milk for the month.

(g) If bulk product is purchased from other sources in addition to producers, the payments to both shall be totalled and divided between controlled and noncontrolled, using the steps set forth in subsections (a)—(f). The amounts of the total controlled and total noncontrolled shall then be divided between purchases and purchases from others, in the same proportion as the totals paid to producers and to others. The resultant four figures shall next be charged to the four accounts specified in § 149.42(c)(2)—(4) (relating to income and cost of sales accounts), with a credit to “Total Purchases of Milk,” specified in § 149.42(c)(1).

(h) At the end of an accounting period, either calendar or as specified by the Board for cross-section purposes, the summarization of the monthly total figures may not equal the figure from the adjusted trial balance because of period beginning and ending inventory or other adjustments. This difference, plus or minus, shall be divided between controlled and noncontrolled in the same proportion as the total controlled and noncontrolled pounds sold in the entire period.

(i) A dealer operating a partially Federally regulated plant paying marketing administration fees and payments to settlement funds for fluid milk products delivered to a Federal order area should assign all such payments to controlled cost of sales except for deliveries to locations on which the Board does not establish prices, such as out-of-State locations and Federally owned land.

(j) If a dealer that produces both fluid and manufactured products purchases items, such as cream and powder that can be readily identified as raw product for the manufactured items, the cost of these items may be excluded from the computations specified in subsections (a)—(h) and assigned directly to noncontrolled cost of sales accounts.

The provisions of this § 149.24 amended under sections 608 and 704 of the Milk Marketing Law (31 P.S. § § 700j-608 and 700j-704); and section 5 of the Milk Producers’ and Cooperative Security Funds Act (31 P.S. § 625.5).

The provisions of this § 149.24 amended September 24, 1999, effective September 25, 1999, 29 Pa.B. 4952. Immediately preceding text appears at serial pages (237872) to (237873).

History

Authority: The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).
Source: The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

7 Pa. Code § 149.25 Hauling by affiliated or related organizations.

Such hauling organizations, regardless of organization or name, will be considered a part of the sponsoring dealer. Expenses shall be included in the receiving cost center while revenue shall be included in the hauling reimbursement account.

The provisions of this § 149.25 amended March 25, 1983, effective March 26, 1983, 13 Pa.B. 1139. Immediately preceding text appears at serial page (41205).

History

Authority: The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).
Source: The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

7 Pa. Code § 149.26 Distribution of costs.

(a) Natural expense accounts shall be allocated directly, wherever possible, to the appropriate cost center, except for ‘‘Executive Salaries,’’ which shall be allocated only to the ‘‘Administrative’’ center.

(b) Distribution of costs accumulated in the service centers shall be allocated in the following order:

1st—Administrative

2nd—General Plant

3rd—Warehouse

4th—Power Plant

5th—Transportation

6th—Garage

(c) Distribution of the costs accumulated in the service cost centers shall be allocated to the appropriate productive cost centers.

(d) Final distribution shall be allocated between controlled and noncontrolled products.

The provisions of this § 149.26 amended March 25, 1983, effective March 26, 1983, 13 Pa.B. 1139. Immediately preceding text appears at serial page (41206).

History

Authority: The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).
Source: The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

7 Pa. Code § 149.27 Purchase discounts.

Purchase discounts shall reduce the cost of an asset or expense.

History

Authority: The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).
Source: The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

7 Pa. Code § 149.28 Point values.

(a) Point value for allocation of plant cost centers shall be as follows:

(b) All other items shall include nonprocessed fruit drinks, purchased for resale in unchanged form and package.

The provisions of this § 149.28 amended March 25, 1983, effective March 26, 1983, 13 Pa.B. 1139. Immediately preceding text appears at serial page (41206).

History

Authority: The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).
Source: The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

7 Pa. Code § 149.29 Deliveries of ‘‘Dock Pick-Up’’ sales by affiliated or related organizations.

Affiliated or related delivery organizations, with or without a milk hauling or P.U.C. license, will be considered a part of the sponsoring dealer. Expenses shall be included in the applicable delivery cost centers, while income shall be credited against the expenses of the applicable delivery centers.

History

Authority: The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).
Source: The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

7 Pa. Code § 149.30 Bad debts.

A reserve for bad debts account must be established and maintained. In order to maintain uniformity, the bad debts reserve at month’s end cannot exceed the average percentage that the actual bad debts for the preceding moving average 5-year period relates to the average actual sales for the same period. The following example sets forth the method of determining the allowable reserve for bad debts at the end of the reporting year using the preceding 5-year experience:

Example:

If current year’s sales to customers are $100,000, reserve balance at end of year cannot exceed $1,000.

History

Authority: The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).
Source: The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

7 Pa. Code § 149.31 Depreciation.

(a) Depreciation on each capital asset shall be computed on a straight line basis. Accordingly, it is necessary to establish a schedule setting forth the useful lives of each capital asset. The following table presents the lives that shall be used:

(b) Depreciation of assets formerly owned and fully depreciated by another Commonwealth milk dealer shall be recorded as ‘‘Other Non-Dairy Operations Expense,’’ paragraph 2(k), Chapter VIII. Depreciation of assets par- tially depreciated by a previous owner shall be charged to the appropriate operating expense account in an amount not exceeding the remaining value on the books of the original owner at the time of sale or transfer.

History

Authority: The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).
Source: The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

7 Pa. Code § 149.32 Crediting ‘‘other income’’ against expenses.

Since miscellaneous ‘‘other income’’ items are usually the result of expenses incurred, they shall be considered as credits against expenses in the most appropriate cost center. For example: Consulting income or income from clerical or computer service rendered an affiliated or other organization shall be credited against administrative expense.

History

Authority: The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).
Source: The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

7 Pa. Code § 149.33 Adjusting and closing the books.

(a) At the close of each annual accounting period, adjustments for accruals, deferrals, and so on shall be recorded on worksheets and the books in accordance with standard accounting practice. The supporting documents and calculations for these adjustments shall be retained for use by the auditors.

(b) There is no requirement to close service centers into productive centers ‘‘on the books.’’ However, they shall be allocated on the annual ‘‘Milk Dealers’ Financial Statements’’ in accordance with the instructions and schedules included in the blank forms. No service centers shall be reported individually on the annual ‘‘Statement of Operations.’’

(c) In the event the Board requests a partial year ‘‘Statement of Operations’’ from selected licensees for price-hearing purposes, partial-year adjusting entries for accruals, deferrals, and so on may be accomplished on work sheets which shall be retained for use by the auditors.

History

Authority: The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).
Source: The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

7 Pa. Code § 149.41 Balance sheet accounts.

(a) Current assets. Current assets shall conform with the following:

(1) Cash undeposited. This account shall be a clearing account for all cash received in the ordinary course of business and not yet deposited in the bank.

(2) Cash in bank. This account shall include the total of all cash deposited. If more than one bank account is maintained, this account may be sub-accounted.

(3) Petty cash account. This shall be an account set aside for use to pay small purchases that cannot conveniently be paid by check and as a change or cashier fund.

(4) Notes receivable. This account shall include the total of the unpaid balances of all notes due on demand or within 1 year from the date of issue.

(5) Accounts receivable. This account shall include amounts due from customers for sales of products, equipment and other accounts receivable arising from the normal course of business and currently collectible.

(6) Allowance for doubtful accounts. This account shall include all amounts written off or reserved for debts determined as uncollectible at month end.

(7) Inventory: raw milk. This account shall include the inventory of all raw milk.

(8) Inventories: controlled milk products. This account shall include all milk and cream products inventory on which the Board establishes a resale price.

(9) Inventories: non-controlled milk products. This account shall include the inventory of milk and cream products which are not subject to the resale pricing regulations of the Board.

(10) Inventory: non-milk items. This account shall include the inventory of all non-milk items.

(11) Inventories: product ingredients. This account shall include the inventory of any ingredients and materials which are added to the basic product to produce the finished product.

(12) Container inventory—controlled. This account shall include all inventory items of paper, glass bottles, plastic bottles, cartons, caps, closures, and so on, for milk and cream products on which the Board establishes a resale price for all products handled.

(13) Container inventory: noncontrolled. This account shall include all inventory items of paper, glass bottles, plastic bottles, cartons, caps, closures, and so on, for milk and cream products handled which are not subject to the pricing regulations of the Board.

(14) Other inventory items. This account shall include all inventory items which were not specified in other accounts.

(15) Prepaid expense. This account shall include amounts representing prepaid items or portions thereof normally written off during the next year, such as, prepaid insurance, taxes, licenses, advertising, interest, workmen’s compensation, group insurance, royalties and rent.

(16) Short term investments. This account shall include investments readily available for conversion into cash which are intended by management to be held for less than 1 year.

(17) Other current assets. This account shall include all other current and accrued assets appropriately designated and supported so as to show the nature of each asset included.

(b) Investments. Investments shall conform with the following:

(1) Cash surrender value—life insurance. This account shall include the net cash surrender value of all life insurance policies of which the licensee is owner and beneficiary.

(2) Investment in subsidiaries. This account shall include any noncurrent advances to subsidiaries and affiliated companies.

(3) Advances to subsidiaries. This account shall include current advances to subsidiaries and affiliated companies.

(4) Investment in real estate. This account shall include the total investment in real estate other than land and buildings actually used in the operation of the licensee.

(5) Other investments. This account shall include any other investments that would be normally included under any other specified investment accounts.

(1) Land. This account shall include the cost of land for use in the operation of the licensee.

(2) Buildings. This account shall include the cost of buildings purchased or constructed for use in the business of the licensee, including the cost of improvements, alterations, additions, and permanent fixtures attached to the buildings and the amount of legal fees, architecture fees, excavating and grading costs, and so on.

(3) Allowance for depreciation—buildings. This account shall include all reserve accounts for depreciation on buildings.

(4) Machinery and equipment. This account shall include all assets, such as plant machines, and machine tools, store equipment, ice cream cabinets, and milk vending equipment.

(5) Allowance for depreciation—machinery and equipment. This account shall include all reserve accounts for depreciation on machinery and equipment.

(6) Transportation equipment. This account shall include the book cost of all motor vehicles, trailers, tanks, and so on used for the transportation of milk and milk products in the business.

(7) Allowance for depreciation—transportation equipment. This account shall include all reserved depreciation accounts on transportation equipment.

(8) Furniture and fixtures. This account shall include the book cost of such items as desks, chairs, tables, carpets, showcases, window fixtures, and general office items, of a fixed or permanent nature.

(9) Allowance for depreciation—furniture and fixtures. This account shall include all reserved depreciation accounts for furniture and fixtures.

(10) Reuseable containers. This account shall include the book cost of such items as glass and plastic returnable bottles, cases, and pallets.

(11) Allowance for depreciation—reuseable containers. This account shall include all reserved depreciation accounts for reuseable containers.

(d) Deferred charges. Deferred charges shall conform with the following:

(1) Unamortized debt discount and expense. This account shall include the total of the debit balances of those accounts having debit balances and the total of the discount, expense, and premiums accounts for all classes of long term debt.

(2) Miscellaneous deferred charges. This account shall include all debits not elsewhere provided for the proper final disposition of which is uncertain and shall include unusual or extraordinary expenses not included in other accounts which are in process of amortization.

(e) Current liabilities. Current liabilities shall conform with the following:

(1) Notes payable. This account shall include all notes payable to trade creditors, banks, officers, stockholders, employes, and creditors for equipment purchases. Notes payable that mature within the ensuing 12-month period are to be included under this heading. Liabilities for all notes payable that mature beyond the ensuing 12-month period are to be classified as long-term debts, less any portions currently payable, which are to be shown as current portions of long-term debts.

(2) Accounts payable—milk patrons. This account shall include all obligations due milk producers or any other supplier of raw milk.

(3) Accounts payable—trade. This account shall include all obligations to trade creditors except accounts payable to milk patrons for purchases of goods and services, which are normally paid on a regular basis.

(4) Accrued salaries and wages. This account shall include all amounts earned by dealer executives and employes, including drivers’ commissions, but not paid to date.

(5) Accrued F.I.C.A. taxes. This account shall include the liability account of all F.I.C.A. taxes withheld from employes.

(6) Accrued unemployment taxes. This account shall include the liability account of all unemployment taxes accrued.

(7) Accrued interest. This account shall include the accrued interest owned by the licensee for normal business operations.

(8) Accrued State income tax. This account shall include the accrued State income taxes withheld from employes.

(9) Accrued Federal income tax. This account shall include accrued Federal income taxes withheld from employes.

(10) Other current and accrued liabilities. This account shall include other liabilities not specified in this subsection, such as cash dividends properly declared by the board of directors and charged to retained earnings but not paid. Dividends payable in the form of stock are to be recorded under the capital section as retained earnings in process of transfer of capital stock.

(f) Long-term debt. Long-term debts shall conform with the following:

(1) Mortgage payable. This account shall include any liabilities arising from mortgage notes which are not presently classified as current.

(2) Notes payable. This account shall include the amounts due bank and finance companies on notes payable, either secured by collateral or unsecured, which are due and payable beyond one year.

(3) Other long-term debt. This account shall include all liabilities that are not presently classified as current.

(g) Deferred credits. Deferred credits shall conform with the following:

(1) Unamortized premium on debt. This account shall include the total of the credit balances and the discount expense and premium accounts for all classes of long-term debts.

(2) Other deferred credits. This account shall include billings and receipts and other deferred credit items not provided for elsewhere, including amounts which cannot be entirely cleared or disposed of until additional information has been received.

(h) Corporation equity. Corporation equity shall conform with the following:

(1) Preferred stock. This account shall include the outstanding preferred stock as reflected in the appropriate stock certificate book.

(2) Common stock. This account shall include the amount of the outstanding common stock as reflected in the appropiate stock certificate book.

(3) Treasury stock. This account shall include the total value of any preferred or common stock which has been reacquired by the corporation.

(4) Paid-in capital. This account shall include the total amount received over and above the par value of preferred and common stock issued.

(5) Retained earnings. This account shall reflect the amount of net earnings accumulated in prior years and retained in the business.

(6) Profit-loss. This account shall reflect the net earnings or loss for the current year after provision for income taxes.

(j) Proprietorship or partnership equity. Proprietorship or partnership equity shall conform with the following:

(1) Capital accounts—proprietor or partners. This account shall represent the total investment in the business, including the net earnings of prior years retained in the business.

(2) Drawing account—proprietor or partners. This account shall represent the amount of withdrawals, cash or merchandise, or both, and credit for that portion of salaries not taken.

(3) Adjustments. This account shall reflect all adjustments of a capital nature, such as adjustments in proprietorship or partnership investment accounts.

(4) Profit-loss. This account shall reflect the net earnings or loss for the current year after provision for income taxes.

History

Authority: The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).
Source: The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

7 Pa. Code § 149.42 Income and cost of sales accounts.

(a) Sales. Sale shall conform with the following:

(1) {Reserved}.

(2) {Reserved}.

(3) {Reserved}.

(4) {Reserved}.

(5) Noncontrolled sales of bulk milk and cream and condensed and powder—Includes the total dollar value of sales of bulk milk and cream, skim condensed, whole condensed and powder.

(i) Sales of bulk milk.

(ii) Sales of bulk cream.

(iii) Sales of condensed and other.

(6) Products delivered by ice cream equipment—Includes the total dollar value of sales of all products delivered by ice cream equipment.

(7) Nonregulated sales of packaged fluid milk and cream products—Includes the total dollar value of sales of all fluid milk and cream products sold out-of-State and to Federal installations.

(8) {Reserved}.

(9) Processing services income—Includes the gross income derived from performing one or several services to raw product of another licensee.

(10) Subdealers—controlled—Includes the total dollar value of sales of all products on which the Board establishes prices to subdealers.

(11) Subdealers—noncontrolled—Includes the total value of sales of all products to subdealers other than those products on which the Board establishes prices.

(12) Other dealers—controlled—Includes the total dollar value of sales of all products on which the Board establishes prices to other dealers.

(13) Other dealers—noncontrolled—Includes the total dollar value of sales of all products to other dealers other than those products on which the Board establishes prices.

(14) Milk and cream controlled—Includes the total dollar value of sales of all products on which the Board establishes prices.

(15) Noncontrolled products—Includes the total dollar value of sales of all products other than those products on which the Board establishes prices.

(b) Returns, allowances and discounts. Returns, allowances and discounts shall conform with the following:

(1) {Reserved}.

(2) {Reserved}.

(3) {Reserved}.

(4) {Reserved}.

(5) {Reserved}.

(6) {Reserved}.

(7) Limited service discount, controlled, wholesale—Includes the total discounts given for limited service delivery of controlled products.

(8) Limited service discount, noncontrolled, wholesale—Includes the total discounts given for limited service delivery of noncontrolled products.

(9) Full service discount, controlled, wholesale—Includes the total discounts given for full service delivery of controlled products.

(10) Full service discount, noncontrolled, wholesale—Includes the total discounts given for full service delivery of noncontrolled products.

(11) Dock pick-up discount, controlled, wholesale—Includes the total discounts given for dock pick-up by customers of controlled products.

(12) Dock pick-up discount, noncontrolled, wholesale—Includes the total discounts given for dock pick-up by customers of noncontrolled products.

(13) Discounts—ice cream equipment—Includes the total discounts given for products delivered by ice cream equipment.

(14) Returns, controlled—Includes the total credit given for return of controlled products.

(15) Returns, noncontrolled—Includes the total credit given for return of noncontrolled products.

(16) Discounts, controlled—Includes total discounts given for controlled products.

(17) Discounts, noncontrolled—Includes total discounts given for noncontrolled products.

(1) Total purchases of milk—This account is a temporary account into which all charges for raw products from all sources for a month are accumulated, including payments to settlement funds and market administrator fees. At the close of each month, after the amounts of controlled and noncontrolled have been determined separately for purchases from producers and from others, this account shall be closed by transferring all charges to any of the accounts listed in paragraphs (2)—(7).

(2) Purchases from producers, controlled—Includes the total dollar value of purchases from producers of milk utilized in controlled items.

(3) Purchases from producers, noncontrolled—Includes the total dollar value of purchases from producers of milk utilized in noncontrolled items.

(4) Purchases from others, controlled—Includes the total dollar value of purchases from others of bulk milk utilized in controlled items.

(5) Purchases from others, noncontrolled—Includes the total dollar value of purchases from others of bulk milk utilized in noncontrolled items.

(6) Purchases of condensed, powder, and so on, controlled—Includes the total dollar value of purchases utilized in controlled items.

(7) Purchases of condensed, powder, and so on, noncontrolled—Includes the total dollar value of purchases utilized in noncontrolled items.

(8) Total purchases of packaged fluid milk products—This account is a temporary account which shall be closed at the end of each month into the two accounts listed in paragraphs (9) and (10).

(9) Purchases of packaged fluid milk products, controlled—Includes the total dollar value of purchases utilized in controlled items.

(10) Purchases of packaged fluid milk products, noncontrolled—Includes noncontrolled—Includes the total dollar value of purchases utilized in noncontrolled items.

(11) Purchases of other dairy products, noncontrolled—Includes the total dollar value of purchases of other noncontrolled dairy products.

(12) Purchases of other products, noncontrolled—Includes the total dollar value of purchases of other noncontrolled products.

(13) Total purchases of ingredients—This account is a temporary account which shall be closed at the end of each month into the two accounts listed in paragraphs (14) and (15).

(14) Ingredients, controlled—Includes the total value of purchases utilized in controlled items.

(15) Ingredients, noncontrolled—Includes the total value of purchases utilized in noncontrolled items.

(16) Total purchases of containers—This account is a temporary account which shall be closed at the end of each month into the two accounts listed in paragraphs (17) and (18).

(17) Containers, controlled—Includes the total value of purchases utilized in controlled items.

(18) Containers, noncontrolled—Includes the total value of purchases utilized in noncontrolled items.

(19) {Reserved}.

(20) {Reserved}.

(21) {Reserved}.

(22) {Reserved}.

(23) {Reserved}.

(24) {Reserved}.

The provisions of this § 149.42 amended March 25, 1983, effective March 26, 1983, 13 Pa.B. 1139. Immediately preceding text appears at serial pages (41213) to (41216).

This section cited in 7 Pa. Code § 149.24 (relating to separating expenditures for raw product into controlled and noncontrolled amounts).

History

Authority: The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).
Source: The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

7 Pa. Code § 149.43 Cost centers and operating accounts.

(a) Cost centers shall be as follows:

(1) Receiving, laboratory, and field work.

(2) Standardization and pasteurization. Productive cost center, which includes accountable costs associated with standardizing, pasteurizing and homogenizing milk.

(3) Bottling. Productive cost center, which includes accountable costs associated with the bottling and packaging of fluid milk and cream items.

(4) Manufacturing other than ice cream. Productive cost center, which includes all accountable costs associated with the manufacture of sour cream, cottage cheese, dips, and so on.

(5) Ice cream manufacturing. Productive cost center, which includes accountable costs associated with the manufacture of ice cream and other frozen products.

(6) Ice cream hardening room. Productive cost center, which includes accountable costs associated with operating the ice cream and frozen products hardening room.

(7) Cold room, shipping and loading. Productive cost center, which includes accountable costs associated with storing finished fluid milk products and other perishable products handled by the licensee, including shipping and loading and unloading of transportation units.

(8) Delivery. Productive cost center, which includes accountable costs associated with the delivery of milk, cream and other products (excluding ice cream and other frozen products) on routes.

(9) Delivery, ice cream. Productive cost center, which includes accountable costs associated with the delivery of ice cream and other frozen products to customers.

(10) Selling. Productive cost center, which includes accountable costs associated with selling of the products handled, and shall be separated into the following categories:

(i) Ice cream, which includes ice cream and other frozen products.

(ii) Packaged milk and cream, which includes packaged fluid milk, cream, sour cream and any other products for which the Board sets minimum prices (whether the transaction is controlled or noncontrolled).

(iii) Other products, which include items such as drinks, juices, ice cream mix, dips, bulk sales of fluid milk and cream, and any other items not included in subparagraph (i) or (ii).

(11) Administrative. Productive cost center, which includes the total accountable costs associated with administering the overall business of the licensee.

(12) Garage. Service cost center from which all expenditures shall be distributed to the productive and service cost centers in proportion to the benefit that the garage renders to other cost centers.

(13) Transportation. Service cost center which includes accountable costs associated with transporting milk of the licensee from the plant where processed to the distribution point or center of licensee. Costs accumulated in this center shall be distributed to the respective productive cost centers in proportion to the benefit that this cost center renders to the productive cost centers.

(14) Power plant and refrigeration. Service cost center from which expenditures shall be distributed to the productive and service cost centers in proportion to the benefit that the power plant and refrigeration renders to other cost centers.

(15) Warehouse. Service cost center from which all warehouse expenditures shall be distributed to the productive and service cost centers in proportion to the benefit that the warehouse renders to other cost centers.

(16) General plant maintenance. Service cost center from which all general plant maintenance expenditures shall be distributed to the productive and service cost centers in proportion to the benefit that the general plant maintenance renders to other cost centers.

(17) Blow-molder. Productive cost center which includes accountable costs associated with the production of blow-mold plastic containers.

(b) Operating ledger accounts for the operations of the licensed dealer shall be as follows:

(1) Executive salaries. Includes salaries, wages, and other forms of compensation assigned to corporate officers, such as president, vice president, secretary and treasurer, partners and single proprietors, but excludes any fringe benefits.

(2) Other salaries and wages. Includes all other salaries and wages paid.

(3) Payroll taxes. Includes F.I.C.A. tax, Pennsylvania unemployment compensation tax and Federal unemployment compensation tax.

(4) Workers’ compensation insurance. Includes the premiums paid and costs incurred for workers’ compensation coverage.

(5) Employee health and welfare. Includes group life insurance premiums, health and accident insurance premiums, and medical insurance premiums paid by the employer for the benefit of employees. If the premiums are divided between the employer and the employee, only that portion paid by the employer should be included in this account.

(6) Employee pension plan. Includes contributions made to pension plans by the employer for the benefit of the employees. If the contributions are divided between the employer and the employee, only that portion paid by the employer should be included in this account.

(7) Employee uniforms. Includes cost of uniforms paid by the employer for the benefit of the employees. If the cost is divided between the employer and the employee, only that portion paid by the employer should be included in this account.

(8) Employee relations. Includes expenditures made by the employer for personnel relations.

(9) Repair and maintenance, machinery and equipment. Includes materials and purchased services for general repairs and maintenance of plant machinery and equipment, furniture and fixtures.

(10) Repair and maintenance, buildings. Includes materials and purchased services for general repairs and maintenance of buildings.

(11) Supplies and equipment, office. Includes the cost of computer hardware and software, printers, copiers, stationary, paper, envelopes, pencils, pens, typewriter ribbons, copy paper and other supplies of this nature.

(12) Operating and cleaning supplies. Includes manufacturing and cleaning supplies and materials used in the processing and manufacturing centers.

(13) Depreciation, machinery and equipment. Includes depreciation on plant machinery and equipment, and office equipment.

(14) Depreciation, buildings. Includes depreciation on buildings used for processing, manufacturing, garage, warehouse and branch buildings.

(15) Depreciation, milk cases and pallets. Includes depreciation on milk cases and pallets used for all products handled by the licensee.

(16) Light, power, water and sewage. Includes costs incurred for operating office and plant, electricity, water, power, gas and sewage.

(17) Fire and other insurance. Includes premiums paid for fire insurance coverage on buildings and contents, trucks, trailers and automobiles, and premiums paid for theft insurance coverage, public liability coverage and product liability coverage.

(18) Real estate taxes. Includes real estate taxes paid to cities, counties, boroughs and townships.

(19) Taxes other than income and real estate. Includes all other taxes paid except F.I.C.A., Pennsylvania unemployment tax, and State and Federal income taxes.

(20) State sales and use tax. Includes sales and use tax paid on all expense type items. Sales and use tax paid on capitalized items shall be included in the asset amount capitalized.

(21) Rent—land and buildings. Includes rental payments for land, office buildings, plant, warehouse space and so on, provided the lessor/lessee relationship is between two completely independent parties.

(22) Gasoline, oil and grease. Includes expenditures for gasoline, oil, and grease for plant and transportation equipment.

(23) Licenses and permits. Includes the cost of licenses and permits required by the Commonwealth and by any cities, counties, boroughs and townships for the operation of the business.

(24) Advertising. Includes expenditures for local, regional and National advertising and promotions, including newspapers, magazines, pamphlets, circulars and calendars, radio and television, signs and displays, and product sampling.

(25) Travel and entertainment. Includes traveling and subsistence expenses of salesmen, officers and any other employee on company business; also includes entertainment expenses normally incurred in business travel under this item.

(26) Telephone and Internet. Includes telephone, postage and Internet charges.

(27) Subscriptions. Includes expenses for periodic professional publications.

(28) Rent—equipment. Includes cost of renting, leasing, and using any office, plant or transportation equipment; includes royalties paid on equipment.

(29) Professional services. Includes all legal, accounting, auditing and similar expenses.

(30) Tires and tubes, new and repairing. Includes all expenditures for tires, tubes, recaps, and repairs to tires and tubes.

(31) Commissions and wages. Includes commissions and wages paid to route drivers, route runners and supervisors.

(32) Repair and maintenance, delivery equipment. Includes materials and purchased services for general repairs and maintenance of delivery trucks.

(33) Depreciation, delivery equipment. Includes depreciation on delivery vehicles.

(34) Bad debts. Includes amount charged as expense resulting from uncollectible sales.

(35) Contract hauling and delivery expense. This account is set up to capture all contracted bulk milk and cream hauling costs and finished product delivery costs.

(36) Hauling reimbursement. This account is set up to capture all reimbursements received by the dealer to cover hauling costs.

(37) Heating fuel. Costs incurred for heating fuel such as natural gas and fuel oil.

(38) Cases expense. Costs incurred for shipping cases and pallets.

(39) Home office expense. Organizational overhead which can be allocated to the licensed dealer.

(40) Garage income. Income received by the organization for services performed in its garage facilities.

(41) Back hauling income (delivery cost center only). Income received for back hauling shall be separated into the following categories:

(i) Back hauling after deliveries of ice cream and frozen dessert products.

(ii) Back hauling after deliveries of other products.

(42) Market Administrator fees (receiving, laboratory, and field work cost center only). Fees paid to the United States Department of Agriculture Market Administrator excluding producer-settlement fund payments.

(43) Plant closing costs. Expenses incurred by the closing of a processing plant, if the closing directly impacts the product volume of a licensed dealer, and the dealer is an affiliated or related company or the same company that closed the plant.

(44) Turnpike and other tolls. Costs incurred for the Pennsylvania Turnpike and other tolls.

(45) Employee reimbursement. Costs incurred for reimbursing employees for use of their personal vehicles or other property.

(46) Rental income. Income received for the rental or other use of any of the property for which costs are reported, which is not reported in any other income category.

(47) Interest expense. Costs incurred for interest on loans related to the dealer’s operations.

(48) Miscellaneous. Accountable costs incurred for the dealers’ operations that are not captured in any other account. The dealer should provide an explanation of any miscellaneous costs.

(c) All allocations and reports must be in accordance with generally accepted accounting principles. Dealers that are not in the reporting cross-section shall submit a less detailed report.

(d) The annual reporting deadline is May 1 for dealers that are included in the reporting cross-section and June 15 for all other dealers.

The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).

The provisions of this § 149.43 amended March 25, 1983, effective March 26, 1983, 13 Pa.B. 1139; amended March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416. Immediately preceding text appears at serial pages (237883) to (237888).

This section cited in 7 Pa. Code § 149.46 (relating to cooperative cost centers).

History

Authority: The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).
Source: The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

7 Pa. Code § 149.44 Other income and expense accounts (nonoperating).

(a) Other income. Other income accounts shall conform with the following:

(1) Gain on sale of equipment—Includes gain realized upon disposition of a fixed asset.

(2) Sale of farm supplies—Includes income from sale of farm supplies.

(3) Interest received—Income derived from interest received.

(4) Rental of equipment income—Includes income received from leasing refrigerator and other equipment to customers.

(5) Other rents—Includes income from leasing other property.

(b) Other expenses. Other expenses shall conform with the following:

(1) Loss on sale of equipment—Includes losses sustained upon disposition of a fixed asset.

(2) Cost of farm supplies—Includes cost of farm supplies sold.

(3) Interest expense—Includes interest expenses incurred on any type of loan and interest paid as a result of Federal or State income tax assessments and so forth.

(4) Repairs and maintenance, rental equipment—Includes materials and purchased services for general repairs and maintenance of equipment leased to customers.

(5) Depreciation, rental equipment—Includes depreciation on equipment leased to customers.

(6) Bad debts, rental equipment—Includes the amount charged as expense resulting from uncollectibles from equipment leased to customers.

(7) Expenses associated with other rents—Includes expenses resulting from leasing other property.

(8) Nondairy travel and entertainment—Includes travel and entertainment expense for other than dairy operations.

(9) Contributions—Includes all contributions made to any organization for any purpose. No contributions can be charged as an operating expense.

(10) Nondairy dues and subscriptions—Includes all dues to organizations with other than a strictly business purpose or to organizations which act to influence prices and all subscriptions to other than industry publications.

(11) Other nondairy operations expense—Includes all other nondairy operations expense.

(12) Nonrecurring expenses—Includes all expenses of an intermittent nature.

History

Authority: The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).
Source: The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

7 Pa. Code § 149.45 Supporting documents for annual financial statements.

(a) Each month, sales summaries shall be prepared which shall include quantities and dollar values for each separate category of product. The dollar values shall equal dollars recorded in appropriate sales accounts and shall be supported by invoices and statements. The quantities, converted to pounds, shall equal applicable figures recorded in appropriate sections of the monthly Milk Dealer’s Reports. Sections of these monthly summaries shall consider the following:

(1) Type product—Homogenized, 2.0%, Orange Juice, Iced Tea, and so on.

(2) Type container—Paper, plastic, glass, and so on.

(3) Size container—Gallon, quart, 1/2 pint, and so on.

(4) Type sale—Retail, wholesale delivered, wholesale dock, bulk, subdealer, and so on.

(5) Location of delivery—PMMB Area, out-of-State, United States Government land, and so on.

(b) The following documents shall be available on request to PMMB auditors in the event the Board has directed an audit of the financial activity of a dealer:

(1) All journals—Sales, purchases, cash receipts, cash disbursements, and so on.

(2) All ledgers—General, subsidiary, equipment, and so on.

(3) Other inventory, equipment, and so on, records such as Kardex files, 3 x 5 files, and so on.

(4) Delivery slips, sales invoices, statements, and so on.

(5) Supporting documents and worksheets for computing discounts, rebates, and so on.

(6) Check books, bank statements, and cancelled checks.

(7) Cash receipt and disbursement records required by PMMB Regulations.

(8) Monthly Milk Dealer’s Reports and all supporting documents.

(9) Chart of accounts.

(10) Independent accountant’s financial statement and certification.

(11) All leases and other agreements with customers as required by PMMB Regulations.

(12) Information concerning salaries earned by executives from other affiliated or unaffiliated organizations.

(13) All Federal and State payroll tax returns.

(14) Sales tax returns.

(15) Federal and State corporate returns including consolidated returns if appropriate.

(16) Copies of Internal Revenue Service audit reports for previous years.

(17) Worksheet reconciliation of Net Income between Federal Tax return and PMMB Financial Statement.

(18) Other supporting documents not listed in this subsection.

(c) In the event more ledger accounts are maintained that are combined into one PMMB account for financial reporting purposes, separate schedules indicating the detailed amounts and their totals as entered in the Financial Report must be available for use by PMMB auditors. Adding machine tapes are not acceptable unless each account number or title has been entered on the tapes by the side of each amount.

History

Authority: The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).
Source: The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

7 Pa. Code § 149.46 Cooperative cost centers.

(a) Cost centers for cooperatives, as defined in the act, shall be as follows:

(1) Field services. Providing direct assistance to producers by inspecting and improving producer milk production and quality.

(2) Laboratory. Testing for quality and components of producer milk and bulk milk delivered to dealers including direct testing costs and related materials.

(3) Producer payroll. Making payment to producers for milk.

(4) Sales invoicing. Invoicing producer milk customers.

(5) Dispatch, logistics and hauling. Hauling and coordinating the hauling of producer milk for both collection and delivery of raw milk.

(6) Calibration services. Providing producer calibration services including cooperative-owned vehicles.

(7) Producer relations. Developing and maintaining producer relationships.

(8) Customer relations. Developing and maintaining customers for producer milk.

(9) General and administrative. Administering and managing the cooperative’s milk marketing activity including costs related to human resources, information technology, corporate and executive expenses, professional fees and occupancy. The amount shall be a proportion of these costs which the cooperative reasonably allocates to its milk marketing activity.

(b) Cooperatives shall report these cost centers and allocate them into the applicable operating ledger accounts described in § 149.43(b) (relating to cost centers and operating accounts). Allocations and reports must be in accordance with generally accepted accounting principles. Cooperatives that are not in the reporting cross-section shall submit a less detailed report.

(c) The cost allocations must be based only on the cooperatives’ milk marketing activities for their producers (members and nonmembers).

(d) The annual reporting deadline is May 1 for cooperatives that are included in the reporting cross-section and June 15 for all other cooperatives.

The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

History

Authority: The provisions of this § 149.43 amended under section 301 of the Milk Marketing Law (31 P.S. § 700j-301).
Source: The provisions of this § 149.46 adopted March 9, 2018, effective March 10, 2018, 48 Pa.B. 1416.

Chapter 150 Milk Marketing Fees

7 Pa. Code § 150.1 Definitions.

When used in this chapter, terms defined in section 103 of the act (31 P.S. § 700j-103) have the meanings given to them in that section, unless the context clearly indicates otherwise.

The provisions of this § 150.1 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended April 24, 1992, effective April 25, 1992, and apply to license applications and renewal applications filed for the Fiscal 1992-93 licensing year, 22 Pa.B. 2232; amended December 26, 2003, effective January 26, 2004, 33 Pa.B. 6415. Immediately preceding text appears at serial page (279386).

History

Authority: The provisions of this § 150.72 amended under the Milk Marketing Fee Act (31 P.S. § § 700k-1—700k-10.1).
Source: The provisions of this § 150.82 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 26, 2003, effective January 26, 2004, 33 Pa.B. 6415. Immediately preceding text appears at serial page (279393).

7 Pa. Code § 150.2a License year; certification year.

(a) The license year for milk dealers, subdealers and milk haulers is the period beginning on July 1 of a given year and ending on June 30 of the succeeding year.

(b) The certification year for milk testers and milk weighers and samplers is a calendar year.

The provisions of this § 150.2a adopted December 26, 2003, effective January 26, 2004, 33 Pa.B. 6415.

History

Authority: The provisions of this § 150.72 amended under the Milk Marketing Fee Act (31 P.S. § § 700k-1—700k-10.1).
Source: The provisions of this § 150.82 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 26, 2003, effective January 26, 2004, 33 Pa.B. 6415. Immediately preceding text appears at serial page (279393).

7 Pa. Code § 150.11 Fixed fees.

(a) A new applicant for a milk dealer’s license shall pay a fixed fee of $100 for applications submitted before January 1 of the license year for which the application is submitted, and $50 for applications submitted on or after January 1.

(b) An applicant for annual renewal of a milk dealer’s license shall pay a fixed fee of $100.

The provisions of this § 150.11 amended under the Milk Marketing Fee Act (31 P.S. § § 700k-1—700k-10.1).

The provisions of this § 150.11 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended April 24, 1992, effective April 25, 1992, and apply to license applications and renewal applications filed for the Fiscal 1992-93 licensing year, 22 Pa.B. 2232; amended December 26, 2003, effective January 26, 2004, 33 Pa.B. 6415; amended March 27, 2020, effective March 28, 2020, 50 Pa.B. 1836. Immediately preceding text appears at serial page (398083).

This section cited in 7 Pa. Code § 150.12 (relating to hundredweight fees); and 7 Pa. Code § 150.13 (relating to time for payment of fees).

History

Authority: The provisions of this § 150.72 amended under the Milk Marketing Fee Act (31 P.S. § § 700k-1—700k-10.1).
Source: The provisions of this § 150.82 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 26, 2003, effective January 26, 2004, 33 Pa.B. 6415. Immediately preceding text appears at serial page (279393).

7 Pa. Code § 150.12 Hundredweight fees.

(a) In addition to the fixed fee imposed under § 150.11 (relating to fixed fees), a milk dealer that was licensed for the entire calendar year preceding license renewal shall pay an annual hundredweight fee as set forth in paragraphs (1) and (2).

(1) For milk for which the Board has fixed a minimum wholesale or retail price, received, produced or brought into this Commonwealth during the calendar year preceding the period for which the license is issued, the fee is $.075 per hundredweight.

(2) For milk for which the Board has not fixed a minimum wholesale or retail price, received, produced or brought into this Commonwealth during the calendar year preceding the period for which the license is issued, the fee is $.0071 per hundredweight.

(b) In addition to the fixed fee imposed under § 150.11, a milk dealer that was not licensed for the entire calendar year preceding license application or renewal shall pay a monthly hundredweight fee as set forth in paragraphs (1) and (2). Monthly payments shall continue until the milk dealer has been licensed for an entire calendar year and for each month thereafter until the next license year begins. Annual payments shall then commence under subsection (a).

(1) For milk for which the Board has fixed a minimum wholesale or retail price, received, produced or brought into this Commonwealth during the preceding month, the fee is $.075 per hundredweight.

(2) For milk for which the Board has not fixed a minimum wholesale or retail price, received, produced or brought into this Commonwealth during the preceding month, the fee is $.0071 per hundredweight.

(c) In computing hundredweight fees under subsections (a) and (b), the Board will ascertain and fix the fluid milk equivalent of milk other than fluid milk by dividing the pounds of butterfat in cream by 3.5 and the pounds of nonfat solids in condensed and concentrated milk by 8.8. For farm-separated sour cream used exclusively in making butter to be marketed or ultimately sold as such, the Board will compute the total quantity of milk based on pounds of butterfat or sour cream rather than on the fluid milk equivalent.

(d) Milk that was purchased by a milk dealer located in or outside this Commonwealth from an out-of-State producer, and was diverted to an out-of-State milk dealer, is not subject to a hundredweight fee. As used in this subsection, ‘‘diverted’’ means that the purchasing milk dealer took possession of producer milk at the farm, from which location it was delivered to another milk dealer without entering the purchasing milk dealer’s plant.

The provisions of this § 150.12 amended under the Milk Marketing Fee Act (31 P.S. § § 700k-1—700k-10.1).

The provisions of this § 150.12 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended April 24, 1992, effective April 25, 1992, and apply to license applications and renewal applications filed for the Fiscal 1992-93 licensing year, 22 Pa.B. 2232; amended December 26, 2003, effective January 26, 2004, 33 Pa.B. 6415; amended March 27, 2020, effective March 28, 2020, 50 Pa.B. 1836; amended May 9, 2025, effective May 10, 2025, 55 Pa.B. 3224. Immediately preceding text appears at serial pages (400793) to (400794).

This section cited in 7 Pa. Code § 150.13 (relating to time for payment of fees).

History

Authority: The provisions of this § 150.72 amended under the Milk Marketing Fee Act (31 P.S. § § 700k-1—700k-10.1).
Source: The provisions of this § 150.82 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 26, 2003, effective January 26, 2004, 33 Pa.B. 6415. Immediately preceding text appears at serial page (279393).

7 Pa. Code § 150.13 Time for payment of fees.

(a) A new applicant for a milk dealer’s license shall pay the fixed fee imposed under § 150.11(a) (relating to fixed fees) when the applicant submits the milk dealer/subdealer license application (available from the Board Office or website), and shall submit the monthly hundredweight fee imposed under § 150.12(b) (relating to hundredweight fees) with the monthly report milk dealers must file under § 147.10 (relating to monthly reports).

(b) An applicant for renewal of a milk dealer’s license that was licensed for the entire calendar year preceding license renewal shall pay the fixed fees imposed under § 150.11(b) and the annual hundredweight fee imposed under § 150.12(a) when the applicant submits the milk dealer/subdealer license renewal application (available from the Board Office or website). Fees exceeding $2,000 may be paid in four equal installments, the first to be submitted with the milk dealer/subdealer license renewal application and the remaining three to be received in the Board office on or before September 15, December 15 and March 15, respectively, or the next business day if the 15th falls on a day when Commonwealth offices are closed.

(c) An applicant for renewal of a milk dealer’s license that was not licensed for the entire calendar year preceding license renewal shall pay the fixed fee imposed under § 150.11(b) when the applicant submits the milk dealer/subdealer license renewal application, and shall submit the monthly hundredweight fee imposed under § 150.12(b) with the monthly report milk dealers shall file under § 147.10.

The provisions of this § 150.13 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended April 24, 1992, effective April 25, 1992, and apply to license applications filed for the Fiscal 1992-93 licensing year, 22 Pa.B. 2232; amended December 26, 2003, effective January 26, 2004, 33 Pa.B. 6415. Immediately preceding text appears at serial pages (279388) to (297389).

History

Authority: The provisions of this § 150.72 amended under the Milk Marketing Fee Act (31 P.S. § § 700k-1—700k-10.1).
Source: The provisions of this § 150.82 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 26, 2003, effective January 26, 2004, 33 Pa.B. 6415. Immediately preceding text appears at serial page (279393).

7 Pa. Code § 150.21 Fixed fees.

(a) A new applicant for a subdealer’s license shall pay a fixed fee of $50.

(b) An applicant for annual renewal of a subdealer’s license shall pay a fixed fee of $50.

The provisions of this § 150.21 amended under the Milk Marketing Fee Act (31 P.S. § § 700k-1—700k-10.1).

The provisions of this § 150.21 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 26, 2003, effective January 24, 2004, 33 Pa.B. 6415; amended March 27, 2020, effective March 28, 2020, 50 Pa.B. 1836. Immediately preceding text appears at serial pages (398085) to (398086).

This section cited in 7 Pa. Code § 150.22 (relating to quart-equivalent fee); and 7 Pa. Code § 150.23 (relating to time for payment of fees).

History

Authority: The provisions of this § 150.72 amended under the Milk Marketing Fee Act (31 P.S. § § 700k-1—700k-10.1).
Source: The provisions of this § 150.82 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 26, 2003, effective January 26, 2004, 33 Pa.B. 6415. Immediately preceding text appears at serial page (279393).

7 Pa. Code § 150.22 Quart-equivalent fee.

(a) In addition to the fixed fee imposed under § 150.21(b) (relating to fixed fees), an applicant for annual renewal of a subdealer’s license shall pay an annual quart-equivalent fee calculated by dividing the total quarts of milk sold during the previous calendar year by the number of months in which the subdealer engaged in business. The Board will assess the fee in accordance with the following schedule:

(b) As used in subsection (a), ‘‘quarts’’ means the total volume of milk for which the Board sets a price expressed in quart equivalents.

The provisions of this § 150.22 amended under the Milk Marketing Fee Act (31 P.S. § § 700k-1—700k-10.1).

The provisions of this § 150.22 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 26, 2003, effective January 24, 2004, 33 Pa.B. 6415; amended March 27, 2020, effective March 28, 2020, 50 Pa.B. 1836; amended May 9, 2025, effective May 10, 2025, 55 Pa.B. 3224. Immediately preceding text appears at serial page (400796).

This section cited in 7 Pa. Code § 150.23 (relating to time for payment of fees).

History

Authority: The provisions of this § 150.72 amended under the Milk Marketing Fee Act (31 P.S. § § 700k-1—700k-10.1).
Source: The provisions of this § 150.82 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 26, 2003, effective January 26, 2004, 33 Pa.B. 6415. Immediately preceding text appears at serial page (279393).

7 Pa. Code § 150.23 Time for payment of fees.

(a) A new applicant for a subdealer’s license shall pay the fixed fee imposed under § 150.21(a) (relating to fixed fees) when the applicant submits the milk dealer/subdealer license application.

(b) An applicant for renewal of a subdealer’s license shall pay the fixed fees imposed under § 150.21(b) and the quart-equivalent fee imposed under § 150.22 (relating to quart-equivalent fee) when the applicant submits the milk dealer/subdealer license renewal application.

The provisions of this § 150.23 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 27, 2003, effective January 26, 2004, 33 Pa.B. 6415. Immediately preceding text appears at serial page (279390).

History

Authority: The provisions of this § 150.72 amended under the Milk Marketing Fee Act (31 P.S. § § 700k-1—700k-10.1).
Source: The provisions of this § 150.82 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 26, 2003, effective January 26, 2004, 33 Pa.B. 6415. Immediately preceding text appears at serial page (279393).

7 Pa. Code § 150.51 Fixed fees.

A new applicant for a milk hauler’s license and an applicant for annual renewal of a milk hauler’s license shall pay a fixed fee of $35.

The provisions of this § 150.51 amended under the Milk Marketing Fee Act (31 P.S. § § 700k-1—700k-10.1).

The provisions of this § 150.51 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 27, 2003, effective January 26, 2004, 33 Pa.B. 6415; amended March 27, 2020, effective March 28, 2020, 50 Pa.B. 1836. Immediately preceding text appears at serial pages (398087) to (398088).

This section cited in 7 Pa. Code § 150.52 (relating to hundredweight fee); and 7 Pa. Code § 150.53 (relating to time for and manner of payment of fees).

History

Authority: The provisions of this § 150.72 amended under the Milk Marketing Fee Act (31 P.S. § § 700k-1—700k-10.1).
Source: The provisions of this § 150.82 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 26, 2003, effective January 26, 2004, 33 Pa.B. 6415. Immediately preceding text appears at serial page (279393).

7 Pa. Code § 150.52 Hundredweight fee.

In addition to the fixed fee imposed under § 150.51 (relating to fixed fees), a milk hauler shall pay a fee of $.005 per hundredweight for milk hauled during the license year. The fee shall apply to:

(1) Milk picked up at a producer’s farm located in this Commonwealth and delivered to a milk dealer located in this Commonwealth.

(2) Milk picked up at a producer’s farm located outside this Commonwealth and delivered to a milk dealer located in this Commonwealth.

(3) Milk picked up at a producer’s farm located in this Commonwealth and delivered to a milk dealer located outside this Commonwealth.

The provisions of this § 150.52 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 27, 2003, effective January 26, 2004, 33 Pa.B. 6415. Immediately preceding text appears at serial pages (279391) to (279392).

History

Authority: The provisions of this § 150.72 amended under the Milk Marketing Fee Act (31 P.S. § § 700k-1—700k-10.1).
Source: The provisions of this § 150.82 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 26, 2003, effective January 26, 2004, 33 Pa.B. 6415. Immediately preceding text appears at serial page (279393).

7 Pa. Code § 150.53 Time for and manner of payment of fees.

(a) A new applicant for a milk hauler’s license and an applicant for renewal of a milk hauler’s license shall pay the fixed fee imposed under § 150.51 (relating to fixed fees) when the applicant files the license application, Form PMMB-77B or Form PMMB-77 (available from the Board Office or website).

(b) Payment of the hundredweight fee shall be remitted by a licensed milk hauler in full to be received in the office of the Board by the 30th day of the month immediately succeeding the month in which the milk was hauled or the nearest business day thereafter (March 1 for January reports). The payment shall accompany the Milk Hauler’s Monthly Report, Form PMMB-79 (available from the Board Office or website), which is also due on that date.

The provisions of this § 150.53 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 27, 2003, effective January 26, 2004, 33 Pa.B. 6415. Immediately preceding text appears at serial page (279392).

History

Authority: The provisions of this § 150.72 amended under the Milk Marketing Fee Act (31 P.S. § § 700k-1—700k-10.1).
Source: The provisions of this § 150.82 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 26, 2003, effective January 26, 2004, 33 Pa.B. 6415. Immediately preceding text appears at serial page (279393).

7 Pa. Code § 150.61 Examination fee.

The fee to take the Board-approved examination for a certificate of proficiency in milk testing is $30, payable when the examination is taken. The examination fee is not refundable and may not be applied toward payment of the fixed fees in § 150.62 (relating to fixed fees for new and renewed certificates).

The provisions of this § 150.61 amended under the Milk Marketing Fee Act (31 P.S. § § 700k-1—700k-10.1).

The provisions of this § 150.61 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 27, 2003, effective January 26, 2004, 33 Pa.B. 6415; amended March 27, 2020, effective March 28, 2020, 50 Pa.B. 1836. Immediately preceding text appears at serial pages (398088) to (398089).

History

Authority: The provisions of this § 150.72 amended under the Milk Marketing Fee Act (31 P.S. § § 700k-1—700k-10.1).
Source: The provisions of this § 150.82 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 26, 2003, effective January 26, 2004, 33 Pa.B. 6415. Immediately preceding text appears at serial page (279393).

7 Pa. Code § 150.62 Fixed fees for new and renewed certificates.

A new applicant for a milk tester’s certificate and an applicant for renewal of a milk tester’s certificate shall pay a fee of $25, which shall accompany the milk tester certificate application (available from the Board Office or website).

The provisions of this § 150.62 amended under the Milk Marketing Fee Act (31 P.S. § § 700k-1—700k-10.1).

The provisions of this § 150.62 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 27, 2003, effective January 26, 2004, 33 Pa.B. 6415; amended March 27, 2020, effective March 28, 2020, 50 Pa.B. 1836. Immediately preceding text appears at serial page (398089).

This section cited in 7 Pa. Code § 150.61 (relating to examination fee).

History

Authority: The provisions of this § 150.72 amended under the Milk Marketing Fee Act (31 P.S. § § 700k-1—700k-10.1).
Source: The provisions of this § 150.82 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 26, 2003, effective January 26, 2004, 33 Pa.B. 6415. Immediately preceding text appears at serial page (279393).

7 Pa. Code § 150.71 Examination fee.

The fee to take the Board-approved examination for a certificate of proficiency in milk weighing and sampling is $30, payable when the examination is taken. The examination fee is not refundable and may not be applied toward payment of the fixed fees in § 150.72 (relating to fixed fees for new and renewed certificates).

The provisions of this § 150.71 amended under the Milk Marketing Fee Act (31 P.S. § § 700k-1—700k-10.1).

The provisions of this § 150.71 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 26, 2003, effective January 26, 2004, 33 Pa.B. 6415; amended March 27, 2020, effective March 28, 2020, 50 Pa.B. 1836. Immediately preceding text appears at serial page (398089).

History

Authority: The provisions of this § 150.72 amended under the Milk Marketing Fee Act (31 P.S. § § 700k-1—700k-10.1).
Source: The provisions of this § 150.82 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 26, 2003, effective January 26, 2004, 33 Pa.B. 6415. Immediately preceding text appears at serial page (279393).

7 Pa. Code § 150.72 Fixed fees for new and renewed certificates.

A new applicant for a milk weigher and sampler’s certificate and an applicant for renewal of a milk weigher and sampler’s certificate shall pay a fee of $25, which shall accompany the milk weigher/sampler certificate application (available from the Board Office or website).

The provisions of this § 150.72 amended under the Milk Marketing Fee Act (31 P.S. § § 700k-1—700k-10.1).

The provisions of this § 150.72 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 26, 2003, effective January 26, 2004, 33 Pa.B. 6415; amended March 27, 2020, effective March 28, 2020, 50 Pa.B. 1836. Immediately preceding text appears at serial page (398089).

This section cited in 7 Pa. Code § 150.71 (relating to examination fee).

History

Authority: The provisions of this § 150.72 amended under the Milk Marketing Fee Act (31 P.S. § § 700k-1—700k-10.1).
Source: The provisions of this § 150.82 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 26, 2003, effective January 26, 2004, 33 Pa.B. 6415. Immediately preceding text appears at serial page (279393).

7 Pa. Code § 150.81 Transfer fee.

The fee to transfer a license under section 407 of the act (31 P.S. § 700j-407) is $50.

The provisions of this § 150.81 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 26, 2003, effective January 26, 2004, 33 Pa.B. 6415. Immediately preceding text appears at serial page (279393).

History

Authority: The provisions of this § 150.72 amended under the Milk Marketing Fee Act (31 P.S. § § 700k-1—700k-10.1).
Source: The provisions of this § 150.82 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 26, 2003, effective January 26, 2004, 33 Pa.B. 6415. Immediately preceding text appears at serial page (279393).

7 Pa. Code § 150.82 Fees for copying and certifying Board documents.

Fees for providing copies of, or for certification of, Board documents will be in an amount that will fully offset the costs incurred by the Board in providing the documents or certification.

The provisions of this § 150.82 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 26, 2003, effective January 26, 2004, 33 Pa.B. 6415. Immediately preceding text appears at serial page (279393).

History

Authority: The provisions of this § 150.72 amended under the Milk Marketing Fee Act (31 P.S. § § 700k-1—700k-10.1).
Source: The provisions of this § 150.82 adopted June 23, 1989, effective June 24, 1989, 19 Pa.B. 2638; amended December 26, 2003, effective January 26, 2004, 33 Pa.B. 6415. Immediately preceding text appears at serial page (279393).

Chapter 151 Security Funds, Bonding and Alternative Security

7 Pa. Code § 151.1 Written agreements by cooperatives.

(a) A cooperative shall submit copies of its current standard marketing agreements to the Board by October 15, 1980.

(b) A cooperative shall submit new member marketing agreements and amendments to existing member marketing agreements and contracts with other qualified cooperatives to the Board at least 15 days prior to the effective date of an agreement. The Board will act to approve or disapprove the contracts at its next regularly scheduled public meeting following submission of the agreements. A disapproval of an agreement shall be communicated to the cooperative in question together with reasons for the disapproval.

The provisions of this § 151.1 adopted October 17, 1980, effective October 18, 1980, 10 Pa.B. 4094.

History

Authority: The provisions of this § 151.9 amended under section 14 of the Milk Producers’ Security Act (31 P.S. § 626.14).
Source: The provisions of this § 151.13 adopted March 27, 1981, effective March 28, 1981, 11 Pa.B. 1088; updated May 23, 2025, 55 Pa.B. 3565. Immediately preceding text appears at serial page (290277).

7 Pa. Code § 151.2 Payments to the Milk Producers’ Security Fund.

(a) Payment of $.01 per hundredweight as required by section 6(a) of the Milk Producers’ and Cooperative Security Funds Act (31 P.S. § 625.6(a)) (Repealed) shall be computed on the basis of milk received during each calendar month beginning with milk received during the month of October 1980.

(b) Payment of $.01 per hundredweight shall be remitted by each dealer in full so as to be received in the office of the Board by the 25th day of the month immediately succeeding the month in which the milk was purchased.

The provisions of this § 151.2 adopted October 17, 1980, effective October 18, 1980, 10 Pa.B. 4094.

History

Authority: The provisions of this § 151.9 amended under section 14 of the Milk Producers’ Security Act (31 P.S. § 626.14).
Source: The provisions of this § 151.13 adopted March 27, 1981, effective March 28, 1981, 11 Pa.B. 1088; updated May 23, 2025, 55 Pa.B. 3565. Immediately preceding text appears at serial page (290277).

7 Pa. Code § 151.3 Notice to member of cooperatives, associations, or producers concerning right to opt out of Producers’ Security Fund.

Notice to members of a cooperative or association of producers as required by section 6(d) of the Milk Producers’ and Cooperative Security Funds Act (31 P.S. § 625.6(d)) shall be in the following form:

The provisions of this § 151.3 adopted October 17, 1980, effective October 18, 1980, 10 Pa.B. 4094.

History

Authority: The provisions of this § 151.9 amended under section 14 of the Milk Producers’ Security Act (31 P.S. § 626.14).
Source: The provisions of this § 151.13 adopted March 27, 1981, effective March 28, 1981, 11 Pa.B. 1088; updated May 23, 2025, 55 Pa.B. 3565. Immediately preceding text appears at serial page (290277).

7 Pa. Code § 151.4 Initial retroactive payments to Milk Producers’ Security Fund.

(a) A milk dealer who at the inception of the Milk Producers’ Security Fund elects to make payments to that fund shall make payments for milk received during the months of July, August and September 1980. These payments shall be sent so as to be received by the Board on or before November 22, 1980.

(b) A milk dealer not licensed on July 10, 1980 who, subsequent to that date, applies for a license and elects to participate in the Milk Producers’ Security Fund shall make an additional payment in addition to the dealer’s regular monthly payments, calculated by multiplying the payment for the first full calendar month of operation by three. The payment shall be received by the Board no later than the 25th day of the third full calendar month of operation by the dealer. The new dealer shall make regular monthly payments on the 25th day of each month as provided by this chapter for other dealers.

The provisions of this § 151.4 adopted October 17, 1980, effective October 18, 1980, 10 Pa.B. 4094.

History

Authority: The provisions of this § 151.9 amended under section 14 of the Milk Producers’ Security Act (31 P.S. § 626.14).
Source: The provisions of this § 151.13 adopted March 27, 1981, effective March 28, 1981, 11 Pa.B. 1088; updated May 23, 2025, 55 Pa.B. 3565. Immediately preceding text appears at serial page (290277).

7 Pa. Code § 151.5 Notice with respect to claims against the Milk Producers’ Security Fund.

(a) The Board will give written notice by first class mail to producers believed to be affected within 5 days after discovery that a licensed milk dealer has defaulted in making payment for milk received from producers in accordance with § 143.12 (relating to terms of payment).

(b) A producer affected by the default shall file verified claims within 30 days of the date of the notice from the Board. A claim postmarked later than 30 days after notice from the Board will not be considered.

(c) The claim period as specified in section 8(b) of the Milk Producers’ and Cooperative Security Funds Act (31 P.S. § 625.8) (Repealed) may not exceed 58 days.

The provisions of this § 151.5 adopted October 17, 1980, effective October 18, 1980, 10 Pa.B. 4094.

History

Authority: The provisions of this § 151.9 amended under section 14 of the Milk Producers’ Security Act (31 P.S. § 626.14).
Source: The provisions of this § 151.13 adopted March 27, 1981, effective March 28, 1981, 11 Pa.B. 1088; updated May 23, 2025, 55 Pa.B. 3565. Immediately preceding text appears at serial page (290277).

7 Pa. Code § 151.6 Valuation of United States government obligations as collateral.

United States government interest-bearing obligations and negotiable bonds for the United States deposited with the Board as collateral for a surety bond of a milk dealer or as alternate security under sections 9(b) and 10(2) of the Milk Producers’ and Cooperative Security Funds Act (31 P.S. § § 625.9(b) and 625.10(2)) (Repealed) shall have their value determined in the following manner:

(1) The valuation shall be determined by the market quotation listed in the Wall Street Journal on the first day of each calendar quarter.

(2) Valuation of the security shall be reviewed quarterly and adjusted in accordance with the latest quotation. When the valuation indicates that the collateral posted with the bond is worth less than the amount of the bond, the Board may require that additional collateral be posted within 15 days. When the valuation indicates that the collateral posted with the bond is worth more than the amount of the bond, the Board upon request will return the portion of the collateral as will not reduce the collateral held by the Board below the amount of the bond.

The provisions of this § 151.6 adopted October 17, 1980, effective October 18, 1980, 10 Pa.B. 4094.

History

Authority: The provisions of this § 151.9 amended under section 14 of the Milk Producers’ Security Act (31 P.S. § 626.14).
Source: The provisions of this § 151.13 adopted March 27, 1981, effective March 28, 1981, 11 Pa.B. 1088; updated May 23, 2025, 55 Pa.B. 3565. Immediately preceding text appears at serial page (290277).

7 Pa. Code § 151.7 Withdrawals from Cooperative Security Fund.

(a) A cooperative participating in the Cooperative Security Fund shall submit to the Board on or before the first day of participation in the Cooperative Security Fund a complete list of members and nonmember patrons belonging to the cooperative, together with the complete mailing address for each member or nonmember patron. Each participating cooperative shall provide the Board by the 25th day of each calendar month subsequent to the first month of participation in the Cooperative Security Fund with appropriate additions and deletions to the member and nonmember patron list.

(b) The Board will give notice by first class mail to listed members and nonmember patrons of the opportunity to file claims for withdrawal from the Cooperative Security Fund within 5 days of discovery of an adjudication of bankruptcy of a participating cooperative.

(c) Members and nonmember patrons of the bankrupt cooperative who desire to participate in the withdrawal from the Cooperative Security Fund shall file verified claims with the Board within 30 days of the date of notice from the Board. A claim postmarked later than 30 days after the date of notice from the Board will not be considered.

(d) The Board will examine the claims filed by members or nonmember patrons of the bankrupt cooperative and will determine after hearing upon at least 5 days notice to the claimants and to the bankrupt cooperative the amount due each claimant. A certification of the amount determined to be due each claimant will be filed with the fiscal agent, each claimant and the bankrupt cooperative within 60 days after the claimants have filed verified claims.

The provisions of this § 151.7 adopted October 17, 1980, effective October 18, 1980, 10 Pa.B. 4094.

History

Authority: The provisions of this § 151.9 amended under section 14 of the Milk Producers’ Security Act (31 P.S. § 626.14).
Source: The provisions of this § 151.13 adopted March 27, 1981, effective March 28, 1981, 11 Pa.B. 1088; updated May 23, 2025, 55 Pa.B. 3565. Immediately preceding text appears at serial page (290277).

7 Pa. Code § 151.8 Adjustments for Federal support program.

At the end of each calendar quarter beginning with October—December 1980, a milk dealer who has participated in the Milk Producers’ Security Fund or a cooperative who has participated in the Cooperative Security Fund, may apply to the Board for a rebate of net monthly payments made to the appropriate fund during the quarter, adjusted for a cash credit it has received from the appropriate fund during the same period, with respect to the milk equivalent value of butter, cheese or nonfat dry milk manufactured by the dealer or on its account and sold to the Commodity Credit Corporation of the United States during the calendar year under the Price Support Program (Section 201(c) of the Agricultural Act of 1949, as amended). The milk equivalent value of butter, cheese or nonfat dry milk for which application is made by a milk dealer for a rebate from the Milk Producers’ Security Fund shall be calculated based upon yield factors used for such products under the Price Support Program. A rebate made from the appropriate fund under this section shall be at the rate of $.01 per hundredweight of the milk equivalent value of the product sold to the Commodity Credit Corporation. An application by a milk dealer or participating cooperative for a rebate under this section shall be accompanied by a purchase receipt or other supporting records issued by the Commodity Credit Corporation documenting purchase of a product from the dealer during the calendar year. An application shall be filed with the Board on or before the 30th day after the close of the calendar quarter.

The provisions of this § 151.8 adopted October 17, 1980, effective October 18, 1980, 10 Pa.B. 4094.

History

Authority: The provisions of this § 151.9 amended under section 14 of the Milk Producers’ Security Act (31 P.S. § 626.14).
Source: The provisions of this § 151.13 adopted March 27, 1981, effective March 28, 1981, 11 Pa.B. 1088; updated May 23, 2025, 55 Pa.B. 3565. Immediately preceding text appears at serial page (290277).

7 Pa. Code § 151.9 Calculation of bonding obligation.

(a) For the purpose of sections 7(c) and 8 of the Milk Producers’ Security Act (act) (31 P.S. § § 626.7(c) and 626.8), the Board will use the following method to ascertain the highest aggregate amount owed by the dealer to producers for a 40-day period during the preceding 12 months:

(1) Review the amount owed by the milk dealer to all its producers for each month in the preceding calendar year.

(2) Identify the 2 consecutive months in which the sum of the amounts owed was the highest.

(3) Divide the sum of the amounts owed from paragraph (2) by the total number of days in the 2 consecutive months.

(4) Multiply the quotient from paragraph (3) by 40.

(b) As used in sections 7(c) and 8 of the act and in subsection (a), ‘‘amount owed’’ has the following meanings:

(1) For a purchase subject to minimum pricing fixed by the Board, ‘‘amount owed’’ means the amount the milk dealer was required to pay the producer under the applicable Board order, even though the actual amount paid exceeded the Board-established minimum price.

(2) For a purchase not subject to minimum pricing fixed by the Board, ‘‘amount owed’’ means the actual amount the milk dealer lawfully paid the producer.

The provisions of this § 151.9 amended under section 14 of the Milk Producers’ Security Act (31 P.S. § 626.14).

The provisions of this § 151.9 adopted March 27, 1981, effective March 28, 1981, 11 Pa.B. 1088; amended August 9, 2002, effective August 10, 2002, 32 Pa.B. 3893. Immediately preceding text appears at serial pages (276995) to (276996).

History

Authority: The provisions of this § 151.9 amended under section 14 of the Milk Producers’ Security Act (31 P.S. § 626.14).
Source: The provisions of this § 151.13 adopted March 27, 1981, effective March 28, 1981, 11 Pa.B. 1088; updated May 23, 2025, 55 Pa.B. 3565. Immediately preceding text appears at serial page (290277).

7 Pa. Code § 151.10 Election to substitute bond or alternative security for Security Fund payments.

Dealers making payments into the Milk Producers’ Security Fund, may elect to withdraw from the fund and provide a bond or alternative security in lieu of payments into the fund only on the date for filing of the milk dealer’s license renewal application for the next succeeding licensing year. Notice of the election shall accompany the license renewal application. The election shall be effective at the beginning of the succeeding licensing year. A dealer making the election may not be entitled to repayment of funds previously paid into the Producers’ Security Fund.

The provisions of this § 151.10 adopted March 27, 1981, effective March 28, 1981, 11 Pa.B. 1088.

History

Authority: The provisions of this § 151.9 amended under section 14 of the Milk Producers’ Security Act (31 P.S. § 626.14).
Source: The provisions of this § 151.13 adopted March 27, 1981, effective March 28, 1981, 11 Pa.B. 1088; updated May 23, 2025, 55 Pa.B. 3565. Immediately preceding text appears at serial page (290277).

7 Pa. Code § 151.11 Election to change from bond or alternative security to Security Fund.

A dealer who initially submits a surety bond or alternative security, and subsequently elects to participate in the Milk Producers’ Security Fund may make the election effective at the beginning of any licensing year. A dealer who makes the election shall notify the Board of the election on or before June 15th of the preceding licensing year. A dealer making the election shall submit an advance payment of $.01 per hundredweight on purchases made during the months of March, April and May of the licensing year preceding the licensing year in which the election becomes effective. The advance payment shall be made by the dealer so as to be received in the office of the Board on or before June 15th of the licensing year immediately preceding the licensing year for which the election is effective.

The provisions of this § 151.11 adopted March 27, 1981, effective March 28, 1981, 11 Pa.B. 1088.

History

Authority: The provisions of this § 151.9 amended under section 14 of the Milk Producers’ Security Act (31 P.S. § 626.14).
Source: The provisions of this § 151.13 adopted March 27, 1981, effective March 28, 1981, 11 Pa.B. 1088; updated May 23, 2025, 55 Pa.B. 3565. Immediately preceding text appears at serial page (290277).

7 Pa. Code § 151.12 Payment into the Producer Security Fund for farm separated cream.

For purposes of computing payment into the Producers’ Security Fund on purchases of farm separated cream, payment shall be based upon the whole milk equivalent of the cream at 3.5% butterfat.

The provisions of this § 151.12 adopted March 27, 1981, effective March 28, 1981, 11 Pa.B. 1088.

History

Authority: The provisions of this § 151.9 amended under section 14 of the Milk Producers’ Security Act (31 P.S. § 626.14).
Source: The provisions of this § 151.13 adopted March 27, 1981, effective March 28, 1981, 11 Pa.B. 1088; updated May 23, 2025, 55 Pa.B. 3565. Immediately preceding text appears at serial page (290277).

7 Pa. Code § 151.13 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: In good standing—For the purposes of section 2(b) of the Milk Producers’ and Cooperative Security Funds Act (31 P.S. § 625.2(b)) (Repealed), a milk dealer or handler shall be considered to be in good standing so long as a payment due for milk purchased is received in the office of the Pennsylvania Milk Board by the 25th day of the month succeeding the month in which the milk covered by the payment is purchased. Trust company—For the purposes of the Milk Producers and Cooperative Security Funds Act, a bank and trust company as defined in section 102(g) of the Banking Code of 1965 (7 P.S. § 102(g)) or a national bank which has been granted trust or fiduciary powers and authority under 12 U.S.C. § § 21—221.

The provisions of this § 151.13 adopted March 27, 1981, effective March 28, 1981, 11 Pa.B. 1088; updated May 23, 2025, 55 Pa.B. 3565. Immediately preceding text appears at serial page (290277).

History

Authority: The provisions of this § 151.9 amended under section 14 of the Milk Producers’ Security Act (31 P.S. § 626.14).
Source: The provisions of this § 151.13 adopted March 27, 1981, effective March 28, 1981, 11 Pa.B. 1088; updated May 23, 2025, 55 Pa.B. 3565. Immediately preceding text appears at serial page (290277).

Part VII Bureau of Government Donated Food

Chapter 160 State Food Purchase Program

7 Pa. Code § 160.1 Authority and purpose.

This chapter is established by the Department under the act. The Program provides grant funds to county governments, regional food banks or emergency food providers for the purchase, transportation, storage and distribution of food to needy individuals who qualify as Program participants. The funds may also be used to repackage or process food for distribution to Program participants. This Program is intended to supplement the efforts of food pantries, soup kitchens, regional food banks, feeding programs, shelters for the homeless and similar organizations to reduce hunger.

History

Authority: The provisions of this § 160.13 amended under sections 3(a) and 9 of the State Food Purchase Program Act (62 P.S. § § 4043(a) and 4049).
Source: The provisions of this § 160.13 amended May 6, 2022, effective May 7, 2022, 52 Pa.B. 2699. Immediately preceding text appears at serial page (229348).

7 Pa. Code § 160.2 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Act—The State Food Purchase Program Act (62 P. S. § § 4041—4049). Administrative and incidental costs—Costs which are authorized by the act and which are necessary to the operation of the Program, but are not food purchase costs. The term includes costs of transporting, storing, distributing, processing and repackaging food for Program participants. Advisory Committee—The Emergency Food Assistance Advisory Committee established under section 6 of the act (62 P. S. § 4046). County government—The county which contracts with the Department to administer the Program. Department—The Department of Agriculture of the Commonwealth. Emergency food provider—A nonprofit organization which operates a food pantry, soup kitchen, food bank or other program to relieve hunger, undernutrition and food shortages among needy individuals and families, homeless people and victims of domestic violence. Fiscal year—The period from July 1 of a particular year through June 30 of the succeeding calendar year. Food purchase costs—Costs which are authorized by the act and which are incurred by a county government, a lead agency or an emergency food provider administering the Program within a particular county when it expends grant funds to obtain ownership of food. The term includes expenditures of grant funds to obtain ownership of food in transactions which qualify as exceptions to the restrictions on the transfer of contributed property under 26 CFR 1.170A-4A(b)(3)(ii) (relating to special rule for the deduction of certain charitable contributions of inventory and other property) such as transactions where the subject food had been donated to the vendor—such as a regional food bank or other entity—and where the purchase price for that donated food is a fee charged by the vendor for its storage, handling or other administrative costs. Grant agreement—The written contract defining the rights and responsibilities of the Department and a county government or other entity, or both, that agrees to administer the Program in a particular county and expend the grant funds allocated to that county in accordance with the act and this chapter. Grant funds—A sum of money that is the subject of a grant agreement which is to be used for purposes consistent with the act. Lead agency—The emergency food provider or regional food bank designated by the county to participate in the Program on its behalf. Program—The State Food Purchase Program. Program participant—An individual or household that is in need of food assistance to supplement the diet of economically depressed persons to prevent hunger or undernutrition and that meets Program eligibility requirements as described in § 160.5 (relating to eligibility of persons to participate). Regional food bank—A nonprofit charitable organization qualified under section 501(c)(3) of the Internal Revenue Code of 1986 (26 U.S.C.A. § 501(c)(3)) which maintains an established operation involving the provision of food to nonprofit food pantries, soup kitchens, shelters or feeding centers that provide food packages or meals to people in need of food assistance. A regional food bank is an emergency food provider. Secretary—The Secretary of the Department. USDA—The United States Department of Agriculture. USDA commodity programs—The food which is available through programs administered by the USDA.

History

Authority: The provisions of this § 160.13 amended under sections 3(a) and 9 of the State Food Purchase Program Act (62 P.S. § § 4043(a) and 4049).
Source: The provisions of this § 160.13 amended May 6, 2022, effective May 7, 2022, 52 Pa.B. 2699. Immediately preceding text appears at serial page (229348).

7 Pa. Code § 160.3 Grant agreement.

(a) General requirement. Grant funds will not be committed or expended by the Department, a county government, a lead agency or an emergency food provider administering the Program within a particular county in the absence of a grant agreement authorizing the commitment or expenditure.

(b) Lead agency. With the approval of the Department, a county government may subcontract with an emergency food provider to be a lead agency and administer the Program within that county.

(c) Nonparticipating county government. The Department will attempt to contract with county governments, or their designated lead agencies, for operation of the Program. If a county government chooses not to administer the Program and does not designate an emergency food provider to be its lead agency by the 90th day of the fiscal year (September 28), the Department will immediately attempt to enter into a grant agreement with an emergency food provider to administer the Program within that county.

(d) Provisions. The grant agreement shall contain provisions and address subjects reasonably necessary for the efficient administration of the Program in accordance with the act and this chapter.

History

Authority: The provisions of this § 160.13 amended under sections 3(a) and 9 of the State Food Purchase Program Act (62 P.S. § § 4043(a) and 4049).
Source: The provisions of this § 160.13 amended May 6, 2022, effective May 7, 2022, 52 Pa.B. 2699. Immediately preceding text appears at serial page (229348).

7 Pa. Code § 160.4 Permitted uses of grant funds.

(a) General. Grant funds may be used for food purchase costs or administrative and incidental costs.

(b) Administrative and incidental costs. The Department will establish a maximum percentage of grant funds that a county government, lead agency or emergency food provider administering the Program within a particular county may apply toward administrative and incidental costs. This maximum percentage will be set forth in the grant agreement and will be the same for all grant agreements in effect during a particular fiscal year. The Department will seek the advice and counsel of the Advisory Committee in establishing this maximum percentage.

History

Authority: The provisions of this § 160.13 amended under sections 3(a) and 9 of the State Food Purchase Program Act (62 P.S. § § 4043(a) and 4049).
Source: The provisions of this § 160.13 amended May 6, 2022, effective May 7, 2022, 52 Pa.B. 2699. Immediately preceding text appears at serial page (229348).

7 Pa. Code § 160.5 Eligibility of persons to participate.

(a) Primary determinant. If the county government, lead agency or emergency food provider administering the Program within a particular county has established procedures and guidelines for determining whether persons are eligible to participate in the Program, these procedures and guidelines shall be the sole determinant of eligibility.

(b) Department guidelines. In counties where the county government, lead agency or emergency food provider administering the Program does not have procedures and guidelines for determining the eligibility of persons to be Program participants, persons shall be eligible to be Program participants if their incomes do not exceed 185% of the poverty levels established by the USDA.

The provisions of this § 160.5 amended under sections 3(a) and 9 of the State Food Purchase Program Act (62 P.S. § § 4043(a) and 4049).

The provisions of this § 160.5 amended May 6, 2022, effective May 7, 2022, 52 Pa.B. 2699. Immediately preceding text appears at serial page (229346).

This section cited in 7 Pa. Code § 160.2 (relating to definitions).

History

Authority: The provisions of this § 160.13 amended under sections 3(a) and 9 of the State Food Purchase Program Act (62 P.S. § § 4043(a) and 4049).
Source: The provisions of this § 160.13 amended May 6, 2022, effective May 7, 2022, 52 Pa.B. 2699. Immediately preceding text appears at serial page (229348).

7 Pa. Code § 160.6 Charges or contributions for food.

A county government, lead agency, emergency food provider or other entity may not charge a Program participant for food obtained under the act or this chapter, or encourage a Program participant to contribute money in order to receive the food.

History

Authority: The provisions of this § 160.13 amended under sections 3(a) and 9 of the State Food Purchase Program Act (62 P.S. § § 4043(a) and 4049).
Source: The provisions of this § 160.13 amended May 6, 2022, effective May 7, 2022, 52 Pa.B. 2699. Immediately preceding text appears at serial page (229348).

7 Pa. Code § 160.7 For-profit activity prohibited.

Officials and employes of county governments, lead agencies and emergency food providers may not profit from contracting with the Department to administer the Program, or from providing services which these entities or persons are obligated to provide under a grant agreement with the Department.

History

Authority: The provisions of this § 160.13 amended under sections 3(a) and 9 of the State Food Purchase Program Act (62 P.S. § § 4043(a) and 4049).
Source: The provisions of this § 160.13 amended May 6, 2022, effective May 7, 2022, 52 Pa.B. 2699. Immediately preceding text appears at serial page (229348).

7 Pa. Code § 160.8 Food purchases.

(a) Portions. Food purchased with grant funds shall be procured in household or soup kitchen proportions, depending upon the intended usage.

(b) Price. Food purchased with grant funds shall be purchased at wholesale, competitive bid prices, or better.

(c) Redundancy. Food purchased with grant funds may not duplicate food items available to the county government, lead agency or emergency food provider under USDA commodity programs or through private donations unless the quantities available through these sources are insufficient to meet the needs of the county government, lead agency or emergency food provider for a particular food product.

History

Authority: The provisions of this § 160.13 amended under sections 3(a) and 9 of the State Food Purchase Program Act (62 P.S. § § 4043(a) and 4049).
Source: The provisions of this § 160.13 amended May 6, 2022, effective May 7, 2022, 52 Pa.B. 2699. Immediately preceding text appears at serial page (229348).

7 Pa. Code § 160.9 Wholesomeness of food.

County governments, lead agencies and emergency food providers administering the Program shall combine food purchased with grant funds with food available from other sources as necessary to compose a wholesome food package or meal for the Program participants. The USDA publications relating to the ‘‘Food Guide Pyramid’’ and ‘‘Dietary Guidelines For Americans’’ are recommended as a basis upon which county governments, lead agencies and emergency food providers can determine the wholesomeness of food packages or meals. The Department will provide grant recipients with copies of these guidelines.

History

Authority: The provisions of this § 160.13 amended under sections 3(a) and 9 of the State Food Purchase Program Act (62 P.S. § § 4043(a) and 4049).
Source: The provisions of this § 160.13 amended May 6, 2022, effective May 7, 2022, 52 Pa.B. 2699. Immediately preceding text appears at serial page (229348).

7 Pa. Code § 160.10 Information and assistance.

The Department will provide technical assistance and information to the entities with which it contracts to administer the Program. This assistance will include nutrition information, information relating to the establishment and operation of an emergency food provider and information regarding other Federal or State nutrition programs.

History

Authority: The provisions of this § 160.13 amended under sections 3(a) and 9 of the State Food Purchase Program Act (62 P.S. § § 4043(a) and 4049).
Source: The provisions of this § 160.13 amended May 6, 2022, effective May 7, 2022, 52 Pa.B. 2699. Immediately preceding text appears at serial page (229348).

7 Pa. Code § 160.11 Obtaining a grant agreement.

The Department will prepare a grant agreement and mail it to each county government in this Commonwealth at least 3 months prior to the start of the fiscal year or other period during which the grant agreement would be effective. If a county government chooses not to administer the Program and does not designate an emergency food provider to be its lead agency, the Department will prepare grant agreements and distribute them to emergency food providers as necessary to ensure the administration of the Program in that particular county and to ensure compliance with the act and this chapter.

History

Authority: The provisions of this § 160.13 amended under sections 3(a) and 9 of the State Food Purchase Program Act (62 P.S. § § 4043(a) and 4049).
Source: The provisions of this § 160.13 amended May 6, 2022, effective May 7, 2022, 52 Pa.B. 2699. Immediately preceding text appears at serial page (229348).

7 Pa. Code § 160.12 Plan of operation.

(a) Plan of operation required. The county government, lead agency or emergency food provider entering into a grant agreement with the Department shall prepare and submit to the Department a plan of operation for administering the Program.

(b) Contents. The plan of operation shall set forth the following:

(1) The designation of the county government, lead agency or emergency food provider which shall administer the Program under the terms of the grant agreement.

(2) The names, addresses and positions of those legally responsible under the grant agreement, if other than the county government.

(3) A description of the food distribution system that shall be used to allocate food to emergency food providers and Program participants.

(4) A description of the system that shall be used to allocate grant funds to emergency food providers, if applicable.

(5) The procedures or guidelines which shall be used for determining the eligibility of persons to be Program participants.

(6) A description of the procedures that shall be utilized to collect and assemble the data required in the annual report described in section 7(b) of the act (62 P. S. § 4047(b)).

(7) A statement that grant funds may not be used with respect to ‘‘Foods of Minimal Nutritional Value,’’ as those foods have been most recently defined by the USDA at 7 CFR Part 210, Appendix B (relating to categories of foods of minimal nutritional value), and a description of the measures which shall be taken to enforce this prohibition.

(8) The procedures or guidelines which shall be used to prevent the expenditure of grant funds to duplicate food items that are otherwise available to the county government, lead agency or emergency food provider under USDA commodity programs or through private donations of food to the emergency food providers—such as regional food banks and similar entities—unless the expenditures are permitted under section 3(b)(3) of the act (62 P. S. § 4043(b)(3)).

(9) Other information as the Department may require in furtherance of the provisions of the act or this chapter.

(c) Filing. The original of the plan of operation, plus three copies, shall be forwarded to the Department in the same manner and at the same time as the grant agreement. See § 160.13 (relating to filing the grant agreement).

History

Authority: The provisions of this § 160.13 amended under sections 3(a) and 9 of the State Food Purchase Program Act (62 P.S. § § 4043(a) and 4049).
Source: The provisions of this § 160.13 amended May 6, 2022, effective May 7, 2022, 52 Pa.B. 2699. Immediately preceding text appears at serial page (229348).

7 Pa. Code § 160.13 Filing the grant agreement.

(a) Place and time. The grant agreement shall be completed by the county government, the lead agency or the appropriate emergency food provider and returned to the Department of Agriculture, Bureau of Food Assistance, 2301 North Cameron Street, Room 401, Harrisburg, PA 17110-9408 by June 1 immediately preceding the start of the fiscal year, or 30 days prior to the commencement of the grant agreement if the grant agreement is to commence on a date other than the start of the fiscal year.

(b) Incomplete or inaccurate material. The Department will review each grant agreement and plan of operation for completeness and accuracy within 20 days of receipt. If a grant agreement or plan of operation is found to be incomplete or inaccurate, the Department will issue notice to the appropriate county government, lead agency or emergency food provider within that 20-day period, may request additional documentation and may discontinue further processing until the required information is received.

The provisions of this § 160.13 amended under sections 3(a) and 9 of the State Food Purchase Program Act (62 P.S. § § 4043(a) and 4049).

The provisions of this § 160.13 amended May 6, 2022, effective May 7, 2022, 52 Pa.B. 2699. Immediately preceding text appears at serial page (229348).

This section cited in 7 Pa. Code § 160.12 (relating to plan of operation).

History

Authority: The provisions of this § 160.13 amended under sections 3(a) and 9 of the State Food Purchase Program Act (62 P.S. § § 4043(a) and 4049).
Source: The provisions of this § 160.13 amended May 6, 2022, effective May 7, 2022, 52 Pa.B. 2699. Immediately preceding text appears at serial page (229348).

7 Pa. Code § 160.14 Commencement and termination of grant agreement.

The Department may terminate a grant agreement if funds are not available for the subject grant. A grant agreement will not commence until funds are available for the subject grant. The Department may immediately terminate a grant agreement, by written notice, if any of the terms of the grant agreement, the act or this chapter are violated by a party to the grant agreement. If the termination is not related to a violation of the terms of the grant agreement, the act or this chapter by a party to the grant agreement, the Department will give at least 30 days advance written notice of the termination date of a grant agreement. A written notice of grant agreement termination will set forth the reason for termination.

History

Authority: The provisions of this § 160.13 amended under sections 3(a) and 9 of the State Food Purchase Program Act (62 P.S. § § 4043(a) and 4049).
Source: The provisions of this § 160.13 amended May 6, 2022, effective May 7, 2022, 52 Pa.B. 2699. Immediately preceding text appears at serial page (229348).

7 Pa. Code § 160.15 Allocation of grant funds.

(a) Formula. The Department will, in consultation with the Advisory Committee, determine the formula which will be used in a particular fiscal year in allocating grant funds among the entities administering the Program in each county. In determining this formula, the Department will consider county unemployment statistics, provided annually by the Department of Labor and Industry, county food stamp and Medical Assistance statistics, provided annually by the Department of Public Welfare, Federal income poverty guidelines, provided annually by the USDA, and other relevant information.

(b) Disbursement. The Department will not disburse grant funds with respect to the Program in a particular county before a grant agreement is in effect. Thereafter, grant funds for a particular fiscal year will be disbursed in equal, or nearly equal, quarterly installments. If the term of a grant agreement is less than 1 fiscal year, the grant agreement may prescribe a different schedule of disbursement.

History

Authority: The provisions of this § 160.13 amended under sections 3(a) and 9 of the State Food Purchase Program Act (62 P.S. § § 4043(a) and 4049).
Source: The provisions of this § 160.13 amended May 6, 2022, effective May 7, 2022, 52 Pa.B. 2699. Immediately preceding text appears at serial page (229348).

7 Pa. Code § 160.16 Deadline for expenditures.

Grant funds may not be committed or expended in a fiscal year other than the particular fiscal year specified in the grant agreement. Grant funds which remain uncommitted or unexpended at the conclusion of the particular fiscal year specified in the grant agreement shall be immediately returned to the Department, unless otherwise agreed to, in writing, by the Department.

History

Authority: The provisions of this § 160.13 amended under sections 3(a) and 9 of the State Food Purchase Program Act (62 P.S. § § 4043(a) and 4049).
Source: The provisions of this § 160.13 amended May 6, 2022, effective May 7, 2022, 52 Pa.B. 2699. Immediately preceding text appears at serial page (229348).

7 Pa. Code § 160.17 Advisory Committee.

(a) Purpose. The Advisory Committee shall offer advice and recommendations to the Department on the administration of the Program.

(b) Composition. The Advisory Committee will be appointed by the Secretary and consist of between 10 and 15 members, no more than 3 of whom are employes of the Commonwealth. The membership of the Advisory Committee will be as follows:

(1) The Secretary, or a designee.

(2) The Program Administrator.

(3) A representative of the Governor’s Office.

(4) Two regional food bank representatives.

(5) At least two but no more than five county government/emergency food provider representatives.

(6) At least two but no more than four food and nutrition advocate representatives.

(7) One dietician, nutritionist or other person trained in nutrition.

(c) Terms of appointees. Advisory Committee members described in subsection (b)(1), (2) or (3) shall be ex officio members. The terms of the initial appointees of the Secretary under subsection (b)(4)—(7) will be determined by the Secretary and staggered so that the terms of no more than 1/3 of the initial appointees expire in each of the first 3 years of the Advisory Committee’s existence. Thereafter, the term of each of these appointees shall be 3 years. The term of a person appointed to replace another member whose term has not expired shall be only the unexpired portion of that term. Persons may not be appointed to successive terms, except that a person appointed to replace another member whose term has not expired may be appointed to a successive term.

(d) Chairperson; meetings. The Advisory Committee shall elect a chairperson at the first meeting of each calendar year. The chairperson shall call and conduct a meeting at least twice each year, and may call other meetings when appropriate.

(e) Reimbursement. Members of the Advisory Committee are not entitled to compensation for services, but are entitled to reimbursement for travel expenses incurred in connection with the performance of duties at the current rates set by the Commonwealth.

History

Authority: The provisions of this § 160.13 amended under sections 3(a) and 9 of the State Food Purchase Program Act (62 P.S. § § 4043(a) and 4049).
Source: The provisions of this § 160.13 amended May 6, 2022, effective May 7, 2022, 52 Pa.B. 2699. Immediately preceding text appears at serial page (229348).

7 Pa. Code § 160.18 Annual report.

(a) Program administrators. The entity with whom the Department has contracted to administer the Program in a particular county shall submit an annual report to the Department no later than 90 days from the end of the fiscal year (September 28). This annual report shall account for or specify the expenditure of grant funds, the number of individuals served, the number of households served, the types of food purchased and the cost and weight of food purchased, in pounds and by type of food, and other information as the Department may reasonably require.

(b) Department. The Department will submit an annual Program report to the Secretary of the Senate and the Chief Clerk of the House of Representatives no later than 180 days from the end of the fiscal year (December 27). This annual Program report will address, but will not be limited to, a summary of the meetings and activities of the Advisory Committee, the allocation and expenditure of grant funds, the number of individuals served, the number of households served, the quantity of food distributed—by type of food—and the total and per-pound cost of the food purchased.

History

Authority: The provisions of this § 160.13 amended under sections 3(a) and 9 of the State Food Purchase Program Act (62 P.S. § § 4043(a) and 4049).
Source: The provisions of this § 160.13 amended May 6, 2022, effective May 7, 2022, 52 Pa.B. 2699. Immediately preceding text appears at serial page (229348).

7 Pa. Code § 160.19 Audit.

Program activity shall be subject to review and audit at reasonable times by the Department, the Auditor General of the Commonwealth, and individuals authorized by the Department to determine compliance with statutes, regulations and policies. Contractors, subcontractors or approved agencies receiving funds or food under the Program shall be subject to review and audit at reasonable times by the Department, the Auditor General of the Commonwealth, and individuals authorized by the Department to determine proper operation and compliance with statutes, regulations and policies.

History

Authority: The provisions of this § 160.13 amended under sections 3(a) and 9 of the State Food Purchase Program Act (62 P.S. § § 4043(a) and 4049).
Source: The provisions of this § 160.13 amended May 6, 2022, effective May 7, 2022, 52 Pa.B. 2699. Immediately preceding text appears at serial page (229348).

7 Pa. Code § 160.20 Deficits.

The Department’s financial obligation will be limited to the amount of the grant. The Department will not be responsible for funding a deficit incurred by county government, lead agency or emergency food provider.

History

Authority: The provisions of this § 160.13 amended under sections 3(a) and 9 of the State Food Purchase Program Act (62 P.S. § § 4043(a) and 4049).
Source: The provisions of this § 160.13 amended May 6, 2022, effective May 7, 2022, 52 Pa.B. 2699. Immediately preceding text appears at serial page (229348).

Part VIII State Horse Racing Commission

Subpart A General Provisions

Chapter 171 Preliminary Provisions—Temporary Regulations

7 Pa. Code § 171.1 Purpose.

The purpose of this part is to facilitate the implementation of the Race Horse Industry Reform Act (act of October 28, 2016) (P.L. 913, No. 114), 3 Pa.C.S. § § 9301—9374 (relating to race horse industry reform).

7 Pa. Code § 171.2 Construction of the regulations.

(a) The Commission’s regulations shall be liberally construed to secure the just, speedy and efficient determination of every action, proceeding or issue presented to which it is applicable. The Commission or its presiding officer at any stage of an action or proceeding may disregard an error or defect of procedure which does not affect the substantive rights of a party.

(b) The Commission or its presiding officer at any stage of an action or proceeding may waive or temporarily suspend a requirement of this part when necessary or appropriate, if the waiver or temporary suspension does not adversely affect a substantive right of a party.

(d) Section (a) supersedes 1 Pa. Code § 31.2 (relating to liberal construction).

7 Pa. Code § 171.3 Jurisdiction.

(a) The General Assembly has declared that the Commission has exclusive jurisdiction and regulatory authority over all racing related matters within the scope of its powers under the Race Horse Industry Reform Act (act) (act of October 28, 2016) (P.L. 913, No. 114), 3 Pa.C.S. § § 9301—9374 (relating to race horse industry reform).

(b) The sport of horse racing, including pari-mutuel wagering and racing activities is heavily regulated and nothing contained in this part shall be construed to limit the powers, authority and duties of the Commission as provided in the act.

7 Pa. Code § 171.4 General powers of the Commission.

(a) Under the Race Horse Industry Reform Act (act) (act of October 28, 2016) (P.L. 913, No. 114), 3 Pa.C.S. § § 9301—9374 (relating to race horse industry reform), the Commission will have the power to supervise all horse race meetings in this Commonwealth at which pari-mutuel wagering and racing activities are conducted. The Commission shall have the power to enact appropriate rules and regulations necessary to effectuate the purposes and provisions of the act and to prevent circumvention or evasion thereof.

(b) The rules of racing, as set forth in this part apply to all persons, whether licensed or not, who conduct horse race meetings, operate pari-mutuel wagering systems within this Commonwealth, conduct business operations associated with horse racing and breeding or who otherwise engage directly or indirectly in pari-mutuel wagering and racing activities within this Commonwealth. All persons shall be charged with knowledge of and be conclusively bound by the provisions hereof.

(c) The rules of racing shall also apply to every participant in or patron of a licensed horse meeting and each shall be charged with notice of and be conclusively bound by the provisions of these regulations.

(d) Each license issued by the Commission is specifically granted upon the condition that the licensee shall accept, observe and obey the rules and regulations of the Commission. All licensees are charged with the responsibility of reporting apparent violations of these rules to the Commission and cooperating in an investigation into the same.

(e) The Commission or its designee may rescind or modify a penalty or decision regarding an infraction of the rules imposed or issued by the Board of Judges or the Board of Stewards and may institute investigative or adjudicative proceedings on the Commission’s own motion to properly exercise and discharge its statutory responsibilities.

7 Pa. Code § 171.5 General definitions.

(a) The following words and phrases, when used in this part, shall have the following meanings given to them, unless the context clearly indicates otherwise: Account—An account for account wagering with a specific identifiable record of deposits, wagers and withdrawals established by an account holder and managed by the licensed racing entity or secondary pari-mutuel organization. Account holder—An individual who successfully completed an application and for whom the licensed racing entity or the secondary pari-mutuel organization has opened an account. Act—The Race Horse Industry Reform Act (act of October 28, 2016) (P.L. 913, No. 114), 3 Pa.C.S. § § 9301—9374 (relating to race horse industry reform). Advance deposit account wagering system—A system by which wagers are debited and payouts are credited to an advance deposit account held by a licensed racing entity or secondary pari-mutuel organization on behalf of a person. Advance deposit wagering—ADW—A form of gambling on the outcome of horse races in which bettors must fund their account before being allowed to place bets. ADW may be conducted outline or by phone. Appeal—A request for the Commission or its designee to investigate, consider and review any decisions or rulings of the Board of Stewards or Board of Judges, Bureau Directors or other Commission staff. Applicant—A person who, on his own behalf or on behalf of another, applies for permission to engage in an act or activity which is regulated under the provisions of this part. If the applicant is a person other than an individual, the Commission shall determine the associated persons whose qualifications are necessary as a precondition to the licensing of the applicant. Arrest—Detaining, holding or taking into custody by police or other law enforcement authorities for the alleged commission of an offense. Authorized agent—A person licensed by the Commission and appointed by a written instrument, signed and acknowledged before a notary public by the owner in whose behalf the agent will act. Backside area—An area of the racetrack enclosure that is not generally accessible to the public and which includes, but is not limited to, a facility commonly referred to as a barn, paddock enclosure, track kitchen, recreation hall, backside employee quarters and training track and roadways providing access to the area. The term does not include an area of the racetrack enclosure which is generally accessible to the public, including the various buildings commonly referred to as the grandstand or the racing surface and walking ring. Breakage—The odd cents of redistributions to be made on contributions to pari-mutuel pools exceeding a sum equal to the next lowest multiple of ten. Bureau Director—The Director of the Bureau of Standardbred Horse Racing and the Director of the Bureau of Thoroughbred Horse Racing. Carryover—The non-distributed pool moneys which are retained and added to a corresponding pool in accordance with these rules. Clean letter of credit—A letter of credit which is available to the beneficiary against presentation of a draft or receipt. Commission—The State Horse Racing Commission. Commission staff—Employees of the Commission, under the direct supervision of Bureau Directors, who perform various administrative, licensing, enforcement and investigative duties and functions. This term may include licensing staff, investigative staff or enforcement staff. Commissioner—An individual appointed to and sworn in as a member of the Commission in accordance with section 9311(b) of the act, 3 Pa.C.S. § 9311(b) (relating to State Horse Racing Commission). Confidential information—Materials that are not available to the public. Contest—A competitive racing event on which pari-mutuel wagering is conducted. Controlled substance—Any substance included in the five classification schedules under section 811 of the Controlled Substance Act of 1970 (21 U.S.C.A. § 811). Conviction—A finding of guilt or a plea of guilty or nolo contendere, whether or not a judgment of sentence has been imposed as determined by the law of the jurisdiction in which the prosecution was held. The term does not include a conviction that has been expunged or overturned or for which an individual has been pardoned or an order of accelerated rehabilitative disposition. Department—The Department of Agriculture. Ejection or refusal of admission—The ejection or refusal of admission by a licensed racing entity or the Commission from the racetrack enclosure or any other area under the jurisdiction of the Commission. Electronic wagering—A method of placing or transmitting a legal wager by an individual in this Commonwealth through telephone, electromechanical, computerized system or any other form of electronic media approved by the Commission and accepted by a secondary pari-mutuel organization or a licensed racing entity or the licensed racing entity’s approved off-track betting system located in this Commonwealth. Evergreen clause—A term in a letter of credit providing for automatic renewal of the letter of credit. Ex parte communication—An off-the-record communication engaged in or received by a Commissioner of the Commission regarding the merits of, or any fact in issue relating to, a pending matter before the Commission or which may reasonably be expected to come before the Commission in a contested on-the-record proceeding. The term shall not include:

(1) An off-the-record communication by a Commissioner, the Department of Revenue, Pennsylvania State Police, Attorney General or other law enforcement official, prior to the beginning of the proceeding solely for the purpose of seeking clarification or correction to evidentiary materials intended for use in the proceedings.

(2) A communication between the Commission or a Commissioner and legal counsel. Exhibition race—A race on which no wagering is permitted or conducted. Felony—An offense under the laws of the Commonwealth or the laws of another jurisdiction, punishable by imprisonment for more than 5 years. Final order—One of the following:

(1) An action by the Commission which approves, issues, renews, revokes, suspends, conditions, or denies issuance or renewal of a license.

(2) An action by the Commission which affects personal or property rights, privileges, immunities, duties, liabilities or obligations and disposes of all proper claims by or against parties before the Commission.

(3) An action by the Commission which is designated by the Commission as final. Financial interest—An ownership, property, leasehold or other beneficial interest in an entity. The term shall not include an interest which is held or deemed to be held in any of the following:

(1) Securities that are held in a pension plan, profit-sharing plan, individual retirement account, tax-sheltered annuity, a plan established under section 457 of the Internal Revenue Code of 1986 (Pub.L. No. 99-514) (26 U.S.C.A. § 457), or any successor provision, deferred compensation plan whether qualified or not qualified under the Internal Revenue Code of 1986, or any successor provision or other retirement plan that:

(i) Is not self-directed by the individual.

(ii) Is advised by an independent investment adviser who has sole authority to make investment decisions with respect to contributions made by the individual to these plans.

(2) A tuition account plan organized and operated under section 529 of the Internal Revenue Code of 1986 (Pub.L. No. 99-514) (26 U.S.C.A. § 529) that is not self-directed by the individual.

(3) A mutual fund where the interest owned by the mutual fund in a licensed racing entity does not constitute a controlling interest as defined in 4 Pa.C.S. § 1103 (relating to definitions). Forfeit—A specified amount of money due from a licensee because of error, fault, neglect of duty, breach of contract or a penalty imposed by the Board of Judges or the Board of Stewards or the Commission. Horse race meeting—A specified period and dates each year during which a licensed racing entity is authorized to conduct live racing or pari-mutuel wagering as approved by the Commission. Horse racing—Standardbred horse racing and Thoroughbred horse racing. Horsemen’s organization—A trade association which represents the majority of owners and trainers who own and race horses at a racetrack. Immediate family—A spouse, parent, brother, sister or child. Irrevocable clean letter of credit—A clean letter of credit which cannot be canceled or amended unless there is an agreement to cancel or amend among all parties to the letter of credit. Judges or Stewards—Shall refer to the Board of Judges for the Standardbred racing industry or Board of Stewards for the Thoroughbred racing industry respectively. Land mile—A unit of distance equal to 1,609.3 meters or 5,280 feet, as measured in a straight line. Licensed racetrack or racetrack—

(1) The physical facility and grounds for which a person has obtained a license from the Commission to conduct live Thoroughbred or Standardbred race meetings with pari-mutuel wagering or

(2) The physical land-based location at which live horse racing is conducted, even if not owned by the person. Licensed racing entity—Any person that has obtained a license to conduct live Thoroughbred or harness horse race meetings with pari-mutuel wagering from the Commission. Licensee—The holder of a license issued under this part. Nominal change in ownership—The sale, pledge, encumbrance, execution of an option agreement or other transfer of less than 5% of the equity securities or other ownership interest of a person whose percentage ownership does not affect the decisions of the licensed racing entity. Nonprimary location—Any facility in which pari-mutuel wagering is conducted by a licensed racing entity under this part other than the racetrack where live racing is conducted. Also known as an off-track wagering location. On-the-record proceedings—A matter that comes before the Commission or its presiding officer by way of application, complaint, petition, appeal, decision or other proceeding for which a formal record is created and upon which the Commission bases its order and adjudication. Ownership interest—Owning or holding, or being deemed to hold, debt or equity securities or other ownership interest or profit interest. Pari-mutuel wagering—A form of wagering, including manual, electronic, computerized and other forms as approved by the Commission, on the outcome of a horse racing event in which all wagers are pooled and held by a licensed racing entity or secondary pari-mutuel organization for distribution of the total amount, less the deductions authorized by law, to holders of winning tickets. Person—Any natural person, corporation, foundation, organization, business trust, estate, limited liability company, license corporation, trust, partnership, limited liability partnership, association or any other form of legal business entity. Primary market area of a racetrack—The land area included in a circle drawn with the racetrack as the center and a radius of 35 land miles. Principal—Any of the following individuals associated with a partnership, trust association, limited liability company or corporation:

(1) The chairman and each member of the board of directors of a corporation.

(2) Each partner of a partnership and each participating member of a limited liability company.

(3) Each trustee and trust beneficiary of an association.

(4) The president or chief executive officer and each other officer, manager and employee who has policy-making or fiduciary responsibility within the organization.

(5) Each stockholder or other individual who owns, holds or controls, either directly or indirectly, 5% or more of stock or financial interest in the collective organization.

(6) Any employee, agent, guardian, personal representative, lender or holder of indebtedness who has the power to exercise a significant influence over the applicant’s or licensee’s operation. Racetrack enclosure—With respect to each licensed racing entity, shall be deemed to include at least one primary racetrack location at which horse race meetings authorized to be conducted, including the grandstand, frontside and backside facilities and all primary, nonprimary, contiguous and noncontiguous locations of the licensed racing entity which are specifically approved by the Commission for conducting the pari-mutuel system of wagering on the results of horse racing held at the meetings or race meetings conducted by another licensed racing entity or transmitted to these locations by simulcasting. Racing vendor—A person who provides goods or services to a licensed racing entity or other licensed racing entity directly related to racing or the racing product, as determined by the Commission. Secondary market area of a racetrack—The land area included in a circle drawn with the racetrack as the center and a radius of 50 land miles, not including the primary market area of the racetrack. Secondary pari-mutuel organization—SPMO—A licensed entity, other than a licensed racing entity, that offers and accepts pari-mutuel wagers. A person or entity that provides to a licensed racing entity hardware, software, equipment, content or services used to manage, conduct, operate or record pari-mutuel wagering activity by or from residents of this Commonwealth shall not be deemed to be a secondary pari-mutuel organization solely by virtue of the provision of the assets or services. Simulcast—Live video and audio transmission of a race and pari-mutuel information for the purpose of pari-mutuel wagering at locations other than the racetrack where the race is run. Standardbred horse racing or harness racing—A form of horse racing in which the horses participating are attached ‘‘in harness’’ to a sulky or other similar vehicle and race at a specific gait, either a trot or pace. Substantial change in ownership—The sale, pledge, encumbrance, execution of an option agreement or another transfer of 5% or more of the equity securities or other ownership interest of a person whose percentage ownership affects the decisions of the licensed racing entity. Thoroughbred horse racing—The form of horse racing in which each participating horse is mounted by a jockey, is duly registered with The Jockey Club of New York and engages in horse racing on the flat, which may include a steeplechase or hurdle race. Totalisator—A computer system used to pool wagers, record sales, calculate payoffs and display wagering data on a display device that is located at a pari-mutuel facility or nonprimary location.

Chapter 173 Commission Operations and Organization—Temporary Regulations

7 Pa. Code § 173.1 Establishment of the Commission.

(a) Under section 9311 of the act (relating to State Horse Racing Commission), the Commission is established as a Commission within the Department to independently regulate the operations of horse racing, the conduct of pari-mutuel wagering and the promotion and marketing of horse racing in this Commonwealth. The Commission shall consist of nine Commissioners appointed under in accordance with section 9311(b) of the act.

(b) Term of office. A Commissioner’s term of office shall be governed by the provisions of the act.

7 Pa. Code § 173.2 Meetings.

(a) Public sessions. The Commission’s public meetings shall take place at a location designated by the Chairperson and approved by the Commission and shall be conducted in accordance with 65 Pa.C.S. Chapter 7 (relating to Sunshine Act).

(b) Regularly scheduled meetings. The Commission shall meet at least once a month and at other times as the Chairperson deems necessary. Meetings may be cancelled with appropriate public notice.

(c) Participation by means of telephone or video teleconference. A Commissioner may participate in a meeting by means of telephone or video teleconference when it is impractical for the Commissioner to attend the meeting in person.

(d) Record of proceedings. The Commission shall cause to be made and shall keep the minutes of the public meetings of the Commission. The Commission shall also make a verbatim transcript of those proceedings which will be the property of the Commission and will be retained for a period to be determined by the Commission in its records retention policy. Copies of the verbatim transcript may be obtained directly from the court reporting service.

7 Pa. Code § 173.3 Participation at meetings and voting.

(a) Majority vote. Except as provided in subsection (b), an action by the Commission to suspend, revoke, or to refuse to renew any license previously issued by the Commission or its staff, to impose a fine or penalty for violation of the rules of racing or to take any other administrative action as deemed necessary and appropriate by the Commission will require a majority vote of all the Commissioners.

(b) Qualified majority vote.

(1) Thoroughbred matters. A qualified majority vote consisting of the two Commissioners appointed under section 9311(b)(1)(i) and (ii) of the act (relating to State Horse Racing Commission) and as many votes of the remaining voting Commissioners as necessary to constitute a majority of those Commissioners voting shall be required to:

(i) Approve, issue, deny or condition a license to conduct Thoroughbred horse race meetings under section 9318 of the act (relating to licenses for horse race meetings).

(ii) Adopt regulations governing Thoroughbred horse race meetings under this section.

(iii) Employ a director of the Bureau of Thoroughbred Horse Racing under section 9311(d)(2) of the act.

(2) Standardbred matters. A qualified majority vote consisting of the two Commissioners appointed under section 9311(b)(1)(iii) and (iv) of the act and as many votes of the remaining voting Commissioners as necessary to constitute a majority of those Commissioners voting shall be required to:

(i) Approve, issue, deny or condition a license to conduct Standardbred horse race meetings under section 9318 of the act.

(ii) Adopt rules and regulations governing Standardbred horse race meetings under this section.

(iii) Employ a director of the Bureau of Standardbred Horse Racing under section 9311(d)(2) of the act.

(3) Commissioners appointed under section 9311(b)(1)(i) and (ii) of the act shall be disqualified and must abstain from voting on any Standardbred matter under paragraph (2).

(4) Commissioners appointed under section 9311(b)(1)(iii) and (iv) of the act shall be disqualified and must abstain from voting on any Thoroughbred matter under paragraph (1).

(c) Participation. A Commissioner may not participate in a hearing, proceeding or other matter in which the Commissioner or the immediate family thereof, has a financial interest in the subject matter of the hearing or proceeding or other interest that could be substantially affected by the outcome of the hearing or proceeding, without first fully disclosing the nature of the interest to the Commission and other persons participating in the hearing or proceeding.

(d) Disqualifying interest. If a Commissioner has a disqualifying interest in a voting matter, the Commissioner shall disclose the nature of the disqualifying interest, disqualify himself or herself and abstain from voting in a proceeding in which the Commissioner’s objectivity, impartiality, integrity or independence of judgment may be reasonably questioned, including instances where the Commissioner knows that the Commissioner possesses a substantial financial interest in the subject matter of the proceeding or an interest that could be substantially affected by the outcome of the proceeding.

(e) Commissioner abstention. When disqualified, the Commissioner’s abstention from voting will apply only to the singular voting matter that led to the disqualification and not apply to other matters under consideration by the Commission for which the Commissioner is otherwise qualified.

7 Pa. Code § 173.4 Delegation of powers.

(a) The Commission may, by simple majority vote and consistent with the act and this part, delegate its authority to perform any of its administrative or adjudicatory functions to a Commissioner, a bureau director, a presiding officer or any other member of the Commission’s staff.

(b) A delegation of Commission authority may be effectuated by promulgation of a regulation or the adoption of an order or a resolution at a public meeting of the Commission. The regulation, order or resolution will specify:

(1) The specific authority delegated.

(2) The Commissioner, bureau director or Commission staff member to whom the authority is delegated.

(3) Limitations or conditions imposed on the authority delegated.

(c) Delegations of authority made under this section will remain in effect indefinitely unless otherwise specified in the implementing regulation, order or resolution.

(d) A delegation of authority adopted by the Commission may be modified or rescinded by the Commission through promulgation of a regulation or the adoption of a subsequent order or resolution at a public meeting of the Commission by a simple majority vote.

7 Pa. Code § 173.5 Commission docket.

(a) Administrative Docket. The Commission shall designate an Administrative Clerk who shall:

(1) Maintain a complete docket of administrative orders, resolutions or directives issued by the Commission.

(2) Maintain all formal records, documents, annual reports and record of meetings proceedings, including verbatim transcripts of the Commission’s public meetings as specifically set forth in section 9311 of the act and § 173.2 (relating to meetings).

(b) Public Records. By October 1 of each year, the Commission shall post on its internet web site a final report of all the itemized expenses, for the preceding fiscal year, of employees and Commissioners that were or are to be reimbursed from the State Racing Fund. The list shall identify the nature of the expense, the employee, member or the agency and employee of the agency to which an expense is attributable. Information posted on the internet web site under this subsection shall be considered financial records for the purposes of and subject to redaction under the Right-to-Know Law (65 P.S. § § 67.101—67.3104).

(1) A request for access to public information will be addressed in accordance with the Right-to-Know Law and in coordination with the Department’s Right to Know Officer.

(2) Nonconfidential information in formal records will be available for inspection during normal Commission business hours at the Commission’s executive offices.

(c) Records Retention Policy. The Commission may adopt a records retention policy consistent with the record retention policies of the Commonwealth, the Department or the Commission may establish and publish its own retention policy in the Pennsylvania Bulletin.

7 Pa. Code § 173.6 Commission office hours.

The Commission office will be open from 8 a.m. to 4 p.m. on business days except Saturdays, Sundays, legal holidays and Commonwealth office closures declared by the Governor, unless otherwise directed by the Commission.

7 Pa. Code § 173.7 Contact information and public information.

Requests for Commission information, documents and administrative matters may be directed to:

Administrative Clerk State Horse Racing Commission Department of Agriculture Building Executive Offices—Room 301 2301 North Cameron Street Harrisburg, PA 17110 (717) 787-5196 horseracing@pa.gov

7 Pa. Code § 173.8 Confidential information.

Under section 9311(g)(1) of act (relating to State Horse Racing Commission), the following documents and records are designated as confidential.

(1) Information submitted by an applicant or licensee relating to applications, renewals or both, to conduct horse race meetings under sections 9318, 9323 and 9353 of the act (relating to licenses for horse race meetings; occupational licenses for individuals; and license application procedures), including but not limited to electronic wagering applications/petitions, SPMO, Racing Vendor, totalisator applications or any other application or petition designated by the Commission and other information obtained by the Commission as part of a background or other investigation from any source shall be confidential and withheld from public disclosure:

(i) All information relating to character, honesty and integrity, including family, habits, reputation, history of criminal activity, business activities, financial affairs and business, professional and personal associations submitted under sections 9318, 9323 or 9353 of the act or otherwise obtained by the Commission.

(ii) Nonpublic personal information, including home addresses, telephone numbers and other personal contact information, Social Security numbers, educational records, memberships, medical records, tax returns and declarations, actual or proposed compensation, financial account records, creditworthiness or financial condition relating to an applicant, licensee or permittee or the immediate family thereof.

(iii) Information relating to proprietary information, trade secrets, patents or exclusive licenses, architectural and engineering plans and information relating to competitive marketing materials and strategies, which may include customer-identifying information or customer prospects for services subject to competition.

(iv) Security information, including risk prevention plans, detection and countermeasures, location of count rooms, emergency management plans, security and surveillance plans, equipment and usage protocols and theft and fraud prevention plans and countermeasures.

(v) Information with respect to which there is a reasonable possibility that public release or inspection of the information would constitute an unwarranted invasion into personal privacy of any individual as determined by the Commission.

(vi) Records of an applicant or licensee not required to be filed with the Securities and Exchange Commission by issuers that either have securities registered under section 12 of the Securities Exchange Act of 1934 (48 Stat. 881, 15 U.S.C. § 78l) or are required to file reports under section 15(d) of the Securities Exchange Act of 1934 (48 Stat. 881, 15 U.S.C. § 780).

(vii) Records considered nonpublic matters or information by the Securities and Exchange Commission as provided by 17 CFR 200.80 (relating to Securities and Exchange Commission records and information).

(viii) Financial information or records submitted by the applicant or licensee.

(2) No claim of confidentiality shall be made regarding any criminal history record information that is available to the public under 18 Pa.C.S. § 9121(b) (relating to general regulations).

(3) No claim of confidentiality shall be made regarding any record in possession of the Commission that is otherwise publicly available from a Commonwealth agency, local agency or another jurisdiction.

(4) The information made confidential under this section shall be withheld from public disclosure in whole or in part, except that any confidential information may be released upon the order of a court of competent jurisdiction or, with the approval of the Attorney General, to a duly authorized law enforcement agency or shall be released to the public, in whole or in part, to the extent that the release is requested by an applicant or licensee and does not otherwise contain confidential information about another person.

(5) The Commission may seek a voluntary waiver of confidentiality from an applicant or licensee but may not require any applicant or licensee to waive any confidentiality provided for in this subsection as a condition for the approval of an application, renewal of a license or any other action of the Commission.

(6) No current or former member and no current or former employee, agent or independent contractor of the Commission, who has obtained confidential information in the performance of duties under the act shall intentionally and publicly disclose the information to any person, knowing that the information being disclosed is confidential under this policy, unless the person is authorized by law to receive it.

This section cited in 7 Pa. Code § 179.15 (relating to motions to protect confidential information); and 7 Pa. Code § 179.53 (relating to Commission hearings).

7 Pa. Code § 173.9 Annual report.

The Commission, through the Department, shall issue its annual report in accordance with the provisions of the act. Copies of the annual report shall be posted on the Commission’s web site or available for public inspection during normal office hours at the Commission’s executive offices.

7 Pa. Code § 173.10 Mechanical and electronic records.

The Commission may prohibit the use of mechanical and electronic recording or video recording devices at its public meetings if the use of the devices will disrupt or otherwise interfere with the orderly conduct of the proceedings.

7 Pa. Code § 173.11 Adoption of National standards.

Under section 9312(6) of the act (relating to additional powers of commission), the Commission may adopt by order and publication in the Pennsylvania Bulletin, National, State or regional standards from other racing jurisdictions or the Association of Racing Commissioners International, the USTA or similar Commission-approved trade organizations to establish:

(1) Uniform drug threshold levels.

(2) Consistent sanctions for drug testing violations.

(3) A system to monitor advanced deposit wagering and online pari-mutuel wagering company activities.

7 Pa. Code § 173.12 Reporting violations to the Commission.

A person licensed by the Commission and properly brought before it, in the course of an investigative, adjudicative or rulemaking proceeding, who may be in possession of information regarding a solicitation, an attempt or a completed act violating the rules of racing, shall promptly report the information to the applicable Board of Stewards, Board of Judges or the Commission. Failure to report the information may result in the imposition of disciplinary action by the Commission.

Chapter 175 Bureau of Standardbred Horse Racing—Temporary Regulations

7 Pa. Code § 175.1 Director of the Bureau of Standardbred Horse Racing.

The Commission shall assign the Bureau Director duties and responsibilities as required to fulfill the Commission’s statutory obligations under the act specifically related to the Standardbred industry. The Commission may, by order, delegate certain duties and responsibilities to the Bureau Director as the Commission determines necessary to discharge the day-to-day licensing, enforcement and administrative operations of the Commission.

7 Pa. Code § 175.2 Authority of the Bureau Director.

(a) The Bureau Director shall have authority to enter and issue the orders of the Commission and to certify copies of papers and documents which are part of the files or records of the Commission.

(b) The Bureau Director, in addition to the powers set forth in this part, shall be responsible for the efficient and orderly discharge of administrative matters including the keeping of Commission records, annual reports, minutes of Commission meetings and the keeping of the dockets, files and other records of the Commission.

7 Pa. Code § 175.3 Powers and duties of the Bureau Director.

(a) The Bureau Director shall have the following powers and duties:

(1) Evaluate, review and issue all applicants and applications for a Standardbred horse racing license in accordance with the standards set forth in the act. The Bureau Director shall be prohibited from disclosing any portion of an investigation or evaluation of an applicant to a Commissioner prior to the decision relating to the applicant’s suitability for licensure if that determination is to be rendered by the Commission.

(2) Inspect and monitor licensees and other persons regulated under this part for noncriminal violations, including potential violations of racing referred to the Bureau Director and the bureau by the Commission or any other person.

(3) Monitor horse racing operations and racing activities by all licensees to ensure compliance with the act and these regulations.

(4) Inspect, review, examine and investigate licensees, including the physical spaces and facilities in which licensees engage in racing activities, including stalls, barns, administrative offices, front-side, and back-side areas of the licensed racing facility and racetrack enclosure.

(i) The Bureau Director’s powers and duties may include the review and reproduction of any document or record.

(ii) Examinations may include the review of accounting, administrative and financial records, management control systems, procedures and other records.

(5) Refer possible criminal violations to law enforcement entities.

(6) Cooperate in the investigation and prosecution of any criminal violation by criminal law enforcement entities.

(7) Begin any racing related investigation as deemed necessary and appropriate under the general jurisdiction of the Commission.

(8) Implement, with the approval of the Commission and publication in the Pennsylvania Bulletin, a complete racing penalty matrix to be utilized by the Bureau Director, the Board of Judges or the Commission for violations of the rules of racing and administrative regulations.

(b) Upon the Bureau Director’s own motion or upon written request of a licensee, the Bureau Director may review, for consistency and appropriateness, any administrative penalty issued by the Board of Judges. Based upon the Bureau Director’s review and analysis of the underlying matter, the Bureau Director may enforce the consistency of penalties imposed by the Board of Judges, up to and including, the dismissal of the underlying ruling, or increasing or decreasing the imposed penalty.

7 Pa. Code § 175.4 Subpoena powers.

Under section 9311(d)(3) of the act (relating to State Horse Racing Commission), the Bureau Director or designee, shall have the authority to issue administrative or documentary subpoenas to compel the attendance of witnesses and production of all relevant and material reports, books, papers, documents, correspondence and other evidence related to regulation and enforcement of horse racing matters under the act and these regulations. The procedures for the issuance and enforcement of subpoena powers are governed by Chapter 179 (relating to Rules of Administrative Practice and Procedure—temporary regulations).

7 Pa. Code § 175.5 Date of filing appeals.

Appeals from the actions or rulings of the Board of Judges shall be prepared and filed with the Bureau Director in accordance the provisions set forth in § § 179.3 and 179.7 (relating to filings and appeals; and request for hearing by applicant or licensee). The date of filing of an appeal requesting a hearing shall be the date the written petition or request was physically received and date-stamped in the Executive Offices of the Commission.

7 Pa. Code § 175.6 Contents of petition for stay.

(a) In addition to the provisions of § 179.7 (relating to request for hearing by applicant or licensee), a party seeking a stay of an underlying ruling or determination by the Board of Judges or other Commission staff shall comply with the following:

(1) A petition for a stay must be in writing, contain numbered paragraphs and must plead facts with particularity and be supported by affidavits and specific evidence of those facts.

(2) A petition for stay must state with particularity the citations of legal authority the petitioner believes form the basis for the grant of a stay.

(b) A petition for stay may be summarily denied by the Bureau Director for failure to comply with the following reasons:

(1) Lack of particularity of the facts pleaded.

(2) Lack of particularity or inapplicability of the legal authority cited as the basis for the grant of the supersedeas.

(3) Failure to provide an affidavit supporting the facts alleged in the petition.

(4) Failure to state grounds sufficient for the granting of a supersedeas.

This section cited in 7 Pa. Code § 179.7 (relating to request for hearing by applicant or licensee); and 7 Pa. Code § 179.42 (relating to request for stay).

7 Pa. Code § 175.7 Circumstances affecting grant or denial.

(a) The Bureau Director, in granting or denying a stay, will be guided by prevailing case law and precedent. The factors to be weighed include the following:

(1) The applicant is likely to prevail at the ultimate hearing on the merits;

(2) The applicant will sustain irreparable harm without the stay;

(3) The issuance of the stay will not substantially harm other interested parties in the proceedings.

(4) The issuance of a stay will not adversely affect the public interest.

(b) A stay will not be issued if injury to the health, safety and welfare of a horse, licensee or other racing participant exists or is threatened during the period when the stay would be in effect.

(c) In granting a stay, the Bureau Director may impose specific conditions in the stay that are reasonably warranted by the circumstances.

7 Pa. Code § 175.8 Waiver of hearings.

A hearing need not be held if any of the following occurs:

(1) The appellant waives the right to a hearing and elects to proceed under the alternative procedures governing documentary hearings as set forth in Subchapter E (relating to documentary hearings).

(2) The appellant enters into a negotiated resolution of the underlying ruling of the Board of Judges with the Bureau Director.

(3) The Bureau Director determines, after reviewing the appeal and/or stay documents, that there are no material facts in dispute.

(4) Subsections (a)—(c) supersede 1 Pa. Code § 35.101 (relating to waiver of hearing).

Chapter 177 Bureau of Thoroughbred Horse Racing—Temporary Regu- lations

7 Pa. Code § 177.1 Director of the Bureau of Thoroughbred Horse Racing.

The Commission shall assign the Bureau Director duties and responsibilities as required to fulfill the Commission’s statutory obligations under the act specifically related to the Thoroughbred industry. The Commission may, by order, delegate certain duties and responsibilities to the Bureau Director as the Commission determines necessary to discharge the day-to-day licensing, enforcement and administrative operations of the Commission.

7 Pa. Code § 177.2 Authority of the Bureau Director.

(a) The Bureau Director shall have authority to enter and issue the orders of the Commission and to certify copies of papers and documents which are part of the files or records of the Commission.

7 Pa. Code § 177.3 Powers and duties of the Bureau Director.

(a) The Bureau Director shall have the following powers and duties:

(1) Evaluate, review and issue all applicants and applications for a Thoroughbred horse racing license in accordance with the standards set forth in the act. The Bureau Director shall be prohibited from disclosing any portion of an investigation or evaluation of an applicant to a Commissioner prior to the decision relating to the applicant’s suitability for licensure if that determination is to be rendered the Commission.

(2) Inspect and monitor licensees and other persons regulated under this part for noncriminal violations, including potential violations of racing referred to the bureau by the Commission or any other person.

(3) Monitor horse racing operations and racing activities by all licensees to ensure compliance with the act and these regulations.

(4) Inspect, review, examine and investigate licensees, including the physical spaces and facilities in which licensees engages in racing activities, including stalls, barns, administrative offices, front-side and back-side areas of the licensed racing facility and racetrack enclosure.

(i) The Bureau Director’s powers and duties may include the review and reproduction of any document or record.

(ii) Examinations may include the review of accounting, administrative and financial records, management control systems, procedures and other records.

(5) Refer possible criminal violations to law enforcement entities.

(6) Cooperate in the investigation and prosecution of any criminal violation by criminal law enforcement entities.

(7) Begin any racing related investigation as deemed necessary and appropriate under the general jurisdiction of the Commission.

(8) Implement, with the approval of the Commission and publication in the Pennsylvania Bulletin, a complete racing penalty matrix to be utilized by the Director, the Board of Judges or the Commission for violations of the rules of racing and administrative regulations.

(b) Upon the Bureau Director’s own motion or upon written request of a licensee, the Bureau Director may review, for consistency and appropriateness, any administrative penalty issued by the Board of Stewards. Based upon the Bureau Director’s review and analysis of the underlying matter, the Bureau Director may enforce the consistency of penalties imposed by the Board of Stewards, up to and including, the dismissal of the underlying ruling, or increasing or decreasing the imposed penalty.

7 Pa. Code § 177.4 Subpoena powers.

7 Pa. Code § 177.5 Date of filing appeals.

Appeals from the actions or rulings of the Board of Stewards shall be prepared and filed with the Bureau Director in accordance the provisions set forth in § § 179.3 and 179.7 (relating to filings and appeals; and request for hearing by applicant or licensee). The date of filing of an appeal or request for hearing shall be the date the written petition or request was physically received and date-stamped in the Executive Offices of the Commission.

7 Pa. Code § 177.6 Contents of petition for stay.

(a) In addition to the provisions of § 179.7 (relating to request for hearing by applicant or licensee), a party seeking a stay of an underlying ruling or determination by the Board of Stewards or other Commission staff shall comply with the following:

(1) A petition for a stay must be in writing, contain numbered paragraphs and must plead facts with particularity and be supported by affidavits and specific evidence of those facts.

(2) A petition for stay must state with particularity the citations of legal authority the petitioner believes form the basis for the grant of a stay.

(b) A petition for stay may be summarily denied by the Bureau Director for failure to comply with the following reasons:

(1) Lack of particularity of the facts pleaded.

(2) Lack of particularity or inapplicability of the legal authority cited as the basis for the grant of the supersedeas.

(3) Failure to provide an affidavit supporting the facts alleged in the petition.

(4) Failure to state grounds sufficient for the granting of a supersedeas.

This section cited in 7 Pa. Code § 179.7 (relating to request for hearing by applicant or licensee); and 7 Pa. Code § 179.42 (relating to request for stay).

7 Pa. Code § 177.7 Circumstances affecting grant or denial.

(a) The Bureau Director, in granting or denying a stay, will be guided by prevailing case law and precedent. The factors to be weighed include the following:

(1) The applicant is likely to prevail at the ultimate hearing on the merits;

(2) The applicant will sustain irreparable harm without the stay;

(3) The issuance of the stay will not substantially harm other interested parties in the proceedings;

(4) The issuance of a stay will not adversely affect the public interest.

(b) A stay will not be issued if injury to the health, safety and welfare of a horse, licensee or other racing participant exists or is threatened during the period when the stay would be in effect.

(c) In granting a stay, the Bureau Director may impose specific conditions in the stay that are reasonably warranted by the circumstances.

7 Pa. Code § 177.8 Waiver of hearings.

A hearing need not be held if any of the following occurs:

(1) The appellant waives the right to a hearing and elects to proceed under the alternative procedures governing documentary hearings set forth in Subchapter E (relating to documentary hearings).

(2) The appellant enters in a negotiated resolution of the underlying ruling of the Board of Stewards with the Bureau Director.

(3) The Bureau Director determines, after reviewing the appeal and/or stay documents, that there are no material facts in dispute.

(4) Subsections (a)—(c) supersede 1 Pa. Code § 35.101 (relating to waiver of hearing).

Subpart B Licensing

Chapter 181 Licensed Racing Entities—Temporary Regulations

7 Pa. Code § 181.1 General provisions.

(a) Purpose. The purpose of this part is to set forth the requirements for individuals seeking to obtain a license to conduct horse race meetings, describe the duties, responsibilities, facilities, equipment and operations of the license racing entities, consistent with the provisions of section 9318 of the act (relating to licenses for horse race meetings).

(b) Knowledge of rules. All licensed racing entities, their directors, officers, officials and employees are responsible for the conduct of their horse race meeting, including but not limited to all live racing, simulcasted racing and pari-mutuel wagering activities within their facilities and racetrack enclosure.

(c) General duty. All licensed racing entities, their directors, officers, officials and employees shall be familiar with, abide by and enforce the provisions of the act and the rules, regulations and orders of the Commission or the Board of Judges and Board of Stewards.

(d) Exemption. A licensed racing entity may request an exemption from a requirement in this chapter to utilize new technology or innovative construction or design of the racetrack facilities. The Commission may grant an exemption if the Commission determines that:

(1) the licensed racing entity’s proposal substantially satisfies the purpose of the requirement; and

(2) the exemption is in the best interests of the racing industry, the citizens of this Commonwealth and health, safety and welfare of horses.

7 Pa. Code § 181.2 Number of licensed racing entities.

(a) Standardbred horse racing. No more than five persons shall be licensed to conduct a horse race meeting. No person licensed under this chapter to conduct Standardbred horse racing with pari-mutuel wagering shall be licensed to conduct Thoroughbred horse racing with pari-mutuel wagering.

(b) Thoroughbred horse racing. No more than six persons shall be licensed by the Commission to conduct a horse race meeting. No person licensed under this chapter to conduct Thoroughbred horse racing with pari-mutuel wagering shall be licensed to conduct Standardbred horse racing with pari-mutuel wagering.

7 Pa. Code § 181.3 Race meeting license required.

In accordance with the provisions of the act, no person shall conduct or operate a horse race meet with pari-mutuel wagering within this Commonwealth without first obtaining the appropriate license from the Commission. The purchase of a licensed racing entity, the change of ownership in the licensed racing entity or a transfer of a horse race meeting license shall be reviewed and approved by the Commission in accordance with the provisions of the Racing Act and these regulations.

7 Pa. Code § 181.4 Race meeting application and procedures.

(a) Applications to conduct horse race meetings shall be in the form prescribed by the Commission and must contain information as required by the provisions of the Racing Act or as required by the Commission. The Commission may require the following forms or documentation:

(1) Entity Application and Organizational Chart;

(2) Multi-Jurisdictional History Disclosure Forms for applicable Directors, Officers and Principals;

(3) Breed specific occupational license applications;

(4) Recent fingerprints; or

(5) Any other applicable information upon which to make a suitability determination.

(b) A license to conduct horse race meetings shall be issued for a period of 3 years.

(c) A licensed racing entity shall have the privilege to conduct a horse race meeting at which pari-mutuel wagering is permitted. A license to conduct a horse race meeting shall not be a property right and may not be used as collateral or be encumbered.

(d) The Commission may revoke or suspend the license of a licensed racing entity if the Commission finds that the licensed racing entity, or its directors, owners, officers, managers or agents, have not complied with the act and the regulations promulgated thereunder.

(e) A licensed racing entity may not sell, change ownership or transfer a license without the specific prior approval of the Commission as set forth in section 9357 of the act (relating to transfers of licenses).

7 Pa. Code § 181.5 Conditions for approval.

Each horse race meeting license, if granted, shall be issued and remain in effect so long as the licensed racing entity, its subsidiaries, affiliates, agents or vendors comply with each condition, rule, regulation or order of the Commission and the provisions of the act, including the following conditions:

(1) A horse race meeting at which pari-mutuel wagering and racing related activities is conducted shall be regulated by the Commission.

(2) The conduct of pari-mutuel wagering and racing related activities shall also be regulated by the Department of Revenue.

(3) The licensed racing entity shall print in its racing programs the procedure for filing a complaint with the Commission.

7 Pa. Code § 181.6 Commission action on horse race meeting licenses.

The following shall apply:

(1) The Commission shall be prohibited from issuing a license to conduct a horse race meeting at which pari-mutuel wagering is permitted to an individual or applicant or an owner, officer, director or manager of the applicant who has been convicted of:

(i) A felony in any jurisdiction.

(ii) A misdemeanor gambling offense in any jurisdiction, unless 15 years has elapsed from the date of conviction.

(iii) Fraud or misrepresentation in any jurisdiction related to horse racing or horse breeding, unless 15 years has elapsed from the date of conviction.

(iv) An offense under 18 Pa.C.S. Subchapter B, § § 5531—5561 (relating to cruelty to animals) (as amended).

(v) An offense related to fixing or rigging horse races, including 18 Pa.C.S. § 4109 (relating to rigging publicly exhibited contest) or § 7102 (relating to administering drugs to race horses), or any similar crime in another jurisdiction, unless the conviction has been overturned on appeal under the laws of the jurisdiction of the original finding or a pardon has been issued.

(2) Following expiration of any period applicable to an applicant under paragraph (1)(ii) or (iii), in determining whether to issue a horse racing license to an applicant, the Commission shall consider the following factors:

(i) The individual or a principal of the applicant’s position with the applicant.

(ii) The nature and seriousness of the offense or conduct.

(iii) The circumstances under which the offense or conduct occurred.

(iv) The age of the applicant when the offense or conduct occurred.

(v) Whether the offense or conduct was an isolated or a repeated incident.

(vi) Any evidence of rehabilitation, including good conduct in the community, counseling or psychiatric treatment received and the recommendations of persons who have substantial contact with the applicant.

(3) If, in the judgment of the Commission, the applicant has demonstrated by clear and convincing evidence that the participation of the applicant in horse racing or related activities is not:

(i) Inconsistent with the public interest or best interests of horse racing;

(ii) Interfering with the effective regulation of horse racing; or

(iii) Creating or enhancing the danger of unsuitable, unfair or illegal practices, methods or activities in the conduct of horse racing.

7 Pa. Code § 181.7 Denial, suspension or revocation.

(a) The Commission may deny an application for a license or revoke, suspend or refuse to renew the license of any applicant or licensed racing entity, if the Commission finds by a preponderance of the evidence that:

(1) The applicant or licensed racing entity, or any of its owners, officers, director, managers, employees or agents:

(i) Has not complied with the conditions, rules, regulations and provisions of this chapter and that it would be in the public interest, convenience or necessity to deny, revoke, suspend or not renew the license.

(ii) Has been convicted of a violation or attempt to violate a horse racing law, rule or regulation of a horse racing jurisdiction.

(iii) Has furnished the Commission with false or misleading information relating to the application or license renewal.

(iv) Has failed to provide all requested documentation relating to an application or license renewal, change of ownership or transfer of license.

(v) Has been convicted of a crime involving moral turpitude.

(vi) Has been convicted of a misdemeanor gambling offense in any jurisdiction.

(vii) Has been convicted in any jurisdiction of fraud or misrepresentation related to horse racing or horse breeding.

(viii) Has engaged in or continues to engage in unlicensed or unlawful pari-mutuel wagering activities in or outside of this Commonwealth which violates the laws of the Commonwealth or the rules of racing.

(2) The applicant or licensed racing entity does not have the use of a racetrack or racetrack enclosure in accordance with the provisions of 4 Pa.C.S. Part II (relating to gaming).

(3) The licensed racing entity has commingled horsemen’s organization funds in violation of section 9345(c) (relating to commingling) or has refused to place on deposit a letter of credit under section 9346 of the act (relating to standardbred horse racing purse money).

(4) The Commission determines that the licensed racing entity has failed to properly maintain its racetrack and racetrack enclosure in good condition under this chapter or to provide adequate capital improvements to the racetrack and racetrack enclosure as required under this chapter and 4 Pa.C.S. § 1404 (relating to distributions from licensee’s revenue receipts).

(5) The applicant or licensed racing entity, its owners, officers, directors, mangers, employees or agents have been convicted in any jurisdiction of an offense related to fixing or rigging horse races, including 18 Pa.C.S. § 4109 (relating to rigging publicly exhibited contest) or § 7102 (relating to administering drugs to race horses), or any similar crime in another jurisdiction, unless the conviction has been overturned on appeal under the laws of the jurisdiction of the original finding or a pardon has been issued.

(6) The experience, character or general fitness of an officer, director, principle or employee of the applicant is that the participation of that person in Standardbred or Thoroughbred horse racing and the related activities would be inconsistent with the public interest, convenience or necessity or with the best interest of racing generally.

(b) If a revocation or failure to renew a license under this chapter occurs, the licensee’s authorization to conduct previously approved activity shall immediately cease, subject to the licensee’s hearing rights as set forth in the Commission’s regulations. In the case of a suspension, the licensee’s authorization to conduct previously approved activity shall immediately cease until the Commission has notified the licensee that the suspension is no longer in effect. After request for a hearing by a licensee, the Commission may grant a supersedeas, pending the final determination of the suspension.

(c) A horse race meeting license shall be renewed every 3 years upon application and, shall not be transferred except as provided for under section 9357 of the act (relating to transfers of licenses). Renewals of horse race meeting licenses shall not be granted automatically.

7 Pa. Code § 181.8 Racing days.

(a) The Commission, consistent with the provisions of the Racing Act, its regulations and 4 Pa.C.S. § 1303 (relating to additional Category 1 slot machine license requirements), shall approve the specific number of race days requested by the licensed racing entity for the race meet. The required racing days under this section and 4 Pa.C.S. § 1303(a)(2) and (b) may be waived or modified by the Commission if the waiver or modification has been agreed to by the horsemen’s organization and the licensed racing entity at the racetrack where the racing days are to be scheduled or raced.

(b) The provisions of 4 Pa.C.S. § 1303(d) shall not apply if the reason for noncompliance with that section by a licensed racing entity is the cancellation of racing days due to the Commission’s inability to properly regulate and oversee the conduct of horse racing in this Commonwealth due to inadequate funding.

(c) The Commission shall submit to the Secretary of Revenue the approved number of racing days for each licensed racing entity, including the following information:

(1) The names and addresses of the licensed racing entity;

(2) The names and addresses of the owners, officers and general managers of the licensed racing entity; and

(3) Any other information the Commission deems appropriate.

(d) If a racing day is canceled by a licensed racing entity for reasons beyond the licensed racing entity’s control, the Commission shall grant the licensed racing entity the right to conduct that racing day in the same or the next ensuing calendar year, if schedules permit. The Standardbred or Thoroughbred Horse Racing Bureau Directors, after consultation with the licensed racing entity and the horsemen’s organization at the racetrack, may also cancel a race if it is determined that fewer than six horses have entered the race.

7 Pa. Code § 181.9 Electronic wagering by licensed racing entity.

(a) New Application. In accordance with the applicable provisions of Subchapter C of the act, a license racing entity seeking to offer all forms of electronic wagering, including advanced deposit wagering to individuals within this Commonwealth must apply to the Commission for the applicable license by submitting the following:

(1) A completed electronic wagering license application, in the form approved by the Commission.

(2) A Petition, in numbered paragraphs, containing the requested information as set forth in sections 9353 and 9355 of the act and setting forth any other information supporting its petition and request for an electronic wagering license.

(3) Applicable licensing costs and fees as set forth in section 9352 (relating to licensing costs and fees) of the act.

(b) Renewal Application/Petition. An electronic wagering license issued to a licensed racing entity shall be renewed annually. An electronic wagering renewal application and renewal petition shall be submitted on or before 120 days before the expiration of the license term along with the applicable costs and fees as set forth in section 9352 of the act.

(1) The renewal application and petition, with the approval of the Commission or its designated staff may be limited to information updated or changed from the previous application or renewal.

(c) A licensed racing entity seeking to utilize a racing vendor to operate its advanced deposit wagering system shall submit the appropriate notification and petition for review and approval by the Commission. The racing vendor entity shall simultaneously submit an application to operate the advanced deposit wagering system on behalf of the licensed racing entity under the provisions of Subchapter C of the act.

7 Pa. Code § 181.10 Gratuities prohibited.

No director, owner, officer, manager or employee of an applicant or licensed racing entity or their immediate family shall accept gifts, gratuities or anything of value from horse breeders, owners, trainers or other individuals in connection with racing related activities at any facility within this Commonwealth.

7 Pa. Code § 181.11 Possession of firearms.

No person, licensee, employee of a licensed racing entity, a secondary pari-mutuel organization, or their racing vendors and concessionaires shall possess a firearm within the racetrack enclosure unless that person has obtained a valid permit for the firearm from an appropriate criminal law enforcement authority and the firearm has been registered in writing with the Commission’s security office at the racetrack and the director of security of the licensed racing entity.

7 Pa. Code § 181.12 Racetrack financial responsibility.

(a) Approval of a race meeting by the Commission does not establish the Commission as the insurer or guarantor of the safety of any participant or the physical condition of the racetrack facilities or the purse of any race.

(b) A licensed racing entity shall agree to indemnify, save and hold harmless the Commission from any liability, if any, arising from unsafe conditions of the racetrack grounds or in the default in payment of purses.

(c) If requested, a licensed racing entity shall provide to the Commission a copy of a certificate of liability insurance.

(d) A licensed racing entity and its managing officers shall ensure that all purse moneys, disbursements and appropriate nomination race moneys are available to make timely distribution in accordance with the act, Commission rules, licensed racing entity rules and race conditions.

(e) In accordance with section 9334 of the act (relating to State Racing Fund and tax rate) and the laws of the Commonwealth, a licensed racing entity and its managing officers shall pay to the Department of Revenue all necessary and proper taxes due. Upon request by the Commission, the license racing entity shall provide copies of the records of the payments.

7 Pa. Code § 181.13 Books and records of pari-mutuel wagering.

(a) Every licensed racing entity that conducts a horse race meeting at which pari-mutuel wagering is authorized shall maintain books and records that clearly show, by separate record, the total amount of money contributed to every pari-mutuel pool. The Commission and the Department of Revenue or their authorized representatives shall have access to examine all books and records and ascertain whether the proper amount due to the Commonwealth is being paid by the licensed racing entity.

(b) The Commission may require periodic audits to determine that the licensed racing entity has funds available to meet those distributions for the purposes required by the act, Commission rules, the conditions of the race meeting and the obligations incurred in the daily operations of the race meeting. In its audit reports to the Commission, the licensed racing entity shall include file a copy of all tax returns, a balance sheet and a profit and loss statement. The confidentiality of the audits and reports may be the subject of a request for confidentiality as set forth in the Commission’s regulations.

(c) The Commission may request that a licensed racing entity file an unaudited balance sheet and profit and loss statement. Those submissions must be in a format which conforms with the requirements set out in the licensed racing entity’s license application.

(d) An association shall file an annual audit with the Commission within the time period prescribed by the Commission. The Commission, upon good cause shown, may extend the time for filing. These annual audit reports shall include all operations for the calendar or fiscal year of the licensed racing entity and shall be:

(1) Verified under oath by at least two of the principal officers of the association.

(2) Submitted by persons preparing the reports.

(3) Separate records of each bank reconciliation must be maintained by the association in a manner which will clearly indicate all reconciling items between the balance per the bank statement and the balance per the books of the association at the date of reconciliation.

7 Pa. Code § 181.14 Bond or letter of credit requirements.

If applicable or required under section 9345 or section 9346 of the act (relating to commingling; and Standardbred horse racing purse money), a licensed racing entity shall file with the Commission a bond or letter of credit payable to the Commission for an amount determined by the provisions of the act.

7 Pa. Code § 181.15 Filing of certain agreements with Commission.

At the request of the Commission, a licensed racing entity shall promptly file with the Commission any purchase or change of ownership agreements, live racing agreements, or SPMO, racing vendor agreements or any other contract or agreement as the Commission may determine. In the event approval of the agreement is not obtained by the licensed racing entity prior to its execution, the agreement shall contain an express provision which states that the agreement will not be operative unless approved by the Commission.

7 Pa. Code § 181.16 Horse entries prohibited.

No director, officer, principle or employee of the licensed racing entity engaged in the active management of the racetrack facility or member of that person’s immediate family, shall race or permit or cause to be raced any horse in which that person has either direct or indirect interest, at any meeting conducted by that licensed racing entity.

7 Pa. Code § 181.17 Fines and penalties.

(a) General rule. The Commission may impose administrative fines upon any licensed or unlicensed racing entity, association or person participating in horse racing at which pari-mutuel wagering is conducted, other than as a patron, for a violation of any provision of this chapter or rule or regulation of the Commission, not exceeding $10,000 for each violation. Each day may be considered a separate violation. Fines shall be deposited in the State Racing Fund and may be appropriated for the enforcement of this chapter.

(b) Interests.

(1) No owner, officer or employee of a licensed racing entity or their immediate family shall have any direct or indirect interest in a race horse that is participating in a horse race meeting at which the person or relative listed under this paragraph holds any interest in the licensed racing entity conducting the horse race meeting or in the racetrack facility.

(2) The Commission may impose a fine upon any person for a violation of this subsection in accordance with subsection (a).

7 Pa. Code § 181.18 Searches within track premises.

To assist in detection of illegal pari-mutuel betting by racing personnel, effectively prevent the use of improper racing devices, restrict the possession of dangerous weapons on racing premises, control the expanded traffic in unlawful drugs and drug related paraphernalia, maintain proper and adequate supervision of racing and enforce the laws of the Commonwealth, the Commission or its representatives, shall have the right and privilege to conduct a search within the areas of the track premises which any owner, trainer, driver, groom, vendor of racing equipment and service or other licensee acting in their behalf, may occupy and to control including all personal property and effects and as a result of the search, the Commission or its representatives, shall have the power and authority to seize an article, within the areas, which may be forbidden or be in violation of the rules and regulations of the Commission.

7 Pa. Code § 181.19 Commission office space.

A licensed racing entity shall provide adequate office and administrative space for the use of the Judges, Stewards and other Commission personnel as required by the Commission. The location and size of the office space, furnishings and equipment required under this section must be approved by the Commission.

7 Pa. Code § 181.21 Submission of information to the Commission.

(a) At the beginning of each meeting or at any other time as requested by the Commission, every licensed racing entity shall furnish the following information to the Commission:

(1) The current name and experience of the licensed racing entity’s management employees and racing officials;

(2) Racetrack facility maintenance records;

(3) A report and certificate by a duly licensed civil engineer, land surveyor or other racetrack consultant that the racetrack has been properly measured from wire to wire;

(4) A report and certificate by a duly licensed civil engineer, land surveyor or other racetrack consultant evidencing the accurate measurement and survey of the turns of the racetrack oval;

(5) Detailed information regarding the racetrack’s surface, materials and depth, maintenance records and information relating to the drainage system for the racetrack;

(6) The design and construction of the pylons, including the use of the lightening lane or the removal of the pylons must be approved by the Commission;

(7) Names of the racetrack personnel hired to maintain the track surface and a list of the necessary equipment, including any back-up equipment for maintaining the track surface.

(b) Prior to the first day of a race meeting, a licensed racing entity shall deliver to the Commission a copy of the fire marshal’s certification regarding the licensed racing entity’s compliance with fire safety regulations or the fire marshal’s plan of correction, if applicable. The certification or plan must be based on an inspection of the racetrack grounds conducted by the fire marshal not more than 30 days before the first day of a race meeting.

This section cited in 7 Pa. Code § 181.57 (relating to racetrack surface).

7 Pa. Code § 181.31 General provisions.

(a) The licensed racing entity shall ensure that the public areas of the racetrack grounds are designed and maintained for the comfort and safety of the patrons and licensees and are accessible to all persons with disabilities as required by law.

(b) The licensed racing entity shall provide and maintain adequate restroom facilities for the patrons and licensees.

(d) The licensed racing entity shall maintain all facilities on the racetrack grounds to ensure the safety and cleanliness of the facilities at all times.

(e) The licensed racing entity shall ensure the surface of the racetrack is designed, constructed and maintained to provide for the safety of the drivers and horses.

(f) The licensed racing entity shall maintain sufficient and adequate equipment and competent personnel for the purpose of continued maintenance of the racetrack surface and plant grounds and facility.

(g) During a race performance, the licensed racing entity shall also provide:

(1) A first aid room equipped with at least two beds and other appropriate equipment; and

(2) The services of at least one physician, a nurse practitioner or paramedic.

(h) Human ambulance: A licensed racing entity shall provide and maintain at least one properly equipped human ambulance to be present during qualifying races and during the regular racing program for participants, licensees and patrons.

(1) The ambulance shall be staffed with at least two Emergency Medical Technicians.

(2) If the ambulance is being used to transport an individual, the association may not conduct a race until the ambulance is replaced.

(i) At the beginning of each meet or at least annually, the licensed racing entity shall provide mandatory orientation of racing emergency procedures for all emergency response personnel as previously set forth.

7 Pa. Code § 181.32 Judges’ stand.

The licensed racing entity shall provide adequate stands and facility for the Judges and, as required, other officials to have a clear view of the racetrack. The location and design of the stands shall be reviewed and approved by the Commission.

7 Pa. Code § 181.33 Audio and visual equipment.

(a) A licensed racing entity shall provide and maintain in good working order a communication system between the following:

(1) Judges’ stand;

(2) Racing office;

(3) Tote room;

(4) Paddock;

(5) Test barn;

(6) Starting gate;

(7) Video camera locations;

(8) Commission Veterinarian;

(9) Track announcer;

(10) Location of the ambulances (equine and human); and

(11) Commission track office and other locations and persons designated by the Commission.

(b) The licensed racing entity shall provide and maintain a public address system capable of clearly transmitting announcements to the patrons and to the stable area.

7 Pa. Code § 181.34 Photo finish.

(a) A licensed racing entity shall provide an electronic photo finish device with mirror image to photograph the finish of each race and record the time of each horse in at least fifths of a second. The location and operation of the photo finish devices must be approved by the Commission before its first use in a race or in the meet.

(b) The licensed racing entity shall promptly post a photograph of each photo finish for win, place or show in an area accessible to the public.

(c) The licensed racing entity shall ensure that the photo finish devices are calibrated before the first day of each race meeting and at other times as required by the Commission.

(d) On request by the Commission, the licensed racing entity shall provide, without cost, a print from a negative of a photo finish to the Commission. Photo finish negatives of each race shall be maintained by the association for not less than 6 months after the end of the race meeting or another period as may be requested by the Judges or the Commission.

7 Pa. Code § 181.35 Videotaping system.

(a) A licensed racing entity shall provide a videotaping system approved by the Commission. Cameras must be located to provide clear panoramic and head-on views of each race. Separate monitors, which simultaneously display the images received from each camera and are capable of simultaneously displaying a synchronized view of the recordings of each race for review shall be provided in the Judges’ stand. The location and construction of video towers must be approved by the Commission.

(b) The Judges may, at their discretion, direct the video camera operators to videotape the activities of any horse or person handling horses prior to, during or following a race.

(d) The licensed racing entity shall, upon request, provide to the Commission, without cost, a copy of a videotape of a race.

(e) Videotapes recorded prior to, during and following each race shall be maintained by the licensed racing entity for not less than 6 months after the end of the race meeting or another period as may be requested by the Judges or the Commission.

(f) A licensed racing entity shall provide a viewing area in which, on approval by the Judges, an owner, trainer, driver or other interested individual may view a videotape recording of a race.

(g) Following any race in which there is an inquiry or objection, the licensed racing entity shall display to the public on designated monitors the videotaped replays of the incident in question which were utilized by the Judges in making their decision.

7 Pa. Code § 181.36 Starting gates.

During the race meet and at racing hours, a licensed racing entity shall provide at least two operable starting gates, which have been approved by the Commission.

7 Pa. Code § 181.37 Distance markers.

(a) A licensed racing entity shall provide starting point markers and distance poles in a size and position that is clearly seen from the Judges’ stand.

(b) All poles and markers shall be positioned at least 10 feet off the inside rail.

(1) 3/4 pole—Red and white horizontal stripes

(2) 1/2 pole—Red and white horizontal stripes

(3) 1/4 pole—Red and white horizontal stripes

(4) 1/8 poles—Green and white horizontal stripes

(5) 1/16 poles—Black and white horizontal stripes

7 Pa. Code § 181.38 Saddle pad colors.

(a) All pari-mutuel racetracks shall adopt the following color format for saddle pad colors for post positions in each race:

(1) Post Position One—Red

(2) Post Position Two—Blue

(3) Post Position Three—White

(4) Post Position Four—Green

(5) Post Position Five—Black

(6) Post Position Six—Yellow

(7) Post Position Seven—Pink

(8) Post Position Eight—Gray

(9) Post Position Nine—Purple

(10) Post Position Ten—Blue/Red

(11) Post Position Eleven—Light Blue

(12) Post Position Twelve—Red/White

(b) All saddle pad numbers, with the exception of post positions three and five, shall be white with a black border. The saddle pad numbers for post positions three and five shall be solid black and solid white, respectively.

7 Pa. Code § 181.39 Lighting.

(a) A licensed racing entity shall provide lighting for the racetrack and the patron facilities that is adequate to ensure the safety and security of the patrons, licensees and horses.

(b) A licensed racing entity shall provide the necessary and appropriate lighting to ensure the proper operation of the videotape and photo finish equipment which must be approved by the Commission.

(c) The licensed racing entity shall provide adequate additional lighting in the stable area as required by the Commission and shall maintain a back-up lighting system that is sufficient to ensure the safety of race participants and patrons.

7 Pa. Code § 181.40 Equine ambulance.

(a) A licensed racing entity shall provide a horse ambulance staffed by trained personnel available in the stable area of the racetrack grounds during training, qualifying and race days for the removal of injured animals.

(b) The Commission may establish the following requirements for the equine ambulance:

(1) It must be properly ventilated and kept at a proper location ready for immediate or emergency use.

(2) The ambulance must be a covered vehicle that is low to the ground and large enough to accommodate a horse in distress. The ambulance must be also be equipped with and be able to do the following:

(i) Navigate on the racetrack during all weather conditions;

(ii) Transport a horse off the association grounds;

(iii) Large, portable screens to shield a horse from public view;

(iv) Ramps to facilitate loading a horse;

(v) Adequate means of loading a horse that is down;

(vi) A rear door and a door on each side;

(vii) A padded interior;

(viii) A movable partition to initially provide more room to load a horse and to later restrict a horse’s movement;

(ix) A shielded area for the person who is attending to the horse; and

(x) An adequate area for the storage of water and veterinary drugs and equipment.

(c) A licensed racing entity may not conduct a race unless an equine ambulance or other Commission-approved substitute is readily available.

(d) The equine ambulance, its supplies and attendants and the operating procedures for the equine ambulance must be approved by the Commission.

(e) The equine ambulance must be stationed at a location designated by the licensed racing entity immediately available for an emergency.

7 Pa. Code § 181.41 Barns.

(a) A licensed racing entity shall provide barns containing a sufficient number of stalls to accommodate all horses approved to race and all other horses approved to be on the grounds, unless the licensed racing entity has requested and received approval by the Commission to provide a paddock area for horses being shipped in for races. At all times, as a condition of licensure, the licensed racing entity shall provide the barn/stable area configuration or if applicable the configuration of the paddock facility.

(b) A licensed racing entity shall ensure that the barns are kept clean and in good repair. Each barn, including the receiving barn, must have a hot and cold water supply available, be well-ventilated, have proper drainage and be constructed to be comfortable in all seasons.

(c) A licensed racing facility shall ensure that each horse is stabled in an individual box stall with minimum dimensions of 10 by 10 feet.

(d) A licensed racing entity shall provide an adequate area for the placement of manure removed from the stalls. All manure must be removed from the stable area daily. The association shall ensure that refuse from the stalls and other refuse are kept separately.

(e) Licensed racing entities shall comply with all environmental, storage and disposal regulations as required by law.

7 Pa. Code § 181.51 Thoroughbred facilities and equipment.

(a) A licensed racing entity shall ensure that the public areas of the association grounds are designed and maintained for the comfort and safety of the patrons and licensees and are accessible to all persons with disabilities as required by Federal law.

(b) A licensed racing entity shall provide and maintain adequate restroom facilities for the patrons and licensees.

(d) A licensed racing entity shall maintain all facilities on association grounds to ensure the safety and cleanliness of the facilities at all times.

(e) The licensed racing entity shall ensure the surface of the racetrack is designed, constructed and maintained to provide for the safety of the jockeys and horses.

(g) During a race performance, the licensed racing entity shall provide:

(1) A first aid room equipped with at least two beds and other appropriate equipment; and

(2) The services of at least one physician, a nurse practitioner or paramedic.

(h) The licensed racing entity shall provide a properly equipped to human transport ambulance and equine ambulance as set forth in § 181.61 (relating to human and equine ambulances).

7 Pa. Code § 181.52 Concussion protocol program.

(a) A licensed racing entity may establish a concussion protocol program for the education, evaluation, diagnosis and management of concussion of jockeys at its racetrack. A licensed racing entity seeking permission to adopt a concussion protocol program shall petition the Commission and provide all the necessary medical, procedural and enforcement information regarding the proposed program for review by the Commission.

(b) The approval of a program by the Commission shall not be construed to make the Commission or the Stewards the guarantor or insurer of the jockey’s physical condition.

(1) Each jockey shall acknowledge in writing that they have been made aware of the concussion protocols in place for the racetrack at which they are riding;

(2) A minimum assessment of the jockey which shall include the most current Sport Concussion Assessment Tool examination when necessary and be performed by a medical professional licensed within this Commonwealth to perform the evaluation;

(3) A return-to-ride guideline shall be established to clear a jockey who has been concussed or is believed to have been concussed once the jockey is declared fit-to-ride by a medical professional authorized to do so; and,

(4) If implemented, the Stewards at the racetrack shall be notified when a jockey is not permitted to ride and when the jockey has been authorized to return to riding.

7 Pa. Code § 181.53 Stewards’ stands.

A licensed racing entity shall provide adequate stands for Stewards and other officials to have a clear view of the racetrack. The location and design of the stands shall be reviewed and approved by the Commission.

7 Pa. Code § 181.54 Audio and visual equipment.

(a) A licensed racing entity shall provide and maintain in good working order a communication system between the:

(1) Stewards’ stand;

(2) racing office;

(3) tote room;

(4) jockeys’ room;

(5) paddock;

(6) test barn;

(7) starting gate;

(8) weigh in scale;

(9) video camera locations;

(10) clocker’s stand;

(11) racing veterinarian;

(12) track announcer;

(13) location of the ambulances (equine and human); and

(14) other locations and persons designated by the Commission.

(b) A licensed racing entity shall provide and maintain a public address system capable of clearly transmitting announcements to the patrons and to the stable area.

7 Pa. Code § 181.55 Photo finish.

(a) A licensed racing entity shall provide two electronic photo-finish devices with mirror image to photograph the finish of each race and record the time of each horse in at least hundredths of a second. The location and operation of the photo finish devices must be approved by the Commission before its first use in a race or in the meet.

(b) The licensed racing entity shall promptly post a photograph of each photo finish for win, place or show in an area accessible to the public.

(c) The licensed racing entity shall ensure that the photo finish devices are calibrated before the first day of each race meeting and at other times as required by the Commission.

(d) Upon request by the Commission, the licensed racing entity shall provide, without cost, a print of a photo finish to the Commission. Photo finish records of each race shall be maintained by the licensed racing entity for not less than 6 months after the end of the race meeting or another period as may be requested by the Stewards or the Commission.

7 Pa. Code § 181.56 Videotaping system.

(a) A licensed racing entity shall provide a videotaping system approved by the Commission. Cameras must be located to provide clear panoramic and head-on views of each race. Separate monitors, which simultaneously display the images received from each camera and are capable of simultaneously displaying a synchronized view of the recordings of each race for review shall be provided in the Stewards’ stand. The location and construction of video towers must be approved by the Commission.

(b) One camera, designated by the Commission, shall videotape the pre-race loading of all horses into the starting gate and shall continue to videotape them until the field is dispatched by the Starter.

(c) One camera, designated by the Commission, shall videotape the apparent winner of each race from the finish line until the horse has returned, the jockey has dismounted and the equipment has been removed from the horse.

(d) The Stewards may, at their discretion, direct the video camera operators to videotape the activities of any horses or persons handling horses prior to, during or following a race.

(e) Races run on an oval track must be recorded by at least three video cameras. Races run on a straight course must be recorded by at least two video cameras.

(f) A licensed racing entity shall, upon request, provide to the Commission, without cost, a copy of a videotape of a race.

(g) Videotapes recorded prior to, during and following each race shall be maintained by the licensed racing entity for not less than 6 months after the end of the race meeting or another period as may be requested by the Stewards or the Commission.

(h) A licensed racing entity shall provide a viewing room in which, on approval by the Stewards, an owner, trainer, jockey or other interested individual may view a videotape recording of a race.

(i) Following any race in which there is an inquiry or objection, the licensed racing entity shall display to the public on designated monitors the videotaped replays of the incident in question which were utilized by the Stewards in making their decision.

7 Pa. Code § 181.57 Racetrack surface.

(a) In addition to the provisions of § 181.21 (relating to submission of information to the Commission), the licensed racing entity shall ensure that the surface of a racetrack, including the cushion, subsurface and base, are designed, constructed and maintained to provide for the safety of the jockeys and horses.

(b) Distances to be run shall be measured from the starting line at a distance 3 feet out from the inside rail.

(d) A licensed racing entity shall provide an adequate drainage system for the racetrack.

(e) A licensed racing entity shall provide adequate equipment and personnel to maintain the track surface in a safe training and racing condition. The licensed racing entity shall also provide back-up equipment for maintaining the track surface.

(f) A licensed racing entity that conducts races on a turf track shall:

(1) maintain an adequate stockpile of growing medium; and

(2) provide a system capable of adequately watering the entire turf course evenly.

7 Pa. Code § 181.58 Starting gates.

(a) During racing hours, a licensed racing entity shall provide at least two operable padded starting gates, which have been approved by the Commission.

(b) A licensed racing entity shall make at least one starting gate and qualified starting gate personnel available for schooling during designated training hours.

(d) If a race is started at a place other than in a chute, the association shall provide and maintain in good operating condition backup equipment for moving the starting gate. The backup equipment must be immediately available to replace the primary moving equipment in the event of failure.

7 Pa. Code § 181.59 Distance markers.

(a) A licensed racing entity shall provide starting point markers and distance poles in a size and position that is clearly seen from the Stewards’ stand.

(b) The starting point markers and distance poles must be marked as follows:

(1) 1/4 poles—Red and white horizontal stripes

(2) 1/8 poles—Green and white horizontal stripes

(3) 1/16 poles—Black and white horizontal stripes

(4) 220 yards—Green and white

(5) 250 yards—Blue

(6) 300 yards—Yellow

(7) 330 yards—Black and white

(8) 350 yards—Red

(9) 400 yards—Black

(10) 440 yards—Red and white

(11) 550 yards—Black and white horizontal stripes

(12) 660 yards—Green and white horizontal stripes

(13) 770 yards—Black and white horizontal stripes

(14) 870 yards—Blue and white horizontal stripes

7 Pa. Code § 181.60 Lighting.

(a) A licensed racing entity shall provide lighting for the racetrack and the patron facilities that is adequate to ensure the safety and security of the patrons, licensees and horses. Lighting to ensure the proper operation of the videotape and photo finish equipment must be approved by the Commission.

(b) A licensed racing entity shall provide adequate additional lighting in the stable area as required by the Commission.

(c) If a licensed racing entity conducts racing at night, the association shall maintain a back-up lighting system that is sufficient to ensure the safety of race participants and patrons.

7 Pa. Code § 181.61 Human and equine ambulances.

(a) A licensed racing entity shall provide and maintain at least one human ambulance and at least one horse ambulance during times horses are permitted to train or race.

(1) The human transport ambulance shall be supplied and equipped in accordance with the requirements set forth by the Department of Health and staffed with at least one certified paramedic during training and two certified paramedics during racing hours. The paramedics shall be dully certified in accordance with the standards set forth by the Department of Health.

(2) If the human ambulance is being used to transport an individual, the license racing entity may not conduct a race or allow horses with riders on the racetrack until the ambulance is replaced.

(b) Unless otherwise approved by the Commission or the Stewards, an ambulance shall follow the field at a safe distance during the running of races. If not following the field, the human ambulance shall be parked at an appropriate entrance to the racing strip to allow ease of access.

(c) A licensed racing entity shall provide an equine ambulance staffed by trained personnel on association grounds on each day that the racetrack is open for racing or training.

(d) The Commission may establish the following requirements for the equine ambulance:

(1) The ambulance must be properly ventilated and kept at an appropriate entrance ready for immediate or emergency response.

(2) The ambulance must be a covered vehicle that is low to the ground and large enough to accommodate a horse in distress. The ambulance must be also equipped with and be able to do the following:

(i) navigate on the racetrack during all weather conditions;

(ii) transport a horse off the association grounds;

(iii) large, portable screens to shield a horse from public view;

(iv) ramps to facilitate loading a horse;

(v) adequate means of loading a horse that is down;

(vi) a rear door and a door on each side;

(vii) a padded interior;

(viii) a movable partition to initially provide more room to load a horse and to later restrict a horse’s movement;

(ix) a shielded area for the person who is attending to the horse; and

(x) an adequate area for the storage of water and veterinary drugs and equipment.

(e) A licensed racing entity may not conduct a race unless an equine ambulance or other Commission-approved substitute is readily available.

(f) The equine ambulance, its supplies and attendants and the operating procedures for the equine ambulance must be approved by the Commission.

(g) The equine ambulance must be stationed at a location designated by the licensed racing entity immediately available for an emergency.

This section cited in 7 Pa. Code § 181.51 (relating to thoroughbred facilities and equipment).

7 Pa. Code § 181.62 Barns.

(a) A licensed racing entity shall provide barns containing a sufficient number of stalls to accommodate all horses approved to race and all other horses approved to be on the grounds. The assignment of barns and stalls are within the sole authority and discretion of the licensed racing entity and determination relating to barns and stall may not be appealed to the Commission. The licensed racing entity’s stable area configuration and facilities must be approved by the Commission.

(c) A licensed racing entity shall ensure that each horse is stabled in an individual box stall with minimum dimensions of 10 by 10 feet.

(d) A licensed racing entity shall provide an adequate area for the placement of manure removed from the stalls. All manure must be removed from the stable area daily. The licensed racing entity shall ensure that refuse from the stalls and other refuse are kept separately.

(e) Licensed racing entities shall comply with all environmental, storage and disposal regulations as required by law.

7 Pa. Code § 181.71 Test barn.

In addition to the requirements set forth in Chapter 401 (relating to prohibited and unlawful practices—temporary regulations) and as a condition of its license, a licensed racing entity shall provide a test barn for taking, securing and storing specimens of urine, blood or other biological substances for pre-race or post-race testing. Access to the test barn shall be limited to authorized persons only. Entrances shall be locked or guarded at all times by licensed racing entity security.

7 Pa. Code § 181.72 Enforcement.

Each licensed racing entity association shall be responsible for enforcing the provisions of this chapter subject to supervision by designated officials of the Commission.

7 Pa. Code § 181.73 Licensed racing entity security personnel.

(a) Licensed racing entities shall employ an adequate number of persons as security guards to protect the health and safety of patrons, licensees and horses within the racetrack enclosure. Those designated security personnel shall maintain security controls over the racetrack grounds. All security controls and protocols are subject to the approval of the Commission.

(b) In addition to Commission licensure, a licensed racing entity may establish an internal system or method of issuing credentials or passes to restrict access to its restricted areas or to ensure that all participants at its race meeting are licensed as required by these rules.

(c) A license racing entity shall prevent access to and shall remove or cause to be removed from its restricted areas any person who is unlicensed or who has not been issued a visitor’s pass or other identifying credential or whose presence in the restricted area is unauthorized.

7 Pa. Code § 181.74 Admission to premises and security.

(a) Unless otherwise authorized by the Commission, a licensed racing entity shall provide continuous security in the stable area during all times that horses are stabled on the grounds of the racetrack enclosure. Security personnel shall request that every person seeking entrance into the stable area provide a valid Commission license or racetrack credential or appropriate visitor’s pass issued by the association.

(1) No person shall refuse to display or produce a valid Commission license, racetrack credential or other identification. Anyone refusing to display or produce a valid Commission license or credentials shall be refused entry and/or may be referred to the Judges or Stewards.

(b) A written record of all individuals admitted to the stable area between the hours of 12 a.m./midnight and 5 a.m. shall be maintained by the licensed racing entity and shall be produced upon request by the Commission.

(1) The written record shall, at a minimum, contain the name of the person admitted, the person’s license number and the time admitted and reason for the person’s presence.

(c) Upon request by the Commission, a licensed racing entity shall provide a list of the security personnel, including the name, qualifications, training, duties duty station and area supervised by each employee.

(d) Each day, the head of security for a licensed racing entity shall deliver a written report to the Stewards regarding any occurrences on the racetrack grounds on the previous day. Not later than 24 hours after an incident occurs requiring the attention of security personnel, the head of security shall deliver to the Stewards a written report describing the incident. The report must include the name of each individual involved in the incident, the circumstances of the incident and any recommended charges against each individual involved.

7 Pa. Code § 181.75 Admission and removal of horses.

(a) All horses entered to compete shall be present on racetrack grounds no less than 2 hours prior to the scheduled post time of the race for which the horse is entered to compete. Horses not arriving on racing association property at least 2 hours prior to the scheduled post time of the race on the day for which the horse is entered to compete are subject to scratch, with discretion given to Stewards to consider extenuating circumstances.

(b) A complete and accurate list of all horses, tattoo numbers and description of the horses entering the stable area shall be prepared by racetrack security personnel, who shall determine the identity of the trainer, owner, van driver or other designated person entering with the horses.

(c) All horses leaving the racetrack grounds must be registered with the licensed racing entity’s security personnel, who shall prepare a detailed and accurate list of all horses, including tattoo numbers, description and the name/license number of those persons accompanying the horse.

(d) Once admitted onto the racetrack grounds to participate in a race, no horse shall be removed from the racetrack at any time without specific medical or veterinary authorization and without approval from the Judges or Stewards and racetrack management.

7 Pa. Code § 181.76 Fire prevention.

(a) An association shall develop and implement a program for fire prevention on association grounds. An association shall instruct employees working on association grounds of the procedures for fire prevention.

(b) No person shall:

(1) Smoke in stalls, feed rooms or under shed rows;

(2) Burn open fires or oil or gas lamps in the stable area;

(3) Leave unattended any electrical appliance that is plugged-in to an electrical outlet;

(4) Permit horses to come within reach of electrical outlets or cords;

(5) Store flammable materials such as cleaning fluids or solvents in the stable area; or

(6) Lock a stall which is occupied by a horse.

(c) An association shall post a notice in the stable area which lists the prohibitions outlined in subsections (a) and (b).

7 Pa. Code § 181.77 Admission of minors.

Minors under 18 years of age shall not be admitted to the track. Any minor legally employed by any association, concessionaire or other person duly licensed by the Commission shall be admitted to the track for the sole purpose of performing his duties as an employee. A minor, accompanying a parent or natural guardian who is also a licensee and whose employment requires him to be present in the stable or paddock area, shall be admitted to the stable or paddock area with the licensee. In no event shall the minor be permitted to wager upon any race nor shall the minor be permitted to be in the area of the track other than that area in which his duties are to be performed.

7 Pa. Code § 181.78 Health certificate.

No horse shall be admitted to any part of the plant or premises of any pari-mutuel racing association under the jurisdiction of the Commission unless a health certificate is presented when admission to the premises is sought. The Certificate must state the following regarding the health and physical condition of the horse:

(1) The horse was examined thoroughly within a 7-day period preceding the date admission is sought.

(2) The horse was free of any evidence of infectious, contagious or transmissible disease and was afebrile at the time of the examination.

(3) The horse was free of ectoparasites at the time of the examination.

(4) The horse has not, within the past 2 weeks, been exposed to other horses with any known infectious, contagious or transmissible diseases.

Chapter 183 Secondary Pari-Mutuel Organizations—Temporary Regulations

7 Pa. Code § 183.1 General provisions.

(a) New application: As set forth in sections 9322 and 9351 of the act, a SPMO seeking to engage in electronic wagering or otherwise offer ADW to individuals within this Commonwealth, as defined in the act, must apply to the Commission for an electronic wagering license by submitting a completed license application as approved by the Commission.

(1) An incomplete application shall not be reviewed or considered for licensure.

(2) A SPMO may not begin wagering operations until approved by the Commission or its designee.

(b) Annual Renewal applications: An electronic wagering license issued to a secondary pari-mutuel organization shall be renewed annually. An electronic wagering renewal application shall be submitted on or before 120 days before the expiration of the license term. If the renewal application is approved by the Commission, the license renewal shall take effect January 1.

(1) Each SPMO employee directly or indirectly responsible for the acceptance of wagers on horse races or the transmittal of wagering information to and from the Commonwealth must be properly licensed.

(2) A secondary pari-mutuel organization must comply with each rule and regulation of the Commission.

7 Pa. Code § 183.2 License costs and fees.

(a) The applicant shall submit, along with its license application, the applicable license fees set forth in section 9352 of the act (relating to licensing costs and fees). The applicant shall also pay all costs incurred by the Commission in reviewing an application for an initial license, including any legal and investigative costs and the cost of other necessary outside professionals and consultants.

(1) Any portion of the payment not required to complete the investigation shall be refunded to the applicant within 20 days of the granting, withdrawal or rejection of the initial license application.

(2) To the extent additional costs will be necessary, the applicant shall reimburse the Commission in an amount reasonably requested by the Commission within 10 days of receipt of the request. Failure to submit an additional requested payment shall result in suspension of the processing of the license application and may result in denial of the license.

(b) For purposes of a renewal license, the SPMO shall submit a renewal application, along with the applicable renewal fee and costs for the review of the renewal license as set forth in the act.

7 Pa. Code § 183.3 Application requirements.

(a) A SPMO application for an initial or renewal license shall be in the form and manner prescribed by the Commission in accordance with this chapter. The Commission may deny a license to an applicant that provides false or misleading information or omits material information from the application. The SPMO application shall include all of the following:

(1) The applicant’s legal name.

(2) The location of the applicant’s principal office.

(3) The name, address and date of birth of each principal with a 5% or greater share of ownership or beneficial interest in the applicant.

(4) Audited financial statements for the last 3 years or, if the applicant does not have audited financial statements, financial and other pertinent information as required by the Commission to determine that the applicant is financially capable of operating as a going concern and protecting accounts.

(5) A detailed plan of how the wagering system will operate. The Commission may require changes in the proposed plan of operations as a condition of granting a license. There shall not be subsequent material changes in the plan of operations unless ordered by the Commission or until approved by the Commission after receiving a written request.

(6) A list of all personnel processing wagers on races made by residents of this Commonwealth. This list shall be kept current and be provided to the Commission upon request.

(7) Copies of all documents required under this subsection by the Commission.

(8) Certification of compliance with totalisator standards and licensing requirements adopted by the Commission.

(9) A type II SAS 70 report or other independent report in a form acceptable to the Commission completed within the preceding 12 months, to assure adequate financial controls are in place in the secondary pari-mutuel organization.

(10) An agreement to allow the Commission to inspect and monitor each facility used by the secondary pari-mutuel organization for accepting, recording or processing pari-mutuel wagers accepted in this Commonwealth.

(11) Certification of the use of a pari-mutuel system which meets all requirements for a pari-mutuel system utilized by a licensed racing entity in this Commonwealth.

(12) Written evidence of tax compliance as set forth in section 9361 of the act (relating to tax compliance requirement).

7 Pa. Code § 183.4 Review and approval.

(a) The Commission shall determine the suitability, fitness and experience of a SPMO and its key employees, consistent with the public interest, convenience and necessity and the best interests of racing generally, including, the provisions set forth in section 9318(e) and (f) of the act (relating to licenses for horse race meetings) and the following:

(1) Meeting general industry standards for business and financial practices, procedures and controls.

(2) Possession of a wagering system that ensures that all wagering information is transmitted to and calculated in the appropriate host track pool.

(3) Utilization of a totalisator system that meets wagering-industry standards and certification criteria.

(4) Meeting general industry standards for physical security of computerized wagering systems, business records, facilities and patrons.

(5) Having no indications of improper manipulation of a secondary pari-mutuel organization’s wagering system, including software.

(6) Having policies and procedures that ensure a secondary pari-mutuel organization’s key individuals have applied and are eligible for all required occupational licenses.

(7) Having an annual independent audit with no audit opinion qualifications that reflect adversely on integrity.

(8) Having a system that verifies the identity of each person placing a wager and requires the person placing a wager to disclose each beneficial interest in a wager the secondary pari-mutuel organization accepts.

(9) Having a real-time independent monitoring system to monitor wagering activity to detect suspicious patterns, including any that might indicate criminal activity or regulatory violations. The system must verify each transaction performed by the totalisator system and provide expeditious notice of any discrepancies or suspicious activity to the host track, wagering site, due diligence investigating body and any affected regulatory agency.

(10) Having a satisfactory record of customer relations, including no excessive unresolved patron complaints concerning the secondary pari-mutuel organization’s business practices.

(11) Holding required permits, licenses, certifications or similar documents that may be required by a racing, gaming or other pari-mutuel wagering jurisdiction.

(12) Having sufficient measures to protect customer funds from being commingled with other moneys.

(13) Publicizing and providing a sufficient program for customer self-exclusion and wagering limitation.

(14) Having expertise in pari-mutuel wagering and being technologically capable of participating in simulcast and wagering activities.

(b) As set forth in section 9353(b) of the act (relating to license application procedures), the Commission may also consider the following information in making a determination for a SPMO’s initial license or renewal application:

(1) The integrity of the applicant and its principals, including:

(i) Whether the applicant or its principals are unsuitable.

(ii) Whether the applicant or its principals have been a party to litigation over business practices, disciplinary actions over a business license or refusal to renew a license.

(iii) Whether the applicant or its principals have been a party to proceedings in which unfair labor practices, discrimination or violation of government regulations pertaining to racing or gaming laws was an issue or bankruptcy proceedings.

(iv) Whether the applicant or its principals have failed to satisfy judgments, orders or decrees.

(v) Whether the applicant or its principals have been delinquent in filing tax reports or remitting taxes.

(2) The quality of physical facilities and equipment.

(3) The financial ability of the applicant to conduct wagering.

(4) The protections provided to safeguard accounts, including a certification from the licensee’s chief financial officer that account funds will not be commingled with other funds as required under this chapter.

(5) The management ability of the applicant and its principals.

(6) Compliance of the applicant with applicable statutes, charters, ordinances and administrative regulations.

(7) The efforts of the applicant to promote, develop and improve the horse racing industry in this Commonwealth.

(8) The efforts of the applicant to safeguard and promote the integrity of pari-mutuel wagering in this Commonwealth.

(9) The economic impact of the applicant upon the Commonwealth.

(10) The secondary pari-mutuel organization and the secondary pari-mutuel organization’s owners and sources of funds must have sufficient financial means to participate in simulcast and wagering activities, including sufficient assets and means to pay industry-related debts and obligations and to fund the operations of the secondary pari-mutuel organization.

7 Pa. Code § 183.5 Good-faith cooperation.

The secondary pari-mutuel organization must be fully cooperative and act in good faith with all disclosure and other duties involved in a due diligence investigation, voluntarily submit to regulatory and investigating body oversight, permit inspection of each business record upon request by a regulatory authority or investigating body, promptly honor regulatory or investigating body requests for wagering patterns or other information and, after reasonable notice, permit full access to each facility and property by a regulatory authority or investigating body.

7 Pa. Code § 183.6 Waiver.

(a) A due diligence investigation may rely on an investigation and oversight conducted by a Commission-approved entity.

(b) The Commission may not consent to the acceptance of an interstate off-track wager by a secondary pari-mutuel organization that has not been determined to be suitable under this section.

7 Pa. Code § 183.7 Additional application information.

(a) The Commission may request additional information from an applicant if the additional information would assist the Commission in deciding whether to issue or renew a license, including all of the following:

(1) Copies of any documents used by the applicant in preparing the application.

(2) A list of each contract between the applicant and a third party related to operations. The Commission may review the contracts at any time upon request.

7 Pa. Code § 183.8 SPMO operations.

(a) Before doing business in this Commonwealth all of the following are required of a SPMO licensee:

(1) Be qualified to do business in this Commonwealth.

(2) Submit a copy of each document required to be filed with the Department of Revenue and each document related to an audit or investigation by any Federal, State or local regulatory agency to the Commission.

(3) Remit to the Commission a copy of each document required to be filed with any Federal, State or local regulatory agency.

(b) Operational Requirements:

(1) A licensee shall submit quarterly reports to the Commission providing amounts wagered by residents in this Commonwealth and amounts wagered on races in this Commonwealth.

(2) A licensee shall contribute to the horsemen’s purse account in accordance with section 9331(d) of the act (relating to pari-mutuel wagering at nonprimary locations) as directed by the Commission.

(3) A licensee shall not commingle account funds with other funds.

(4) A licensee shall provide quarterly financial statements to the Commission for the first calendar year of operation if the licensee does not have audited financial statements for the last 3 years as referenced in section 9353(a)(4) of the act (relating to license application procedures).

(5) A licensee shall use and communicate pari-mutuel wagers to a totalisator licensed by the Commission.

(6) A licensee shall operate and communicate with the totalisator in a way as not to provide or facilitate a wagering advantage based on access to information and processing of wagers by account holders relative to individuals who wager at licensed racing entities or simulcast facilities.

(7) All personnel processing wagers made by residents of this Commonwealth shall be licensed by the Commission.

(8) Accounts shall only be accepted in the name of an individual and shall not be transferable. Only individuals who have established accounts with a licensee may wager through a licensee.

(9) Each account holder shall provide personal information as the licensee and the Commission require, including all of the following:

(i) Name.

(ii) Principal residence address.

(iii) Telephone number.

(iv) Social Security number.

(v) Date of birth.

(vi) Other information necessary for account administration.

(10) The information supplied by the account holder shall be verified by the licensee using means acceptable to the Commission.

(11) The licensee shall provide each account holder a secure personal identification code and password to be used by the account holder to confirm the validity of every account transaction.

(12) An employee or agent of the licensee shall not disclose any confidential information except as follows:

(i) To the Commission.

(ii) To the account holder as required by this chapter.

(iii) To the licensee and its affiliates.

(iv) To the licensed racing entity as required by the agreement between the licensee and the licensed racing entity.

(v) As otherwise required by law.

(13) The licensee shall provide each account holder a copy of account holder rules and the terms of agreement and other information and materials that are pertinent to the operation of the account.

(14) The licensee may refuse to establish an account if it is found that any of the information supplied is false or incomplete or for any other reason the licensee deems sufficient.

(15) Each account shall be administered in accordance with the account holder rules and the terms of agreement provided to account holders, including:

(i) Placing of wagers.

(ii) Deposits to accounts.

(iii) Credits to accounts.

(iv) Debits to accounts.

(v) Refunds to accounts.

(vi) Withdrawals from accounts.

(vii) Minimum deposit requirements.

(viii) Fees per wager.

(ix) Rebates.

(16) Each licensee shall have protocols in place and shall publicize to its account holders when the wagers are excluded from a host racetrack’s wagering pool. These protocols shall include an immediate electronic mail message to affected account holders and immediate posting on the licensee’s publicly accessible Internet web site.

(17) A licensee shall maintain complete records of the application and the opening of an account for the life of the account plus 2 additional years. A licensee shall also maintain complete records of the closing of an account for 2 years after closing. These records shall be provided to the Commission upon request.

(18) A licensee shall maintain complete records of all transactions, including deposits, credits, debits, refunds, withdrawals, fees, wagers, rebates and earnings for 2 years. These records shall be provided to the Commission upon request.

(19) All wagering conversations, transactions or other wagering communications, verbal or electronic, shall be recorded by means of the appropriate electronic media and the tapes or other records of the communications shall be kept by the licensee for a period of 2 years. These tapes and other records shall be made available to the Commission upon request.

(20) The recording of the confirmation of the transaction, as reflected in the voice or other data recording, shall be deemed to be the actual wager regardless of what was recorded by the totalisator.

(21) A licensee shall not accept wagers if its recording system is not operable.

(22) The Commission may monitor the equipment and staff and review the records of a licensee and any of the transactions conducted by the licensee with regards to wagers made by residents of this Commonwealth.

(23) A licensee may suspend or close any account for violation of the account holder rules and the terms of agreement or any other reason it deems sufficient, if the licensee returns to the account holder all money then on deposit within 7 calendar days.

7 Pa. Code § 183.9 Penalties and enforcement.

All of the following apply:

(1) The Commission shall have all of the rights, powers and remedies necessary to carry out this chapter and to ensure compliance with this chapter, including revocation, suspension or modification of a license and the imposition of fines under section 9325 of the act (relating to power of commission to impose fines).

(2) With respect to an individual or entity that offers pari-mutuel wagering to residents of this Commonwealth without a license issued by the Commission, the Commission may take the measures deemed necessary, including referral to the appropriate regulatory and law enforcement authorities for civil action or criminal penalties.

(3) Upon the finding of a violation by a secondary pari-mutuel organization of this chapter or of a Commission regulation or order or upon the finding of unlicensed electronic or advanced deposit account wagering by an individual or entity, the Commission may impose a fine as authorized under section 9325 of the act.

Chapter 185 Occupational Licenses—Temporary Regulations

7 Pa. Code § 185.1 General provisions.

(a) Every person participating in pari-mutuel racing activities within this Commonwealth must be licensed by the Commission in accordance with the provisions set forth in section 9323 of the act (relating to occupational licenses for individuals) and with the Commission’s specific regulations relating to the applicant’s racing occupation.

(b) In addition to the provisions set forth in Chapters 203 and 303 (relating to licensing, duties and responsibilities of Standardbred licensees; and licensing, duties and responsibilities of Thoroughbred licensees) of the Commission’s regulations, the filing of an application for a particular occupational license shall authorize the Commission to investigate criminal records and employment records, to conduct a thorough background investigation and to conduct interviews to determine if the applicant’s character, experience and qualifications are consistent with the best interest of racing and the general public.

(c) By acceptance of a license, a licensee consents to search and inspection by the Commission or its agents of the licensee’s person, personal property and areas under the licensee’s possession, care or control. The licensee explicitly consents to the seizure of any prohibited medication, drugs, paraphernalia or other illegal devices or contraband in accordance with State and Federal law and with the applicable provisions of the act.

(d) Every license is granted upon the express condition that the licensee shall accept, observe and abide by the rules and regulations of the Commission. Licensees are presumed to have knowledge of the rules of racing and are charged with the responsibility, duty and obligation to report any apparent or actual violation of the rules of racing to the Commission.

(e) As a condition of licensure, every licensee shall fully cooperate with any ongoing administrative Commission action, investigation or background review and shall comply with a properly issued Commission subpoena for the attendance of the licensee at an administrative hearing or for the production of any relevant reports, papers, documents and correspondence related to an investigation. Refusal to cooperate with a properly issued subpoena shall subject the licensee to a license suspension or revocation.

7 Pa. Code § 185.2 Conduct of licensee.

A licensee shall not, alone or in concert with another person, engage in inappropriate, illegal or unethical conduct which violates the Commission’s rules and regulations of racing, is inconsistent with the best interests and integrity of racing or otherwise undermines the general public’s faith, public perception and confidence in the racing industry.

7 Pa. Code § 185.3 License is a privilege.

While all licensees shall be afforded due process rights, in accordance with section 9323(a) of the act (relating to occupational licenses for individuals), a license is a privilege and shall not be deemed a property right.

7 Pa. Code § 185.4 Term of occupational license.

Licenses, unless revoked for cause, shall be issued for the period of 3 years. To facilitate a convenient and orderly licensing process, the Commission may establish a staggered expiration period for occupational licenses.

7 Pa. Code § 185.5 Occupational license fees.

In accordance with section 9312 of the act (relating to additional powers of commission), the Commission established and published a comprehensive fee schedule for all occupational licenses. Every 2 years the Commission shall review the fee schedule to determine whether to increase any fee, charge or cost associated with occupational licenses. The Commission by order, notice to the regulated community and publication in the Pennsylvania Bulletin, shall amend the fee schedule as deemed necessary.

7 Pa. Code § 185.6 Age requirement.

All applicants for licensing shall be at least 18 years of age, unless otherwise specified in these rules and regulations or by specific exemption by the Commission. An applicant seeking an age exemption must file a written request with the Commission with supporting documentation to justify an age-related exemption. The decision not to grant an age-related exemption may not be appealed. An applicant may be required to submit a certified copy of the applicant’s birth certificate or other proof of age and identification.

This section cited in 7 Pa. Code § 203.11 (relating to licensing requirements for owners); and 7 Pa. Code § 303.6 (relating to licensing requirements for owners).

7 Pa. Code § 185.7 Protection of horses.

(a) Each person licensed by the Commission shall do all that is reasonable and within the licensee’s power and scope of duty to guard against and prevent any horse entered or to be entered in an official workout or race, from coming into contact with or be administrated any drug, medication or other foreign substance, including a permissible medication in excess of the maximum allowable level.

(b) No licensee or other person under the jurisdiction of the Commission shall subject or permit any animal under the licensee’s care, custody, control or supervision to be subjected to or to incur any form of cruelty, mistreatment, neglect, abuse or abandonment. No licensee shall injure, maim, kill, administer a noxious substance to or otherwise deprive any animal of necessary veterinary care, sustenance or shelter.

(c) In addition to any licensing action or penalty imposed by the Commission for the previous misconduct, the Commission shall immediately notify and refer the cruelty matter to the appropriate authorities for possible criminal prosecution.

7 Pa. Code § 185.8 License application process.

(a) An applicant shall submit the appropriate occupational license application and shall agree to be fingerprinted, as may be required by the Commission and provide complete, accurate and truthful disclosure on the application. Based upon the submission of the application, the Commission or its staff shall conduct the appropriate investigation of all criminal and employment records.

(b) Applicants for any form of license or registration issuance receipt or renewal shall be required to complete the authorization for release of confidential or background information as may be required by the Commission. Refusal to complete the authorization shall be an automatic bar to license or registration issuance or renewal.

(c) The Commission shall require an applicant under this chapter to submit to fingerprinting for a report of Federal criminal history record information.

(1) The applicant must submit a full set of fingerprints to the Pennsylvania State Police or the Pennsylvania State Police’s authorized agent for the purpose of a record check. The Pennsylvania State Police or the Pennsylvania State Police’s authorized agent must then submit the fingerprints to the Federal Bureau of Investigation for the purpose of verifying the identity of the applicant and obtaining a current record of any criminal arrests and convictions.

(2) The Commission shall consider information obtained under this paragraph for the purpose of screening applicants for fitness and suitability for licensure in accordance with the provisions of the act or these regulations.

(3) National criminal history record information received by the Commission shall be handled and maintained in accordance with Federal Bureau of Investigation policy.

(4) Fingerprints obtained under this paragraph may be maintained by the Commission and Pennsylvania State Police to enforce this chapter and for general law enforcement purposes.

(5) In addition to any other fee or cost assessed by the Commission, an applicant must pay for the cost of the fingerprint process.

(6) The Commission may exempt applicants for positions not related to the care or training of horses, racing, wagering, security or the management of a licensed racing entity, from the provisions of this chapter.

7 Pa. Code § 185.9 Fingerprinting and licensing reciprocity.

(a) The Commission may establish a modified or abbreviated application process and procedures for licensees who have been previously licensed and in good standing with another racing jurisdiction. In utilizing the reciprocal license process, the Commission may determine that a Federal Bureau of Investigation fingerprint check conducted within the previous 36 months or another period as approved by the Commission is adequate for its criminal background investigation. The Commission, for the reciprocal license process, require an abbreviated application form or affidavit, as may be required by the Commission and pay the required applicable fees prior to participating in racing in this Commonwealth.

(b) An applicant must be in good standing in each jurisdiction where they hold or have held a racing license.

(c) The applicant shall provide this jurisdiction with proof of licensure from another jurisdiction to which fingerprints were submitted.

(d) Provided the previous requirements have been met, the Commission may issue a valid occupational license in this jurisdiction.

7 Pa. Code § 185.10 License renewal.

(a) All licenses shall be subject to renewal every 3 years upon application and review as determined by the Commission or its designee. Occupational license renewals shall not be considered automatic.

(b) The application for renewal shall be submitted at least 60 days prior to expiration of the license term and shall include:

(1) an update of the information contained in the initial application and any prior renewal application, if applicable;

(2) payment of the renewal fee required by the Commission.

(c) A license for which a completed renewal application and fee, if required, has been received by the Commission shall continue in effect unless and until the Commission sends written notification to the licensee that the Commission has denied the renewal of the license.

(d) Nothing in this chapter shall be construed to relieve a licensee of the affirmative duty to notify the Commission of any changes relating to the status of its license or to any other information contained in the application materials on file with the Commission.

7 Pa. Code § 185.11 Licensing action.

(a) Withdrawal of application: The Commission, the Bureau Directors, the Director of Licensing or any other Commission designee may, instead of issuing a formal application denial, grant the applicant permission to withdraw the application without prejudice.

(b) License approval: The Commission may grant a license if, after a thorough background investigation, it finds that the experience, character and general fitness of the applicant are that the participation of the person in horse racing meets and pari-mutuel racing activities in this Commonwealth will be consistent with the public interest and with the best interests of racing in conformity with the purpose of the act.

(c) License denial: In addition to the provisions of section 9323 of the act (relating to occupational licenses for individuals), the Commission may formally deny an application in accordance with these rules and regulations. The applicant shall be notified of the reasons for the denial in writing. The license denial shall also be issued as a formal ruling which may be reported to the Association of Racing Commissioners International or the USTA or to any other racing jurisdiction.

7 Pa. Code § 185.12 Grounds for refusal, denial, suspension or revocation of license.

(a) In accordance with the provisions of section 9323(g) of the act (relating to occupational licenses for individuals) the following shall apply:

(1) The Commission may not issue a license under this section to an individual who has been convicted in a jurisdiction of a felony offense, a misdemeanor gambling offense or a fraud or misrepresentation in connection with horse racing or breeding, unless 15 years has passed from the date of conviction of the offense.

(2) Following expiration of a period applicable to an applicant under paragraph (1), in determining whether to issue a license to an applicant, the Commission shall consider the following factors:

(i) The nature of the applicant’s involvement with horse racing.

(ii) The nature and seriousness of the offense or conduct.

(iii) The circumstances under which the offense or conduct occurred.

(iv) The age of the applicant when the offense or conduct occurred.

(v) Whether the offense or conduct was an isolated or a repeated incident.

(b) The Commission may deny an application for a license or suspend, revoke or refuse to renew a license issued under this section if it determines that the applicant or licensee meets any of the following:

(1) Has been convicted of any violation or attempts to violate any law, rule or regulation of horse racing in any jurisdiction.

(2) Has been convicted of an offense under 18 Pa.C.S. Subchapter B, § § 5531—5561 (relating to cruelty to animals) (as amended).

(3) Has violated a rule, regulation or order of the Commission.

(4) Has been convicted in any jurisdiction of an offense related to fixing or rigging horse races including 18 Pa.C.S. § 4109 (relating to rigging publicly exhibited contest) or § 7102 (relating to administering drugs to race horses) or any similar crime in any other jurisdiction, unless the conviction has been overturned on appeal under the laws of the jurisdiction of the original finding or a pardon has been issued.

(5) Has not demonstrated by clear and convincing evidence that the applicant or licensee:

(i) Is a person of good character, honesty and integrity.

(ii) Is a person whose prior activities, criminal record, if any, reputation, habits and associations:

(A) do not pose a threat to the public interest or the effective regulation and control of horse racing.

(B) do not create or enhance the danger of unsuitable, unfair or illegal practices, methods and activities in the conduct of horse racing or the carrying on of the business and financial arrangements incidental to the conduct of horse racing.

7 Pa. Code § 185.13 License restrictions, limitations and conditions.

(a) Based upon the Commission’s background investigation of an applicant or licensee, the Commission may impose the following restrictions, limitations or conditions upon the licensee and the licensee’s racing activities:

(1) grant a temporary license for 4 months within a 12-month period pending a final determination. A temporary license shall expire at the end of 4 months with no expectation or guarantee of renewal.

(2) grant a license upon the terms and conditions as deemed necessary and appropriate by the Commission or its designee to protect the integrity and best interest of the racing industry.

(b) A licensee having been granted a conditional license as set forth in subsection (a) shall abide by all the terms and conditions set forth in the license. As agreed upon by the licensee, a violation of the terms and conditions set forth in the conditional license shall deemed separate grounds for suspension or revocation of the occupational license.

7 Pa. Code § 185.14 Employer responsibility.

The employment or harboring of any unlicensed person at facilities under the jurisdiction of the Commission is prohibited. Every licensed racing entity, owner or trainer shall report, in writing, the discharge of a licensed employee to the Commission or its designee, including the person’s name, occupation and reason for the discharge.

7 Pa. Code § 185.15 Workers’ compensation insurance required.

(a) All licensed employers shall carry workers’ compensation insurance covering their employees as required by the laws of the Commonwealth. Owners and trainers shall provide a list of employees on the badge list and shall produce evidence of coverage on an ongoing basis.

(b) No licensed owner or trainer shall grant, give or provide an ownership interest in a horse to their employee to avoid the worker’s compensation insurance requirement. An owner, trainer and the owner or trainer’s employee shall file an affidavit and provide the documentation, as required by the Commission, to evidencing a true and proper ownership interest of the horse by the employee.

(c) Notwithstanding the language in subsections (a) and (b), licensed racing entities may establish their own guidelines, requirements and procedures governing worker’s compensation insurance coverage.

7 Pa. Code § 185.16 Misuse of license.

A person may not exercise or attempt to exercise the rights of an occupational license not otherwise properly authorized by the Commission through the appropriate licensing procedures set forth in this chapter. The Commission will exercise the power to regulate the conduct of persons holding licenses or who are participating in racing by the use of rights of a licensee.

7 Pa. Code § 185.17 Relationships with suspended or inactive persons prohibited.

(a) A person shall not train a horse or practice veterinary medicine for the benefit, credit, reputation, or satisfaction of an inactive or suspended person. This prohibition shall not prevent the partners in a veterinary practice from providing services to horses so long as the inactive person does not receive a pecuniary benefit from those services.

(b) An employee or associated person of a suspended or inactive person shall not:

(1) Assume the suspended person’s responsibilities at a location under the jurisdiction of the Commission;

(2) Complete an entry form for a race on behalf of or for the suspended or inactive person or an owner or customer for whom the suspended or inactive person has worked; or

(3) Pay or advance an entry fee on behalf of the suspended or inactive person or owner or customer for whom the inactive person has worked.

(c) An employee or associated person who assumes the responsibility for the care, custody or control of a horse owned (fully or partially), leased or trained by a suspended or inactive person shall not:

(1) Be paid a salary directly or indirectly by or on behalf of the inactive person;

(2) Receive a bonus or any other form of compensation in cash, property or other remuneration or consideration from the inactive person;

(3) Make a payment or give remuneration or other compensation or consideration to the suspended or inactive person; or

(4) Train or perform veterinarian work for the inactive person or an owner or customer of the inactive person at a location under the jurisdiction of the Authority.

(d) A person who is responsible for the care, training or veterinarian services provided to a horse formerly under the care, training or veterinarian services of a suspended or inactive person shall:

(1) Bill customers directly for any services rendered at or in connection with any race meeting;

(2) Maintain a checking account totally separate from and independent of that of the suspended or inactive person to be used to pay expenses of and deposit income from an owner or client of the suspended inactive person;

(3) Not use the services, directly or indirectly, of current employees of the suspended or inactive person; and

(4) Pay bills related to the care, training, and racing of the horse from a separate and independent checking account. Copies of the invoices for these expenses shall be retained for not less than 6 months after the date of the reinstatement of the license of the inactive person or the expiration of the suspension of the inactive person’s license.

7 Pa. Code § 185.18 Association with undesirables.

If a person under the jurisdiction of the Commission shall be approached with an offer, promise, request or a suggestion for a bribe or for an improper, corrupt or fraudulent act in relation to racing or that a race shall be conducted otherwise than fairly and in accordance with the rules of this Commission, it shall be the duty of the person to immediately report the matter to the Commission or one of its appointed representatives.

7 Pa. Code § 185.19 Wagering misconduct.

A licensee or employee of a licensed racing entity or its concessionaires may not knowingly, by false representation, attempt to cause another person to wager on a horse in a race to be run nor may he demand compensation as a reward for a racing prediction provided to a person or entity for wagering purposes. This does not apply to the vending of newspapers or to other publications approved by the Commission.

7 Pa. Code § 185.20 Spousal disqualification.

Disqualification of one spouse applies to the other only if it can be demonstrated that the horses owned or controlled by the disqualified spouse are also under the ownership or control of the spouse who has not been disqualified. The Commission shall determine the necessary information, documentation and evidence to demonstrate separate and independent ownership or control of the horse by the non-disqualified spouse.

Chapter 187 Racing Vendors and Totalisators—Temporary Regulations

7 Pa. Code § 187.1 General provisions.

(a) As set forth in section 9351(a.1) of the act (relating to general license requirements), racing vendors and totalisator companies, irrespective of their physical location and operation, seeking to provide racing related services to licensed racing entities within this Commonwealth, must be properly licensed by the Commission in accordance with this chapter.

(1) An incomplete application shall not be reviewed or considered for licensure.

(2) A racing vendor or totalisator system may not begin operations until approved by the Commission or its designee.

(b) In accordance with section 9351(b)(1) of the act, a racing vendor or totalisator license shall be renewed annually.

(1) Racing vendor or totalisator licenses shall not be renewed automatically. The appropriate renewal application shall be submitted on or before 120 days before the expiration of the license term.

(2) If the renewal application is approved by the Commission, the license renewal shall take effect January 1 thereafter.

7 Pa. Code § 187.2 License costs and fees.

(a) The applicant shall submit, along with its initial license application, the applicable license fees set forth in section 9352(3)(ii) of the act (relating to licensing costs and fees). The applicant shall also pay all costs incurred by the Commission in reviewing an application for an initial license, including any legal and investigative costs and the cost of other necessary outside professionals and consultants as set forth in the act.

(1) Any portion of the payment not required to complete the investigation shall be refunded to the applicant as provided in the act.

(3) To the extent additional costs will be necessary, the applicant shall reimburse the Commission in an amount reasonably requested by the Commission within 10 days of receipt of the request. Failure to submit an additional requested payment shall result in suspension of the processing of the license application and may result in denial of the license.

(b) For purposes of a renewal license, a racing vendor or totalisator company shall submit a renewal application, along with the applicable renewal fee and costs as set forth in section 9352(4)(ii) for the review to the Commission.

7 Pa. Code § 187.3 Application requirements.

(a) The application for an initial or renewal license for a racing vendor or totalisator company shall be in the form and manner prescribed by the Commission in accordance with the provisions of the act and this chapter. The Commission may deny a license to an applicant that provides false or misleading information or omits material information from the application. The SPMO application shall include all of the following:

(1) The applicant’s legal name.

(2) The location of the applicant’s principal office.

(3) The name, address and date of birth of each principal with a 5% or greater share of ownership or beneficial interest in the applicant.

(5) A detailed plan of how the applicable racing, wagering or other system to be licensed will operate. The Commission may require changes in the proposed plan of operations as a condition of granting a license. There shall not be subsequent material changes in the plan of operations unless ordered by the Commission or until approved by the Commission after receiving a written request.

(6) A list of all personnel assigned to work in this Commonwealth including processing wagers on races made by residents of this Commonwealth. This list shall be kept current and be provided to the Commission upon request.

(7) Copies of all documents required under this subsection by the Commission.

(8) Certification of compliance with totalisator standards and licensing requirements adopted by the Commission.

(10) An agreement to allow the Commission, if requested, to inspect and monitor each facility used by the racing vendor or totalisator in the performance of its racing related duties within this Commonwealth.

(11) Certification of the use of a pari-mutuel system which meets all requirements for a pari-mutuel system utilized by a licensed racing entity in this Commonwealth.

(12) Written evidence of tax compliance as set forth in section 9361 of the act (relating to tax compliance requirement).

7 Pa. Code § 187.4 Review and approval.

(a) The Commission shall determine the suitability, fitness and experience of a racing vendor or totalisator company and their key employees, consistent with the public interest, convenience and necessity and the best interests of racing generally.

(1) The integrity of the applicant and its principals, including:

(i) Whether the applicant or its principals are unsuitable.

(ii) Whether the applicant or its principals have been a party to litigation over business practices, disciplinary actions over a business license or refusal to renew a license.

(iv) Whether the applicant or its principals have failed to satisfy judgments, orders or decrees.

(v) Whether the applicant or its principals have been delinquent in filing tax reports or remitting taxes.

(2) The quality of physical facilities and equipment.

(3) The financial ability of the applicant to conduct wagering.

(5) The management ability of the applicant and its principals.

(6) Compliance of the applicant with applicable statutes, charters, ordinances and administrative regulations.

(7) The efforts of the applicant to promote, develop and improve the horse racing industry in this Commonwealth.

(8) The efforts of the applicant to safeguard and promote the integrity of pari-mutuel wagering in this Commonwealth.

(9) The economic impact of the applicant upon the Commonwealth.

(10) The racing vendor or totalisator organizations’ owners and sources of funds must have sufficient financial means to participate in the applicable pari-mutuel racing related activities, including sufficient assets and means to pay industry-related debts and obligations and to fund the operations of the entity.

7 Pa. Code § 187.5 Good-faith cooperation.

The applicant or licensed racing vendors and totalisators must be fully cooperative and act in good faith with all disclosure and other duties involved in a due diligence investigation, voluntarily submit to regulatory and investigating body oversight, permit inspection of each business record upon request by a regulatory authority or investigating body, promptly honor regulatory or investigating body requests for wagering patterns or other information and, after reasonable notice, permit full access to each facility and property by a regulatory authority or investigating body.

7 Pa. Code § 187.6 Waiver.

A due diligence investigation may rely on an investigation and oversight conducted by a Commission-approved entity or other gaming regulator.

7 Pa. Code § 187.7 Additional application information.

The Commission may request additional information from an applicant if the additional information would assist the Commission in deciding whether to issue or renew a license, including all of the following:

(1) Copies of any documents used by the applicant in preparing the application.

(2) A list of each contract between the applicant and a third party related to operations. The Commission may review the contracts at any time upon request.

7 Pa. Code § 187.8 Racing vendor or totalisator operations.

Before doing business in this Commonwealth may also require all of the following from either a racing vendor or totalisator licensee:

(1) Be qualified to do business in this Commonwealth.

(3) Remit to the Commission a copy of each document required to be filed with any Federal, State or local regulatory agency.

7 Pa. Code § 187.9 Penalties and enforcement.

The Commission shall have all rights, powers and remedies necessary to carry out the provisions of this chapter and to ensure the licensees’ compliance with the act, including revocation, suspension or modification of a license and the imposition of fines under section 9325 of the act (relating to power of commission to impose fines).

Chapter 189 Nonprimary Locations—Temporary Regulations

7 Pa. Code § 189.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Applicant—A duly licensed racing entity seeking to relocate an existing operational nonprimary location or reopening of a previously operational nonprimary location with the Commission. Architect—A person licensed to practice the profession of architecture. Center of the racetrack—The point located at the center of the area circumscribed by the inside rail of the racetrack. Charitable institution—A building occupied in whole or in part by an organization dedicated to the relief of a certain class of persons either by financial assistance, education or care on a not-for-profit basis and exempt from taxation under the Internal Revenue Code (26 U.S.C.A. § § 1—7872). Church—A building occupied in whole or in part by an organization engaged in religious worship or instruction. Engineer—A person licensed to practice the profession of engineering. Facility—The buildings or internal areas of buildings under the lease, possession, ownership or control by a licensed racing entity. Handle—The total amount of money wagered. Hospital—A building used in whole or in part for the extended, overnight, medical care of ten or more sick, wounded, aged or infirm persons. Local resident—A person whose residence is within 10 miles of a proposed nonprimary location. Nonprimary location—A facility in which pari-mutuel wagering is conducted by a licensed racing entity in accordance with this chapter other than the racetrack where live racing is conducted. Commonly known as off-track wagering (OTW) facility. Public park or playground—Land owned by the Commonwealth or a county, township, municipality, borough, school district or other governmental unit within this Commonwealth, open to the public for recreational purposes. Race related information—Current odds, program changes, order of finish and other information typically displayed to patrons at the racetrack on the infield tote board, with respect to a race upon which patrons of a nonprimary location may wager. School—A building used during the majority of the calendar year, in whole or in part, for educational or instructional purposes on a not-for-profit basis by an organization accredited by the Department of Education. Relocation or Reopen Petition—shall mean a petition filed with the Commission by a licensed racing entity seeking to relocate an existing operational nonprimary location or to reopen a previously licensed and operational nonprimary location.

7 Pa. Code § 189.2 Applicability.

(a) In accordance with section 9331(a) of the act (relating to pari-mutuel wagering at nonprimary locations), the Commission may approve a licensed racing entity to continue to operate a nonprimary location where it has previously conduct pari-mutuel wagering on horse races conducted by the licensed racing entity. This chapter applies to the relocation of existing operational nonprimary locations or to the reopening of a previously operational nonprimary location operated by a licensed racing entity.

(b) The chapter shall not apply to a petition by the licensed racing entity for the reconstruction, refurbishment or realignment of the physical facility, layout or floor space of an existing operational nonprimary location.

7 Pa. Code § 189.3 General provisions.

(a) Only a licensed racing entity may apply for the relocation or reopening of a nonprimary location.

(b) A duly licensed racing entity corporation may seek approval by the Commission for the relocation of an existing operational nonprimary location or for the re-opening of a previously operational nonprimary location by submitting a Relocation or Reopen Petition with the Commission.

7 Pa. Code § 189.11 Relocation or reopen petition and fees.

(a) A relocation or reopen petition, whichever is applicable, shall be in the form prescribed by the Commission and shall be accompanied by the necessary documents, information, architectural renderings, exhibits and any other information requested by the Commission.

(b) The Commission shall establish, adopt and publish the applicable relocation or reopen fee which must accompany the specific petition sought by the licensed racing entity. The licensed racing entity shall reimburse the Commission for any investigative, legal or administrative costs and fees associated with the review and approval of the petition.

7 Pa. Code § 189.12 Filing of a petition; documentation required.

(a) A petition and the documentation required shall be submitted as follows:

(1) Part I requires the submission of the following information, exhibits and documentation:

(i) The address of the location or physical location.

(ii) The name, address and telephone number of the owner of the real estate upon which the location will be situated.

(iii) A copy of the lease, purchase option or purchase agreement for the location.

(iv) The zoning of the location.

(v) A statement indicating whether the location is situated within 300 feet of a church, hospital, charitable institution, school, public park or playground.

(vi) A pro forma financial statement projecting attendance, handle and revenue at the location.

(vii) A statement of the projected cost of operation of the location.

(viii) A statement of the sources of funds used to construct the location including a copy of the loan commitment letter, loan documents or other documents setting forth the terms relating to the financing of the location and a certification that the licensed corporation’s State and local tax obligations are not in arrears.

(ix) A statement of the projected revenue and taxes to be paid to the State and local government.

(x) The anticipated impact on attendance, handle and purse structure at licensed facilities conducting live racing in this Commonwealth.

(xi) The areas from which the applicant expects to attract patrons to the location.

(xii) The population of the area within 35 air miles to the location.

(xiii) The number and types of full-time and part-time jobs to be created at the location.

(xiv) The number of jobs at the location to be filled by local residents.

(xv) The number and types of jobs to be created by the construction or renovation of the location.

(xvi) The distance between the location and racetracks conducting live racing in this Commonwealth.

(xvii) The owner and description of other businesses or uses to be conducted at the location.

(2) Part II requires the submission of the following information, exhibits and documentation:

(i) The number of floors, total square footage and seating capacity of the facility.

(ii) A description of the dining accommodations and concession areas to be contained in the facility, including the types of food and beverages to be available, the seating capacity and a description of the kitchen areas.

(iii) The number and location of fire escapes and emergency exits at the facility.

(iv) The number of rest rooms to be contained in the facility.

(v) A description of the general demeanor of the facility, including its decor and lighting, the type of seating to be provided and the areas of the facility where patrons can handicap races.

(vi) A description of the exterior and interior of the facility.

(vii) The architectural or engineering drawings of the physical location or internal facility.

(viii) A description of the heating, air conditioning, smoke removal and climate control equipment; and smoke and fire detectors to be used in the facility.

(ix) The provisions made to assure that the facility is accessible to the physically handicapped.

(x) A description of the parking areas to be provided at the location, including the name, address and telephone number of the owner of the parking facilities; a copy of lease agreements for parking; the number of parking spaces to be provided; the charge to be imposed for parking; and a description of traffic control to be provided.

(xi) A summary of any contracts relating to, and a complete description of, the pari-mutuel or totalisator equipment to be used in the facility and a statement describing the compatibility of that equipment with the equipment being used at the primary racetrack of the licensed corporation and the equipment in use at the other primary racetracks which will be transmitting their races to the facility. Copies of the contracts may be requested by the Commission.

(xii) A summary of contracts relating to, and a description of, the equipment to be used to include money wagered in common pari-mutuel pools, including the number of betting windows and stand-alone terminals to be provided. Copies of the contracts may be requested by the Commission.

(xiii) A summary of contracts relating to, and a description of, the equipment to be used for receiving transmissions of races and race related information. Copies of the contracts may be requested by the Commission.

(xiv) The name, address and telephone number of persons supplying equipment to the location.

(xv) A description of the procedures to be used to resolve patron complaints at the location.

(3) Part III requires the submission of the following information, exhibits and documentation:

(i) The plan the applicant intends to institute to recruit, train and upgrade employees on an equal opportunity basis.

(ii) Copies of contracts for the provision of goods and services to the location, including a notation of which contracts are with minority or female-owned businesses.

(iii) The name, address and telephone number of the location mutuel manager and whether that person is the holder of a license issued by the Commission.

(iv) The name, address and telephone number of the location director of security and whether that person is the holder of a license issued by the Commission.

(v) The name, address and telephone number of the general manager of the location and whether that person is the holder of a license issued by the Commission.

(vi) The names of the vendors and concessionaires providing goods or services, or both, to the location and whether the vendors or concessionaires hold a license issued by the Commission.

(vii) A description of the security plan for the location and a copy of the contracts relating to security at the location.

(viii) A copy of insurance policies applicable to the location.

(ix) A statement indicating whether an application has been made to the Liquor Control Board for a license or the transference of a license, permitting the sale or consumption of alcoholic beverages at the location and action taken on that application.

(x) A statement indicating whether the applicant has entered into an agreement for the simulcasting of races to the location.

(xi) The applicant’s strategy for preserving the integrity of live racing in this Commonwealth.

(xii) A copy of building, fire, occupancy, health and sanitation or other permits required by the Commonwealth or a county, township or municipality in which the location is situated.

(b) The Commission and its staff shall make an initial assessment of the specific petition to determine if it is complete, accurate and in accordance with the previous provisions. An incomplete petition or if the appropriate fee is not included with the petition, shall not be reviewed or considered by the Commission.

(c) The Commission may employ the services of architects, engineers, accountants or other specialists to assist in the evaluation of a petition or to inspect work performed at a nonprimary location.

7 Pa. Code § 189.13 Review of petition.

(a) Prior to granting approval of a petition for the relocation of an existing operational nonprimary location or the reopening of a previously operational nonprimary location by the licensed racing entity, the Commission, will conduct its due diligence and review of the proposed location and facility. To further its review, the Commission may:

(1) Require an oral presentation by the Petitioner as determined by the Commission;

(2) Receive and utilize documents, transcripts and information from other racing, gaming or zoning regulatory entities, in or outside of this Commonwealth;

(3) Seek written public comments from interested persons from the county in which the proposed facility will be located, as set forth in § 189.14 (relating to written public comment);

(4) Conduct a public comment hearing, if necessary, in accordance with the provisions set forth in § 189.15 (relating to public comment hearing); or

(5) Adopt any other procedure deemed necessary and appropriate to assist it in the review of the proposed facility.

7 Pa. Code § 189.14 Written public comment.

(a) If the Commission determines, in its sole discretion, the need for written public comment relating to the relocation of an existing nonprimary facility or the re-opening of a previously operational nonprimary location, the Commission may utilize the following procedures:

(1) The Commission shall provide notice of the licensed racing entity’s submitted petition and location at its monthly public meeting immediately following receipt of the petition or it may publish the notification of the licensed racing entity’s petition in the Pennsylvania Bulletin.

(2) There shall be a 30-day period following notice as set forth in subsection (1) during which written comments may be submitted by interested persons.

(3) Written public comment shall be limited to verifiable residents of the county in which the proposed facility will be relocated or reopened.

(4) Written comments submitted during the 30-day comment period will be retained and incorporated into the record to be reviewed and considered by the Commission.

(b) The purpose of the written public comments is to assist the Commission in assessing the impact the relocation of an existing nonprimary facility or the reopening of a previously operational nonprimary location may have on the local community.

This section cited in 7 Pa. Code § 189.13 (relating to review of petition); and 7 Pa. Code § 189.15 (relating to public comment hearing).

7 Pa. Code § 189.15 Public comment hearing.

(a) The Commission will provide an opportunity for the licensed racing entity or any other interested agency, person or group of persons within the county where the proposed facility will be located to submit a written request for a public comment hearing regarding the nonprimary location petition.

(b) The written request seeking a public comment hearing must:

(1) be filed within the 30-day time period set forth in § 189.14 (relating to written public comment);

(2) clearly and concisely identify the specific interest of the person filing the request, including name, address, telephone number, of the requesting person; and

(3) set forth the specific reasons why a hearing is warranted.

(c) The Commission shall review the written request for a public comment hearing to determine whether the public comment hearing would assist it in assessing and evaluating the proposed location and whether the petition is consistent with the best interests of racing and the standards for approval set forth in these regulations.

(d) If the Commission determines, in its sole discretion, the need for a public comment hearing relating to the licensed racing entity’s petition, the Commission shall:

(1) Inform the requesting petitioner;

(2) Publish notice of the proposed public comment hearing in the Pennsylvania Bulletin, post it on the Commission’s web site, and if practicable, publish notice of the public comment hearing in a newspaper of general circulation for the county in which the proposed nonprimary facility will be located;

(3) Identify and coordinate with the local municipality the proposed location and time for the public comment hearing;

(4) Designate a Commissioner, assign a hearing officer or appoint another Commission designee to conduct the public meeting and receive public comments;

(5) Develop and post on the Commission’s web site the procedures that will be used to conduct the public comment hearings. At its discretion, the Commission may terminate, recess, reconvene and continue the public comment hearing.

This section cited in 7 Pa. Code § 189.13 (relating to review of petition).

7 Pa. Code § 189.16 Intervention in a nonprimary location petition.

(a) This subsection pertains exclusively to intervention in a petition for the relocation of an existing nonprimary facility or the reopening of a previously operational nonprimary location under this section and is not applicable to other hearings before the Commission. The right to intervene in a hearing under this section is within the sole discretion of the Commission.

(1) A person wishing to intervene in the matter before the Commission shall file a petition to intervene in accordance with this subsection.

(2) A person may file a petition to intervene under this subsection if the person has an interest in the proceeding which is substantial, direct and immediate and if the interest is not adequately or otherwise represented in the matter.

(3) Petitions to intervene in nonprimary location matters shall be filed within 30 days from the date of published notice by the Commission of the receipt of the nonprimary location petition.

(4) Petitions to intervene must set out clearly and concisely the facts demonstrating the nature of the alleged right or interest of the petitioner, the grounds of the proposed intervention, and the position of the petitioner in the proceeding. The petitioner shall fully and completely advise the licensed racing entity and the Commission of the specific issues of fact or law to be raised or controverted and cite provisions or other authority relied upon.

(5) The licensed racing entity seeking the relocation or reopening of the nonprimary location may file an Answer to a Petition to Intervene, and in default thereof, will be deemed to have waived any objection to the granting of the petition. If made, answers shall be filed within 10 days after the date the petition to intervene is filed with the Commission, unless for cause the Commission prescribes a different time. A complete copy of the Answer to the Petition to intervene shall be served on the Commission and the petitioner who seeks to intervene.

(6) Except when the Commission determines that it is necessary to develop a comprehensive evidentiary record, the participation of a person granted the right to intervene in the nonprimary location matter will be limited to the presentation of evidence through the submission of written statements attested to under oath. The written statements shall be part of the evidentiary record.

(b) This section supersedes any conflicting provisions contained in the Commission’s administrative regulations relating to practice and procedure and 1 Pa. Code Part II (relating to General Rules of Administrative Practice and Procedure).

7 Pa. Code § 189.17 Standards for approval.

(a) Under section 9331 (relating to pari-mutuel wagering at nonprimary locations) of the act, the Commission will consider the following in determining whether to grant or deny approval of a petition:

(1) Whether the proposed relocated or reopened facility contains or has access to amenities such as the restaurants and handicapping facilities required by the act.

(2) Whether the facility will create jobs in the construction and service industries as well as continue to create jobs within the racing and wagering industry.

(3) Whether the facility will have a positive, neutral or negative impact on the integrity of live racing, including its effect on the attendance, handle and purse structure of live racing.

(4) The anticipated impact on the local community, including the potential for job creation on an equal opportunity basis and the effect on local businesses.

(5) The quality of the physical facilities and services to be provided.

(6) The public interest.

(7) Whether the applicant plans to institute measures to ensure that employees are recruited and trained for positions on an equal opportunity basis and that contracting opportunities are open to all firms.

(8) Information, documents or exhibits submitted as part of a petition.

(b) No single factor will be paramount. In rendering a decision, the Commission will determine whether the proposed relocated or reopened nonprimary location is in the best interests of racing.

(c) Approval of a relocated or reopened nonprimary location is granted upon the condition that the licensed racing entity accept and continue to observe the rules of the Commission. The approval of a nonprimary location does not prevent the Commission from ordering modification of the facility or operations at the nonprimary location if the Commission finds evidence of noncompliance with the act, this chapter or that the construction or reconstruction of the facility is not being performed as set forth in the approved petition.

(d) Approval issued by the Commission will contain the following conditions:

(1) The Commission, its agents or employees will have immediate and complete access to the areas where activity is being or will be conducted under the act or this part, as necessary to determine compliance with the act and this part, upon presentation of appropriate credentials and without advance notice or a search warrant.

(2) Records and reports pertaining to activities conducted under the act or this part shall be produced for inspection upon demand by the Commission, its agents or employees.

7 Pa. Code § 189.21 Concessionaires or vendors.

(a) A person, firm, concessionaire or vendor which holds a concession, right or privilege to perform a service or sell an item at a nonprimary location operated by a licensed racing entity shall be licensed by the Commission.

(b) The licensed racing entity, if requested by the Commission, shall provide a copy of an audited financial statement reflecting its operations at each nonprimary location.

7 Pa. Code § 189.22 Display of races and race related information at a nonprimary location.

(a) The following shall be offered to patrons at every nonprimary location:

(1) Audio and video coverage of every race upon which patrons of the nonprimary location are permitted to wager, including coverage of the horses in the paddock and while scoring.

(2) Video coverage of race related information for every race upon which patrons of the nonprimary location are permitted to wager.

(b) A nonprimary location shall be equipped with a system permitting the reception of transmissions of races and race related information without interference or interception.

(c) A licensed corporation operating a nonprimary location shall develop and implement a security system to protect the equipment being used to receive transmissions of races and race related information from tampering.

(d) If the reception of the video coverage of a race is interrupted, the audio coverage of the race shall continue to be presented.

(e) If the reception of the audio coverage off the race is interrupted, the video coverage of the race shall continue to be displayed.

(f) If the reception of the audio and video coverage of a race is interrupted during the running of the race, wagering being conducted on future races at the nonprimary location shall cease until the transmissions are restored. If the interruption of audio or video coverage, or both, prevent the display of a race at the nonprimary location, a replay of the race shall be displayed at the nonprimary location as soon after the restoration of coverage as possible.

(g) At least 30 minutes prior to the beginning of wagering at the nonprimary location, a test of the equipment used to receive and display races and race related information at the nonprimary location shall be conducted to ensure that the system is operating properly.

7 Pa. Code § 189.23 Wagering requirements.

(a) Wagering on races at a nonprimary location shall be conducted using the pari-mutuel system of wagering.

(b) A nonprimary location shall be equipped with:

(1) A communication system that permits communication among the pari-mutuel department of the nonprimary location and the pari-mutuel department and Judges of racetracks conducting races on which patrons of the nonprimary location may wager.

(2) A system capable of ensuring that money wagered on a particular race is included in the pari-mutuel pool of the racetrack conducting the race.

(3) A system capable of ensuring that pari-mutuel machines at the nonprimary location lock upon the ringing of the bell or upon the closing of wagering for any reason.

(c) Pari-mutuel wagering on races shall be conducted using pari-mutuel tickets sold from machines approved by the Commission. No pari-mutuel machine will be approved unless it is compatible with the system required by subsection (b)(2).

(d) The transmission of wagering data between the nonprimary location and the racetrack conducting a race upon which wagering is permitted shall be independent of the transmission of audio and video coverage of the race and race related information. The system shall be tested at least 30 minutes prior to the beginning of wagering at the nonprimary location.

(e) Patrons at nonprimary locations shall be afforded the same wagering opportunities on a particular race as patrons at the racetrack. Patrons at the racetrack shall be afforded the same wagering opportunities on a particular race as patrons at nonprimary locations. Winning pari-mutuel tickets purchased at a facility within a racetrack enclosure shall be cashed at a facility within the racetrack enclosure.

(f) Persons employed in the pari-mutuel department of a nonprimary location operated by a licensed corporation of the Commission shall be considered pari-mutuel employees of the licensed corporation for purposes of reports to the Commission and the Department of Revenue.

(g) Reports of pari-mutuel wagering required by this part shall reflect the request information separately for each nonprimary location operated by the licensed corporation.

(h) The stop betting command shall be noted by the ringing of the bell at the nonprimary location or other device as approved by the Commission.

(i) A licensed corporation shall submit written notice of its intention to suspend or terminate operations at a nonprimary location at least 60 days prior to the suspension or termination. The 60-day notification period may be reduced by the Commission for good cause shown.

7 Pa. Code § 189.24 Location mutuel manager.

An individual shall be designated as a location Mutuel Manager at each nonprimary location who shall:

(1) Oversee the pari-mutuel operations at the nonprimary location.

(2) Receive communications from the Mutuel Manager of each racetrack conducting races upon which patrons of the nonprimary location may wager.

(3) Oversee the operation of the equipment being used to include money wagered at the nonprimary location in the pari-mutuel pool at the racetrack conducting the race and suspend wagering at the nonprimary location if the money wagered is not being transmitted to the pari-mutuel pool at the racetrack conducting the race.

(4) Be responsible for ensuring that laws and regulations governing pari-mutuel wagering are observed at the nonprimary location.

(5) Be licensed by the Commission.

7 Pa. Code § 189.31 Maintenance of a nonprimary location facility.

(a) A licensed racing entity that relocates or reopens a nonprimary location shall:

(1) maintain the grounds, premises, physical facility, internal or external, at the nonprimary location so as to be neat and clean, painted and in good repair, with special consideration for the comfort and safety of patrons, employees and other persons whose business requires their attendance;

(2) maintain in good working order the equipment being used to transmit and receive audio and video signals, to display the audio and video signals and to include money wagered in common pari-mutuel pools.

(b) Plans for renovations, rehabilitations or changes to be made to a nonprimary location after the beginning of operations shall first be approved by the Commission before being implemented.

7 Pa. Code § 189.32 Impermissible conduct.

(a) While at a nonprimary location, no person may:

(1) Use improper, profane or indecent language to a racing official, licensee or Commission employee.

(2) Disturb the peace or make himself obnoxious to others.

7 Pa. Code § 189.33 Power of eviction or ejection.

The licensed racing entity may exercise its statutory authority and common law rights to evict a patron from a nonprimary location if the facility is also located within a licensed gaming facility. If a patron is ejected from the floor of the nonprimary location for lawful reasons, the patron shall not be entitled to a hearing.

7 Pa. Code § 189.34 Inspection authorization.

(a) The Commission, its agents or employees will have access to, and require the production of, books and papers, documents and physical evidence pertinent to a matter being investigated under the act or this part.

(b) At least annually, the Commission, its agents or employees will inspect the nonprimary location to determine whether the licensed racing entity is maintaining its nonprimary location in good condition and whether adequate provision for rehabilitation and capital improvements has been made.

7 Pa. Code § 189.35 Nondiscrimination.

A licensed racing entity may not discriminate against an employee, applicant for employment, independent contractor or other person because of race, color, religious creed, ancestry, National origin, age, sex or nonjob related handicap or disability.

7 Pa. Code § 189.36 Admission of minors.

No licensed corporation may permit a person who is 21 years of age or younger to wager at a nonprimary location. Except that: This section does not prohibit persons 18 years of age or younger who are legally employed from being on the nonprimary location premises for the sole purpose of performing their duties as employees. If the relocated or reopened nonprimary location is constructed within a duly licensed gaming facility or casino, the licensed racing entity may exclude anyone from its facility under the age of 21.

Subpart C Pari-Mutuel Wagering

Chapter 191 General Provisions—Temporary Regulations

7 Pa. Code § 191.1 General requirements.

(a) Pari-mutuel wagering utilizes a totalisator system to pool wagers. Totalisator companies or providers shall be duly licensed in accordance with the applicable provisions of the act and Chapter 187 (relating to racing vendors and totalisators—temporary regulations) of these regulations. The totalisator system may be located on property of a licensed racing entity or may, subject to compliance with the provisions of the act and these rules, reside at another location.

(b) Wagering subject to approval and compliance with applicable law and rules, may be accepted by separate totalisator systems in this or other jurisdictions, and combined by means of communication between totalisator systems.

(c) The Commission may, without specific reference in these rules, utilize a designee for the purposes of licensing, certification, verification, inspection, testing and investigation. A Commission designee may be another Commission or equivalent regulatory authority, a multi-jurisdictional group of regulatory authorities an association of regulatory authorities or auditing, consulting, security, investigation, legal services, or other qualified entities or persons.

(d) The Commission may enter into multijurisdiction agreements with other regulatory authorities to facilitate certification of compliance with requirements by, and licensing of, totalisator companies, entities providing services for simulcasting and common pool wagering, secondary pari-mutuel organizations, racing vendors and advance deposit account wagering systems. These agreements shall, at a minimum, ensure certification and licensing requirements comparable to this jurisdiction.

7 Pa. Code § 191.2 Definitions.

The following words and terms, when used in this part, have the following meanings, unless the context clearly indicates otherwise: Account—An account for account wagering with a specific identifiable record of deposits, wagers and withdrawals established by an account holder and managed by the licensed racing entity or secondary pari-mutuel organization. Advance deposit account wagering system—ADW system—A system by which wagers are debited and payouts are credited to an advance deposit account held by a licensed racing entity or by its licensed racing vendor or secondary pari-mutuel organization on behalf of a person. Authorized Pari-Mutuel Wagering Entity—APWE—A duly licensed racing entity, a licensed racing vendor or a licensed SPMO which engage in or conduct all forms of pari-mutuel wagering, including licensed advanced deposit wagering. Carryover—The non-distributed pool moneys which are retained and added to a corresponding pool in accordance with these regulations. Common Pool Wagering—A pari-mutuel wagering pool administered in one jurisdiction which includes legal wagers of a single type placed in more than one jurisdiction on a race or series of races. Expired ticket—An outstanding ticket which was not presented for redemption within the required time period for which it was issued in accordance with the Commission’s regulations. Independent Real Time Monitoring System—A system approved by the Commission for the purpose of immediate and continuous analysis of wagering and other pari-mutuel systems data to detect suspect wagering transactions or other activity indicating a possible problem relating to the integrity of the pari-mutuel system and which transmits transactional level data to a wagering security database. Interstate off-track wager—A legal wager placed or accepted in one state with respect to the outcome of a horse race taking place in another state and includes pari-mutuel wagers, where lawful in each state involved, placed or transmitted by an individual in one state by means of telephone or other electronic media and accepted by an off-track betting system in the same or another state, as well as the combination of any pari-mutuel wagering pools. Licensed Racing Entity—Any person that has obtained a license to conduct live Thoroughbred or harness horse race meetings respectively with pari-mutuel wagering from the Commission. Live Racing Event Host—A licensed racing entity where live horse racing is conducted and on which pari-mutuel wagering is conducted by secondary pari-mutuel organizations. Net amount wagered—The amount wagered reduced by the retention imposed under the laws of the Commonwealth or another jurisdiction. On-track wager—A wager with respect to the outcome of a horse race which is placed at the racetrack at which the horse race takes place. Pari-Mutuel Cash Voucher—a document or card produced by a pari-mutuel system device on which a stored cash value is represented and the value of which is recorded in and redeemed through the pari-mutuel system. Pari-Mutuel Pool Host—A licensed racing entity that operates and controls access of secondary pari-mutuel organizations to, a pari-mutuel pool. Pari-Mutuel Ticket—A document printed or record produced by a pari-mutuel system device on which is represented a pari-mutuel wager or wagers that have been authorized and accepted for purposes of participation in a pari-mutuel pool. Pari-Mutuel System—The hardware, software and communications equipment used to record wagers, calculate payouts for winning wagers, and transmits wagering transactions and pari-mutuel pool data for display to patrons and to communicate with other pari-mutuel systems linked to facilitate common pool wagering. Pari-Mutuel Wagering—A form of wagering, including manual, electronic, computerized and other forms as approved by the Commission, on the outcome of a horse racing event in which all wagers are pooled and held by authorized pari-mutuel wagering entities for distribution of the total amount, less the deductions authorized by law, to holders of winning tickets. Payout—The amount of money payable to winning wagers. Real Time Transaction Monitoring System—An operating system that can respond to input immediately, within the actual time in the real world during which an event takes place. The system must be able to react to a steady flow of new information without interruption and perform its tasks within the same time constraints as the totalisator system it monitors. Simulcast—Live video and audio transmission of a race and pari-mutuel information for the purpose of pari-mutuel wagering at locations other than a licensed association where the race is run. Takeout—The total amount of money, excluding breakage, withheld from each pari-mutuel pool, as authorized by section 9335 of the act. Totalisator System Standards—Minimum standards for approval and operation of a pari-mutuel wagering system. Wagering Transmission Protocol (WTP)—A pari-mutuel wagering system protocol that facilitates transmission of wagering transaction detail to a host totalisator.

Chapter 193 Pari-Mutuel Wagering and Tickets—Temporary Regulations

7 Pa. Code § 193.1 Pari-mutuel wagering.

(a) All licensed racing entities shall use a pari-mutuel ticket machine for the sale of pari-mutuel tickets, unless otherwise authorized by the Commission. All licensed racing entities or other approved entities shall be required to use totalisator systems licensed by the Commission.

(1) No electronic calculator may be deemed one of approved design unless it is capable of registering by automatic electronic or mechanical means on central aggregators all wagers made on each horse, entry, or the field, in each of the straight, place and show pools, and displaying the totals so registered in a way as to permit ready tabulation thereof by the representative of the Commission.

(b) The controls necessary to operate the Odds Board in the infield, relative to the way the horses finish, (if the finish is being contested, if there is a photo, dead-heat, time of race) are to be located in the Judges or Stewards’ stand and controlled only by the Judges or Stewards.

7 Pa. Code § 193.2 Sale of pari-mutuel tickets.

(a) The method of generating and selling pari-mutuel tickets by licensed racing entities or other approved entities shall be approved by the Commission.

(b) Bookmaking or wagering other than pari-mutuel wagering is strictly prohibited.

(d) All wagering shall stop and all pari-mutuel machines shall be locked on post time or the actual start of all races, whichever shall first occur. These machines shall be automatically locked by the control of the Starter or by the Judges or Stewards as either case shall require in each race.

(e) When the sale of pari-mutuel tickets has closed, it shall remain closed until after the race has finished.

(f) No pari-mutuel ticket shall be sold for less than $2 except with specific approval by the Commission.

(g) The Manager of the Pari-Mutuel Department shall be properly and timely advised by the Judges or Stewards prior to the beginning of wagering on each race, of the horses that will compete in the race and any changes from those listed in the official program.

(h) If less than six interests qualify horses to start in a race, the Manager of the Pari-Mutuel Department, with the consent of the representative of the Commission, may prohibit Show wagering on that race.

(i) If less than five interests qualify horses to start in a race, the Manager, with the consent of the representative of the Commission, may prohibit both Place and Show wagering on that race.

(j) If less than three interests qualify horses to start in a race, the Manager, with the consent of the representative of the Commission may prohibit wagering on the race.

(k) The Manager, with the consent of the representative of the Commission, may prohibit wagering on any particular horse or entry in any race. The consent shall be sought by the Manager of the Pari-Mutuel Department from the representative of the Commission after the entries are closed on the day previous to that during which the races in which exclusions are desired are to be conducted. The exclusions, if consented to by the representative of the Commission, shall be clearly indicated on the program or score card and horses excluded shall be numbered so as to in no way infer that they are coupled in the field. Horses once excluded from the wagering shall remain excluded during the day or race in which they are scheduled to start.

(l) Coupled entries in Daily Double, Twin Double, or Perfecta races shall be allowed as provided in the Commission’s regulations.

(m) When one or more horses representing separate interests are started in a race than the number of post positions on the infield tote board, all horses in excess of a number of interests one less than the total number of post positions on the infield tote board shall be grouped in the wagering as the field.

(n) A refund cost value shall be made to all holders of a purchased ticket bearing the number of a horse in any race which has been scratched or withdrawn before said horse has become a Starter in the race under the provisions of this part.

(o) No claims or assertions of any nature relating to any way to any alleged defect, misprint, or other form of error or mistake in the printing, imprinting, sale, or issuance or any pari-mutuel ticket will be entertained or allowed after the purchaser has left his place at the selling window. The act of removal from the selling window by any purchaser shall be conclusively deemed to be an acceptance of a ticket as actually printed and issued and to be an intentional, knowing waiver of any and all defects, mistakes, or errors thereon. Verification of the accuracy of all these tickets shall be the responsibility of the purchasers thereof.

(p) No person shall present or cause any pari-mutuel ticket to be presented or processed in return for payment of any commission, premium, discount, or other consideration of any nature other than the authorized pool payment to be distributed in full to the owner or owners thereof.

7 Pa. Code § 193.3 Payments.

(a) Unless otherwise approved by the Commission, payments due on all wagers shall be made in conformity with the well-established practice and procedures of the pari-mutuel system. The practice is to work in dollars and not in the number of tickets. Money wagered on winning tickets is returned in full, plus the profits. In all cases of a winning mutuel pool, each licensed racing entity must redistribute not less than $2.20 on each $2 wager, except that in a race in which there is a minus pool, the licensed racing entity must distribute $2.10 on each $2 wager.

(b) Payments on all winning pari-mutuel tickets and tickets refundable according to rules shall be made only on presentation and surrender of the appropriate ticket. Mutilated tickets and those whose validity are questioned shall be submitted to the Commission for inspection and approval before payment.

(c) At the end of each race, the Placing Judges or other racing official shall advise the Manager of the Pari-mutuel Department and the representative of the Commission in writing of the official placement of the horses.

(d) If a horse wins and there is no money wagered on him to win, the win pool shall be apportioned among the holders of the place tickets on that horse, if any, otherwise, holders of the show tickets.

(e) If no money has been wagered to place on a horse which is placed first or second in a race, the place pool for that race shall be apportioned among the holders of the place tickets on the other horse which was placed first or second.

(f) If no money has been wagered to show on a horse which has placed first, second or third in a race, the show pool in that race shall be apportioned among the holders of show tickets on the other horses which are placed first, second or third in that race.

(g) In the event that only two horses finish in a race, the show pool shall be figured the same as the place pool and the moneys apportioned to the holders of show tickets on the two finishing horses. In the event only one horse finishes in a race, all three pools shall be figured separately as straight pools and all the moneys shall be awarded to the ticket holders of the finishing horse. In the event no horse finishes the race, then the entire pool shall be refunded to all ticket holders.

(h) If two horses finish in a dead heat for first place, the money in the win mutuel pool is divided between the two dead-heaters according to their proportionate shares in the pool.

(i) If two horses finish in a dead heat for second place, the division is made as follows: there shall be allotted to the pool of the winner of the race one-half of the place pool and the two dead-heaters one-half each of the remaining half of the place pool.

(j) If two horses coupled in the betting as an ‘‘entry’’ or ‘‘the field’’ finish first and second, first and third or second and third, the division of the net show pool shall be as follows: two-thirds of the net show pool shall be allotted to the pool of the entry and the balance one-third to the other horse.

(k) In the event that one horse of the entry or the field finishes first or second and the other part of the entry or field finishes in a dead heat for third with another horse, the division of the net show pool shall be as follows: one-half of the net show pool shall be allotted to the pool of the entry, one-third to the horse finishing first or second, and one-sixth to the horse finishing in the dead heat with the entry for third.

(l) If the entry or field horses should finish first, second and third, then the entire money in each pool goes to the entry or field tickets, no other tickets participating.

(m) If an error is made in posting pay off figures on the public board and no payments have been made, it shall be corrected promptly and a statement explaining the facts made over the public address system forthwith. In the event of an error resulting in overpayment, any payments already made shall be deemed final and the recipients shall be entitled to retain the same. In the event of an error in calculations which results in an under payment and payments have already been made the amount of the under payment shall be promptly ascertained and confirmed by the Commission. Upon the confirmation, the under payment shall be transferred to the next corresponding pool on the racing program of the same day. In the event the amount of the under payment cannot be ascertained and confirmed before the conclusion of the racing program of the day, the under payment shall be escrowed by the Association and distributed in the pools of all races on the daily program next run. No deferred redistribution of any under payment shall be undertaken without prior consent of the Commission. Under payments shall be promptly and fully reported to the Commission. An under payment not distributed or un-distributable prior to the end of a meet shall be held in trust and transferred into the next corresponding pool of the next race meeting of the licensed racing entity in question.

(n) All winning pari-mutuel tickets must be presented for payment before April 1st of the year following the year of their purchase and failure to present any ticket within the prescribed period of time shall constitute a waiver of the right to participate in the award or dividend. After April 1st of the year following the year of their purchase, all licensees shall forward to the State Treasurer all funds so held for the uncashed tickets. The Commission shall be notified by the licensee of the amounts so forwarded.

(o) No mutilated pari-mutuel ticket that is not easily identifiable as being a valid ticket shall be accepted for payment.

(p) No person acting alone or in concert with any other party or entity shall deface, alter, change, or attempt to duplicate or reproduce any pari-mutuel ticket or attempt to effect a defacement, alteration, change, duplication or reproduction nor shall any person or persons in any manner attempt to present or negotiate any ticket for payment however or whenever the same may have been defaced, altered, changed, reproduced or duplicated.

(q) No claims for a pari-mutuel ticket which the holder alleges he has lost or claims for a pari-mutuel ticket which is not in the possession of the holder, shall be considered for payment by a licensed racing entity or by the Commission.

7 Pa. Code § 193.4 Daily Double.

(a) No Daily Double shall be conducted without permission of the Commission. There shall be no exchange of Daily Double tickets after the purchase thereof, all tickets on the Daily Double will be calculated in an entirely separate pool.

(b) To win a Daily Double, it is necessary for the purchaser of a Daily Double ticket to select the winners of each of the two races specified for the double. If either of his selections fails to win, his contract is void, except as hereafter provided.

(c) All tickets will be to win (Straight) only. Horses designated and listed as the ‘‘Field,’’ race as one horse in the Daily Double. If two or more horses in a race are listed as ‘‘Field’’ on the same totalisator ticket, there shall be no refunds, unless all the horses so listed are excused before ‘‘off’’ time.

(d) Selections are to be made of one horse for each of two races in the Daily Double by ‘‘Tote’’ program numbers.

(e) If no ticket is sold combining the two winners of the Daily Double, the pool shall then be apportioned equally between those having tickets including the winner in the first race of the Daily Double and those having tickets including the winner in the second race of the Daily Double in the same manner in which a Place Pool is calculated and distributed.

(f) If no ticket is sold on the winner of the first race of the Daily Double on any combination, the entire pool is apportioned to the holder of tickets on the winner of the second race of the Daily Double. Likewise, if no ticket is sold on the winner of the second race of the Daily Double on any combination, the entire pool is apportioned to the holders of tickets on the winner of the first race of the Daily Double.

(g) If a dead heat to win should result in either the first or second race of the Daily Double, the total pool is calculated as a place pool. In case of a dead heat for the winner of the first race of the Daily Double, the posting of payoff prices will be made after winner of second race of the Daily Double is Official.

(h) If no ticket is sold containing the numbers of either winner on any combination, the pool shall be allotted to those having tickets on horses finishing second in each of the two contests, but if there are no wagers, then the entire pool shall be refunded on Double wagers for those contests.

(i) In the event any horse or horses in the first half of the Daily Double should be excused by the racing officials after the horses shall have left the paddock for the post, or after the betting on the Daily Double has been closed, or should any horse or horses in the first half of the Daily Double be prevented from racing because of failure of the starting gate to open, the money wagered on any horse or horses so excused or prevented from racing shall be deducted from the Daily Double Pool and refunded to the purchaser or purchasers of tickets on the horse or horses so excused or prevented from racing.

(1) Should any horse or horses be scratched, excused by the racing officials or prevented from racing because of the failure of the starting gate to open in the last half of the Daily Double, all tickets combining the horse or horses with the winner of the first race of the Daily Double shall become consolation tickets and shall be paid a price per dollar bet determined as follows: the net Daily Double Pool (the gross Daily Double Pool less tax) shall be divided by the total purchase price of all Daily Double tickets designating the winner of the first half of the Daily Double and the quotient attained shall constitute the price to be paid. The total amount payable on consolation tickets shall be deducted from the net Daily Double Pool.

(j) The possible payoff prices shall be posted or announced to the public before the start of the last race of the Daily Double, and as soon as possible after the horses in the race of the last half of the Daily Double have entered upon the track on the way to the post.

(k) In case the second half of the Daily Double is not raced due to rain, or for any other cause, the entire pool shall be apportioned and paid, less commission, to the holders of tickets on the winner of the first race of the Daily Double.

(1) If a Daily Double is scheduled to be held, subsections (a)—(k) inclusive of this Rule shall be printed on the day’s racing program and notice printed on said program as follows: ‘‘Retain your tickets until the result of the Daily Double has been posted.’’

7 Pa. Code § 193.5 Perfecta (Exacta).

(a) No Perfecta (Exacta) wagering shall be conducted without permission of the Commission. The races in which Perfecta (Exacta) type pari-mutuel wagering will be permitted shall only be those designated by the Commission and separate pools shall be established therefor.

(b) To win a Perfecta (Exacta), it is necessary for the purchaser of a Perfecta (Exacta) ticket to select in order the horse declared the winner and the horse declared to have placed in the race in which Perfecta (Exacta) type wagering is permitted. If either of the selections made by the purchaser fails to be declared to have finished in the position designated by the purchaser when purchasing the Perfecta (Exacta) ticket, then the contract is void except as hereinafter provided.

(c) Should there be a dead heat to win in a Perfecta (Exacta) race, holders of tickets combining those two horses in either order will share in the Perfecta (Exacta) payoff. Should there be a dead heat for place, holders of tickets combining the horse declared the winner with either of the horses declared to have finished in the dead heat for place shall share in the Perfecta (Exacta) payoff. In both of the aforementioned instances, the net pool shall be distributed and calculated in the same manner as a Place Pool.

(d) As a profit split to those whose combination included either the first-place betting interest to finish first or the second-place betting interest to finish second, but if there are no wagers on one of those two finishers, then

(1) As a single price pool to those whose combination included the one covered betting interest to finish first or second in the correct sequence, but if there are no wagers, then

(i) The entire pool shall be refunded on Exacta wagers for that contest.

(e) In the event a horse or horses in the Perfecta (Exacta) should be excused by the racing officials after the horses have left the paddock for the post, or after the betting on the Perfecta (Exacta) has been closed, or should a horse or horses in the Perfecta (Exacta) be prevented from racing because of failure of the starting gate to open, the money wagered on the horse or horses so excused or prevented from racing shall be deducted from the Perfecta (Exacta) Pool and refunded to the purchaser or purchasers of tickets on the horse or horses so excused or prevented from racing.

(f) In the event only one horse finishes the race and is declared the winner, the net pool shall be distributed to holders of Perfecta (Exacta) tickets designating to win the horse declared the winner.

(g) ‘‘Fields’’ are permitted in a Perfecta (Exacta) race. If two or more horses in a Perfecta (Exacta) race are listed as the ‘‘Field’’ on totalisator tickets they shall be counted as a single selection for determining the order of finish. In the event two field entries finish in first and second place, only the one finishing first shall be deemed a winning entry for Perfecta (Exacta) purposes and the next closest non-field entry shall be deemed the second place finisher for Perfecta (Exacta) wagers. There shall be no refunds for field entries, unless all the horses listed in the field are excused before ‘‘off’’ time.

7 Pa. Code § 193.6 Quiniela.

(a) No Quiniela wagering shall be conducted without prior permission of the Commission. The races in which Quiniela-type pari-mutuel wagering will be permitted shall only be those designated by the Commission and separate pools shall be established therefor.

(b) The principle of a Quiniela is, in effect, a contract by the purchaser of a Quiniela ticket to select the first two horses to finish in a race. The order in which the horses finish is immaterial. The Quiniela is not a ‘‘parlay’’ and has no connection with or relation to win, place or show betting, and will be calculated in an entirely separate pool.

(c) In cases of a dead heat between the two horses for first place, the combination shall be the winner of the Quiniela pool.

(d) In case of a dead heat between two horses for second place, the pool shall be figured as a Place pool, the holders of tickets combining the winning horse and the two horses finishing second participating in the payoff.

(e) In case of a dead heat for second place, and no ticket is sold on one of the two winning combinations, the entire net pool shall be calculated as a win pool and distributed to those holding tickets on the winning combination.

(f) If no ticket is sold on the winning combination of a Quiniela pool, the net pool shall be apportioned equally between those having tickets including the horse finishing first and those having tickets including the horse finishing second, in the same manner in which a place pool is calculated.

(g) If no ticket is sold that would require distribution of a Quiniela pool to a winner as above defined, the licensee shall make a complete and full refund of the Quiniela pool.

(h) In case of a scratch in a Quiniela race, the patron holding a ticket on the scratched horse will receive a refund.

7 Pa. Code § 193.7 Trifecta.

(a) No trifecta wagering may be conducted without permission of the Commission. The only races in which ‘‘trifecta’’ type pari-mutuel wagering is permitted, are those races designated by the Commission and a separate pool is established therefor.

(b) The trifecta is a form of pari-mutuel wagering in a single race in which the bettor selects a ticket combining in exact finishing order, as officially posted the first, second and third place winner.

(c) The trifecta is not a parlay and except as set forth in this section, has no connection with or relation to the win, place and show betting and will be calculated as an entirely separate pool.

(d) Trifecta tickets shall be sold in at least $2 denominations or in denominations as from time to time are approved by the Commission.

(e) If no ticket is sold on the winning combination of a trifecta pool, the net pool shall be distributed to the holders of tickets selecting the win and place finishers in that order. If no ticket is sold combining the win and place finish, the net pool will be distributed to the holders of tickets selecting the winner. If less than three horses finish, the payoff will be made to holders of tickets selecting the finishing horses in order, ignoring the balance of the selection.

(f) If no ticket is sold that would require distribution of the trifecta pool to a winner defined in this section, the licensee shall make a complete and full refund of the Trifecta Pool.

(g) In the event of a dead heat or dead heats, all trifecta tickets selecting the correct order of finish, counting a horse in a dead heat as finishing in either position dead heated, shall be winning tickets. The payoff will be calculated as a place pool by dividing the net trifecta pool by the total purchase price of winning tickets.

(h) In the event of a scratch in the trifecta no exchanges will be made. All tickets which include the scratched horse are eliminated from further participation in the trifecta pool and will be refunded.

(i) Coupled entries and fields are allowed in trifecta races as set forth in the Commission’s regulations.

(j) Trifecta tickets shall be sold only by the licensed racing entity or other approved entity. Resale of these tickets from one individual to another is prohibited and shall be grounds for ejection.

(k) Each licensed racing entity shall print in heavy type in a conspicuous place in its daily printed program all the provisions of this section and post printed copies of this section about the track in places as it deems available.

7 Pa. Code § 193.8 Refunds.

(a) Any ruling of the Judges or Stewards or the Commission with regard to the award of purse money made after the sign ‘‘official’’ has been purposely displayed shall have no bearing on the pari-mutuel payoff.

(b) In all cases when a horse has been excused by a racing official after wagering has started, but before the horses shall have actually started, all money wagered on the horse so excused shall be deducted from the pool and refunded.

(c) If two or more horses in a race are coupled on the same pari-mutuel ticket, there shall be no refunds unless all of the horses so coupled are excused before the actual start.

(d) In the case of a race being declared off or postponed to another day by the Stewards after the wagering has begun, all money wagered in that race shall be refunded.

7 Pa. Code § 193.9 Information required by Commission and Department of Revenue.

The officers and employees of the licensed racing entity shall promptly give the Department of Revenue and the Commission the information as they may request from time to time and shall fully cooperate with them in every way.

7 Pa. Code § 193.10 Record of unpaid tickets.

An itemized record of all unpaid winning pari-mutuel tickets shall be prepared and a complete record thereof, including total, forwarded to the Commission and the Department of Revenue in a timely manner, if requested.

7 Pa. Code § 193.11 Report of handle and attendance.

On a monthly basis, the licensed racing entity or other approved entity shall provide to the Commission, a report including the following: handle of each race, amount in each pool, Daily Double handle, total daily handle and attendance.

7 Pa. Code § 193.12 Test of equipment.

All licensed racing entities or other approved entities shall have a test, by actual operation, of the pari-mutuel equipment before the opening of each meeting or prior to beginning operations, which shall be approved by a representative of this Commission.

7 Pa. Code § 193.13 Personnel.

(a) A list of the personnel of the Pari-Mutuel Department shall be submitted to the Commission for its approval as requested by the Commission.

(b) If requested by the Commission, a copy of the Pari-Mutuel Department payroll shall be submitted to the Commission and shall be accompanied by a statement sworn to by the manager of the Pari-Mutuel Department attesting to the report’s accuracy.

7 Pa. Code § 193.14 Odds board.

A licensee shall provide a sign, approved by the Commission upon which shall be displayed, the approximate straight odds on each horse in a race, the value of a $2 winning pari-mutuel ticket, straight, place or show on the first three horses in the race; the elapsed time of the race; the value of a $2 winning daily double ticket; the total amount wagered on each horse and each pool and other information that the Commission may deem necessary.

7 Pa. Code § 193.15 Creation of new betting pools.

(a) A licensed racing entity seeking to offer new forms of wagering, such as ‘‘pick (x),’’ ‘‘instant racing pools,’’ ‘‘mix and match’’ or other similar type pools for its patrons must first apply in writing to the Commission and receive written approval prior to implementing the new betting pool.

(b) For each new betting pool, the licensed racing entity shall provide the rules associated with the betting pool, including:

(1) description of the game; how to wager;

(2) take out rates and payout calculations;

(3) wager amounts;

(4) coupled entry and mutuel fields and dead heat rules;

(4) carryover provisions, if applicable;

(5) other conditions and requirements of the betting game.

(c) A licensed racing entity which seeks to terminate a previously approved betting game/pool shall provide a notice to the Commission 30 days prior to terminating the game/pool.

Chapter 195 Simulcasting—Temporary Regulations

7 Pa. Code § 195.1 Live event host—contract.

(a) A live horse racing event host duly licensed by the Commission may, subject to Commission approval of the applicable contract, simulcast its races for the purpose of pari-mutuel wagering to another licensed racing entity or SPMO or other authorized entity.

(b) Unless otherwise permitted by the Commission, every simulcast shall contain in its video content a digital display of actual time of day, the name of the host facility from where the race originates, the number of the contest being displayed and the minutes to post time.

(c) The approved live host licensee, if requested by the Commission, shall provide and maintain security controls including encryption over its uplink and communication systems.

7 Pa. Code § 195.2 Permitted simulcasts.

(a) Host licensees—The Commission may approve the application of a licensed racing entity or secondary pari-mutuel organization to electronically simulcast horse races to and from this Commonwealth. Upon request by a licensed racing entity or secondary pari-mutuel organization, the Commission may designate the entity as a host licensee, authorized to maintain common pari-mutuel pools on International and interstate races transmitted to and from the racetrack enclosures within this Commonwealth.

(b) All simulcasts of horse races shall comply with the provisions of the Interstate Horseracing Act of 1978 (Pub.L. No. 95-515) (15 U.S.C.A. § § 3001 et seq.) and the laws of each state involved, placed or transmitted by an individual in one state by means of telephone, Internet or other electronic media and accepted and maintained in common pari-mutuel pools.

(1) Cross simulcasting of the races described previously may be permitted if all amounts wagered on the races in this Commonwealth are included in common pari-mutuel pools. A host licensee seeking permission to cross simulcast must obtain approval from the Commission.

(2) All forms of pari-mutuel wagering shall be allowed on horse races simulcasted. The Commission may permit pari-mutuel pools in this Commonwealth to be combined with pari-mutuel pools created under the laws of another jurisdiction and may permit pari-mutuel pools created under the laws of another jurisdiction to be combined with pari-mutuel pools in this Commonwealth.

(c) Taxation—Money wagered by patrons in this Commonwealth on horse races shall be computed by the amount of money wagered each racing day for purposes of taxation under section 9334 of the act (relating to State Racing Fund and tax rate). Thoroughbred races shall be considered a part of a Thoroughbred horse race meeting and Standardbred horse races shall be considered a part of a Standardbred horse race meeting.

7 Pa. Code § 195.3 Intrastate simulcasting.

(a) The Commission shall permit intrastate simulcasting of live horse racing between the licensed racing entities that conduct live racing.

(b) The simulcast signal shall be encoded, and the racetrack receiving the simulcast signal may not send the signal anywhere other than a public location authorized under section 9329 (relating to interstate simulcasting) of the act.

(c) All forms of pari-mutuel wagering described in section 9335 (relating to pari-mutuel pool distribution) of the act shall be allowed on a horse race to be simulcasted under this section.

(d) The money wagered by a patron on a horse race must be computed in the amount of money wagered each racing day for purposes of taxation under section 9334 (relating to State Racing Fund and tax rate) of the act.

7 Pa. Code § 195.4 Casino simulcasting.

(a) In accordance with Chapter 13F (relating to casino simulcasting) of the Race Horse Development and Gaming Act (4 Pa.C.S. § § 13F01—13F44) and with 58 Pa. Code Chapter 1001 (relating to casino simulcasting—temporary regulations) of the Gaming Control Board, the Commission shall, in conjunction with, the Board shall review an application for casino simulcasting at licensed simulcasting facilities.

(b) Notwithstanding the provisions of the Gaming Act or of the Board’s regulations, the standards and rules of racing, simulcasting and the conduct of pari-mutuel wagering in simulcasting facilities are subject to the act, regulations of the Commission promulgated under 3 Pa.C.S. (relating to Agriculture Code) and the Interstate Horse Racing Act of 1978 (15 U.S.C.A. § § 3001—3007).

Chapter 197 Advance Deposit Account Wagering—Temporary Regulations

7 Pa. Code § 197.1 License required to conduct advance deposit account wagering.

(a) In addition to the electronic wagering provisions set forth in sections 9351—9359 (relating to additional licensing requirements for licensed racing entity, secondary pari-mutuel organization, totalisator and racing vendors) of the act and Subpart B (relating to licensing) of the Commission’s regulations, a licensed racing entity, a racing vendor providing ADW services on behalf of a licensed racing entity or a SPMO licensed by the Commission to operate in this jurisdiction, may apply for a license to operate an ADW system whereby wagers are debited and payouts are credited to an account held by the licensed racing entity, racing vendor or SPMO on behalf of a person who has applied for the account and been accepted under these rules.

(b) An entity that operates an ADW and is not otherwise involved in pari-mutuel wagering may be licensed as both a SPMO and an ADW in a consolidated licensing procedure as prescribed by the Commission.

(c) A provider of advanced deposit account wagering facilities or systems for an ADW must be licensed by the Commission if account facilities, equipment or personnel are located in this jurisdiction under a contract with a licensed association or SPMO.

7 Pa. Code § 197.2 ADW license application.

(a) The ADW license application shall include the following information:

(1) A copy of the contracts to provide services to an association or SPMO licensed by the Commission.

(2) A list of personnel assigned to work in this Commonwealth, a list of all employees involved in accepting pari-mutuel wagers placed in this Commonwealth and a list of employees with access to facilities where the wagers are placed, or systems and records relating to account wagering are operated and secured, who are not located in this jurisdiction.

(3) List of all officers, directors, partners, and share-holders with a 5% or greater share of ownership or beneficial interest.

(4) Full disclosure of all fees and other financial considerations relating to the contract with the licensed racing entity or SPMO.

(5) Certify to the Commission that the entity will provide prompt access to reports, logs, wagering transaction detail, and customer account detail, in printed form or standard electronic format approved by the Commission.

(6) Provide a detailed description and certification of systems and procedures used to validate the identity, age, and jurisdiction of legal residence of account holders and to validate the legality of wagers accepted.

(7) Certify to the Commission prompt access to all records relating to customer identify, age, and residency in hard copy or standard electronic format acceptable to the Commission.

(8) Certify to the Commission prompt access to customer account detail in hard copy or an electronic format acceptable to the Commission for:

(i) Persons who place wagers on races conducted in this jurisdiction, customers are identified as legal residents of this jurisdiction, who place wagers on races ran in this jurisdiction and races available for wagering by persons in this jurisdiction,

(ii) Persons the Commission has reason to investigate based on possible placing of wagers for persons other than the account holder, wagers that may be related to the investigation of any race or wagering pattern or relevant to any other investigation as may be determined by the Commission.

(9) Include certification of secure retention of all records related to wagering and customers’ accounts for a period of not less than 3 years or longer period specified by the Commission.

(10) Include, as an attachment, a certified copy of rules governing the acceptance and management of accounts, and a certified copy of any changes in the rules at least 30 days prior to the effective date.

(b) All persons employed by ADWs as listed in subsection (a), not licensed by the Commission, shall hold a current pari-mutuel employee or vendor employee license issued by the National License Compact. The ADW shall provide and maintain with the Commission a current list of the employees and including their current National License number.

(c) Must utilize and communicate pari-mutuel wagers to a pari-mutuel system meeting all requirements for pari-mutuel systems employed by licensed racing associations in this jurisdiction.

(d) An ADW must operate and communicate with the totalisator system in a way as not to provide or facilitate a wagering advantage based on access to information and processing of wagers by ADW account holders relative to persons who wager at race tracks or public off-track wagering facilities. The ADW shall have in place an independent real time monitoring system and use approved by the Commission, and use other procedures as needed, to insure compliance with this requirement.

7 Pa. Code § 197.3 Advance deposit account wagering rules.

(a) The ADW shall notify the patron, at the time of opening the account, of any rules the association has made concerning deposits, withdrawals, average daily balance, user fees, interest payments and any other aspect of the operation of the account. The ADW shall notify the patron whenever the rules governing the account are changed, the notification occurring before the new rules are applied to the account and including the opportunity for the patron to close or cash-in the account. The patron shall be deemed to have accepted the rules of account operation upon opening or not closing the account. The ADW shall request authorization from the Commission before a system of account wagering is offered.

(b) The ADW may reserve the right at any time to refuse to open an account, to accept a wager or to accept a deposit.

(c) Each account holder shall provide the personal information as the ADW and the Commission require, including an address to which communications are to be delivered. The ADW shall provide each account holder, a confidential account number and password to be used by the patron to confirm the validity of every account transaction.

(d) Deposits may be made in cash, by check or by other methods approved by the Commission. Holding periods will be determined by the ADW and advised to the account holder. A written or electronic receipt for the deposit may be issued to the account holder but does not need to reflect the current account balance.

(e) Each account holder shall be deemed to be aware of the status of that account at all times and shall maintain an adequate fund balance. Wagers will not be accepted which would exceed the available balance of that account. Any account not updated when a transaction is completed shall be inoperable until the transaction is posted and the account balance updated.

(f) When an account is entitled to a payout or refund, said moneys will be credited to the respective accounts, thus increasing the credit balance. It is the responsibility of the account holder to verify proper credits and, if in doubt, notify the association within the agreed upon time-frame for consideration. Unresolved disputes may be forwarded to the Commission by the ADW or the account holder. No claim will be considered by the Commission unless submitted in writing and accompanied by supporting evidence.

(g) The ADW must maintain complete records of every deposit, withdrawal, wager and winning payout for each. These records shall be made available to the Commission upon request.

(h) For wagers made for an account by telephone, the ADW shall make a voice recording of the entire transaction and shall not accept any wager if the voice recording system is inoperable. Voice recordings shall be retained for not less than 6 months and shall be made available to the Commission for investigative purposes.

(i) Any account wagering system must provide for the account holder’s review and finalization of a wager before it is accepted by the ADW. Neither the account holder nor the ADW shall change a wager after the account holder has reviewed and finalized the wager. In the case of a wager made by telephone, the voice recording of the transaction shall be deemed to be the actual wager, regardless of what was recorded by the pari-mutuel system.

(j) The ADW may close any account when the holder thereof attempts to operate with an insufficient balance or when the account is dormant for a period approved by the Commission. In either case, the ADW shall refund the remaining balance of the account to the account holder.

This section cited in 7 Pa. Code § 197.4 (relating to ADWs in other jurisdictions).

7 Pa. Code § 197.4 ADWs in other jurisdictions.

As a condition of approval of any simulcasting or common pool wagering contract, or both, between a licensed racing entity in this Commonwealth and an ADW in another jurisdiction, the agreement subject to Commission approval, shall include:

(1) Disclosure of all ADWs wagering on any races run in this jurisdiction, and all ADWs wagering on races run in other jurisdictions that would be available for wagering in this jurisdiction, under the contract;

(2) Certification of ADW licensing, authorization or approval by the recognized pari-mutuel authority in the other jurisdiction;

(3) Certification of compliance with rules for operation of an ADW comparable to those stated in § 197.3 (relating to advance deposit account wagering rules);

(4) Full disclosure of all fees, market share revenue and other financial considerations relating to the contract;

(5) Certify to the Commission that it will provide prompt access to reports, logs, wagering transaction detail and customer account detail, in printed form or standard electronic format approved by the Commission;

(7) Include certification to the Commission that it will promptly provide access to all records relating to customer identify, age and residency in hard copy or standard electronic format acceptable to the Commission;

(8) Certify to the Commission that it will promptly provide access to customer account detail in hard copy or an electronic format acceptable to the Commission for:

(ii) Persons the Commission has reason to investigate based on possible placing of wagers for persons other than the account holder, based on wagers placed that may be related to the investigation of any race or wagering pattern, or relevant to any other investigation as may be determined by the Commission.

(9) Include certification of secure retention of all records related to wagering and customers’ accounts for a period of not less than 3 years or longer period specified by the Commission;

(10) Include, as an attachment, a certified copy of rules governing the acceptance and management of accounts and provide a certified copy of any changes in the rules at least 30 days prior to the effective date.

Chapter 199 Common Pool Wagering—Temporary Regulations

7 Pa. Code § 199.1 Authorization of a common pari-mutuel pool.

(a) Upon approval of the Commission, a licensed racing entity, an approved and licensed racing vendor providing racing services to the licensed racing entity or licensed SPMO, or other approved entities, may establish a common pari-mutuel pool with entities permitted under the laws of another jurisdiction to conduct pari-mutuel wagering on the results of horse races. The common pari-mutuel pool may be established to accept wagers on a race conducted outside this Commonwealth.

(b) A common pari-mutuel pool established under this chapter may consist of the amount wagered or the net amount wagered by a patron:

(1) Of the licensed racing entity.

(2) Of another licensed racing entity within this Commonwealth.

(3) Of other approved entities by the Commission.

(4) Under the laws of another jurisdiction.

This section cited in 7 Pa. Code § 199.2 (relating to application for permission to establish a common pari-mutuel pool).

7 Pa. Code § 199.2 Application for permission to establish a common pari-mutuel pool.

(a) The entities set forth in § 199.1 (relating to authorization of a common pari-mutuel pool) may apply to the Commission for permission to establish a common pari-mutuel pool.

(b) An application for permission to establish a common pari-mutuel pool shall be submitted to the Commission at least 30 days prior to the beginning of wagering into the common pari-mutuel pool. The Commission may accept an application filed less than 30 days prior to the beginning of wagering for good cause shown.

(c) An application for permission to establish a common pari-mutuel pool shall be in a form prescribed by the Commission and shall contain the following:

(1) The name of the entity seeking permission to establish the common pari-mutuel pool.

(2) The name, date and jurisdiction of the racetrack conducting the race on which wagers will be accepted for inclusion into the common pari-mutuel pool.

(3) The name and licensing jurisdiction of each entity that will be accepting wagers for inclusion into the common pari-mutuel pool.

(4) A copy of the agreement for the simulcast of the race on which wagers will be accepted for inclusion into the common pari-mutuel pool.

(5) A copy of the agreement among the entities establishing the common pari-mutuel pool.

(6) A copy of the procedures established for administration of the common pari-mutuel pool.

(7) A copy of approvals required under the Interstate Horseracing Act of 1978 (15 U.S.C.A. § § 3001—3007).

(8) The minimum amount of a wager which will be accepted for inclusion in the common pari-mutuel pool.

(9) The retention rate to be applied to amounts wagered in this Commonwealth for inclusion in the common pari-mutuel pool.

(10) The retention rate to be applied to amounts wagered in each jurisdiction other than the Commonwealth for inclusion in the common pari-mutuel pool.

7 Pa. Code § 199.3 Review of application.

(a) The Commission may approve an application for permission to establish a common pari-mutuel pool if the Commission determines that the establishment of the common pari-mutuel pool will be in the best interest of racing in this Commonwealth and if the following conditions are satisfied:

(1) The race upon which patrons will be permitted to wager may be simulcast under section 9329 (relating to interstate simulcasting) of the act or under the Interstate Horseracing Act of 1978 (15 U.S.C.A. § § 3001—3007), or both.

(2) The wager to be accepted is of a type which may be permitted by the Commission under section 9335 (relating to pari-mutuel pool distribution) of the act.

(3) The agreement under which the common pari-mutuel pool will be established and the procedures for the administration of the common pari-mutuel pool comply with the act and this chapter.

(b) The Commission may place conditions on an approval of an application as it deems appropriate to assure that the establishment of the common pari-mutuel pool will be in the best interests of racing in this Commonwealth and in compliance with the act and this chapter.

7 Pa. Code § 199.4 Retention and distribution of retention.

(a) An approved entity that establishes a common pari-mutuel pool under this chapter shall retain from each wager placed in this Commonwealth an amount equal to the percentage retention rate approved by the Commission.

(b) The Commission will not approve a percentage retention rate which is less than or exceeds the minimum or maximum retention rate permitted for comparable wagers set forth in under section 9335 (relating to pari-mutuel pool distribution) of the act.

(c) A wager placed in this Commonwealth for inclusion in a common pari-mutuel pool established under this chapter shall be included by the approved entity in the amount wagered that racing day. A wager placed in another jurisdiction for inclusion in a common pari-mutuel pool established under this chapter shall be included in the amount wagered that racing day.

(d) Money retained by an approved entity under subsection (a) plus breakage allocated to the approved entity that establishes a common pari-mutuel pool under this chapter, shall be distributed in the same manner as other amounts retained under the act.

7 Pa. Code § 199.5 Distribution of common pari-mutuel pool.

(a) Money in a common pari-mutuel pool shall be distributed to the holders of winning pari-mutuel tickets in conformity with the common practice of the pari-mutuel system.

(b) Money in a common pari-mutuel pool may be distributed to the holders of winning pari-mutuel tickets according to a net pricing calculation which reflects differing retention rates approved under the laws of the Commonwealth and other jurisdictions accepting wagers for inclusion into the common pari-mutuel pool.

(c) The procedures established for the administration of the common pari-mutuel pool shall include a procedure for the following:

(1) Distributing money in the common pari-mutuel pool to the holders of winning tickets.

(2) Allocating breakage between the entities contributing to the common pari-mutuel pool.

(3) Allocating funds for uncashed winning tickets between the entities contributing to the common pari-mutuel pool.

(4) Providing an accounting to the approved entity for submission to the Commission of contributions to and distributions from the common pari-mutuel pool.

(d) Funds for uncashed winning tickets allocated to an approved entity shall be distributed by the licensed entity as set forth in the act.

(e) If wagers placed in this Commonwealth cannot be transmitted for inclusion in a common pari-mutuel pool established under this chapter, the approved entity may do any of the following:

(1) Refund all amounts wagered to patrons holding pari-mutuel tickets representing wagers placed for inclusion in the common pari-mutuel pool if the refund is announced over the public address system of the approved entity prior to the official start of the race.

(2) Establish a pari-mutuel pool consisting solely of amounts wagered within this Commonwealth.

7 Pa. Code § 199.6 Responsibility for distribution.

An approved entity that establishes a common pari-mutuel pool under this chapter is liable to the following:

(1) The holder of a winning pari-mutuel ticket representing a wager placed within this Commonwealth for inclusion in the common pari-mutuel pool for the distribution of winnings from the common pari-mutuel pool.

(2) The Commonwealth for other distributions required under the act or this chapter as a result of wagers placed in this Commonwealth for inclusion in the common pari-mutuel pool.

7 Pa. Code § 199.7 Races for which a common pari-mutuel pool is established.

A race for which a common pari-mutuel pool has been established shall be conducted under the rules of racing of the jurisdiction in which the race is conducted unless that jurisdiction approves otherwise.

7 Pa. Code § 199.8 Publication and posting of rules.

An approved entity that establishes a common pari-mutuel pool under this chapter shall:

(1) Print a summary of the rules governing wagers into and distributions from the common pari-mutuel pool in its program for the day of the race.

(2) Post a complete copy of the rules governing administration of the common pari-mutuel pool prominently at each betting window or group of betting windows in its racetrack enclosure.

7 Pa. Code § 199.9 Administration of common pari-mutuel pool by an approved entity.

An agreement under which an approved entity will administer a common pari-mutuel pool shall contain a provision absolving the approved entity from liability if it becomes impossible to include wagers placed in another jurisdiction into the common pari-mutuel pool or if a representative of the Commission or approved entity determines that attempting to include wagers placed in another jurisdiction in the common pari-mutuel pool will endanger the approved entity’s wagering pool.

7 Pa. Code § 199.10 Display of racing and wagering information.

(a) An approved entity which establishes a common pari-mutuel pool under this chapter shall present an audio and video display of the race, including the post parade, upon which patrons may place wagers for inclusion into the common pari-mutuel pool.

(b) An approved entity which establishes a common pari-mutuel pool under this chapter shall present a video display containing wagering information, such as current odds, pari-mutuel pool totals and probable payoffs for the race upon which patrons may place wagers for inclusion into the common pari-mutuel pool.

Subpart D Standardbred Rules of Racing (Harness)

Chapter 201 General Provisions—Temporary Regulations

7 Pa. Code § 201.1 Definitions.

The following words and terms, when used in this part, have the following meanings, unless the context clearly indicates otherwise: Added money early closing event—An event closing in the same year in which it is to be contested in which entrance, sustaining and declaration fees received are added to the purse. Age, how determined—The age of a horse shall be calculated from the first day of January of the year of foaling. Allowances—Given on claiming price in claiming races depending on the sex and age of the horse. Allowances are also given when determining the horse’s eligibility in conditioned races based upon age and sex of the horse. Also eligible—One of not more than two horses that are entered to race and determined at the time post positions are drawn to be eligible to start in the race should any horse properly drawn into the race be excused by the Judges prior to scratch time. Bleeder—A horse which has demonstrated external evidence of exercise induced pulmonary hemorrhage. Bleeder List—A tabulation of all bleeders to be maintained by the Commission. Break—A horse’s change during a race from its programmed gait to another gait or gallop. Chart—A comprehensive account of a race showing the positions of all horses at various stages of the race. Claimant—A person or entity who meets the eligibility requirements of the racing Commission. Claiming price—The price by which a horse may be claimed from a race. Claiming race—One where a horse which starts may be claimed for a designated amount in conformance with Chapter 205 (relating to rules of Standardbred racing—temporary regulations). Conditioned race—An overnight event to which eligibility is determined according to specified qualifications in conformance with Chapter 205. Coupled entry—Two or more horses starting in a race when owned or trained by the same person or trained in the same stable or by the same management. Dam—The female parent, or mother, of a horse. Dash—A race decided in a single trial. The number of premiums awarded may not exceed the number of Starters in the dash. Dead heat—When the Judges cannot separate two or more horses as to their finishing position at the finish of a race. All unseparated horses are considered to be tied for that finish position. In the event of a dead heat in any positions, points and purses will be divided or shared, or both. Declaration—The naming of a particular horse to a particular race. Disqualification—It shall be construed to mean that the person disqualified is barred from acting as an official or from starting or driving a horse in a race. In the case of a disqualified horse, it may not be allowed to start. Draw—The process by which horses are selected to start in specific races and post positions for each race. Driver—A licensed person who drives a horse in a race. Driving violation—A violation of one or more of the provisions of the Rules of Race in Chapter 205. Early closing race—A race for a definite amount to which entries close at least 6 weeks preceding the race. The entrance fee may be on the installment plan or otherwise, and payments shall be forfeits. No payment on 2-year-olds in early closing events shall be permissible prior to February 15th of the year in which the horse is a 2-year-old. Eligibility certificate—An official written record of a horse. See the definition of ‘‘registration’’ in this section. Eligible—A horse qualified to start in a race and properly entered and meeting the conditions of that race. Elimination heats—Heats of a race split according to Chapter 205 to qualify the contestants for a final heat. Exotic wagers—Those in which the bettor selects more than two horses in one or more races in a single wager. Expulsion—The unconditional exclusion and disqualification from a participation, either directly or indirectly, in the privileges and uses of the course and grounds of the association of a licensee or patron. Futurity—A stake in which the dam of the competing animal is nominated either when in foal or during the year of foaling. Gait—Either a trotting or pacing gait. Gelding—A neutered or castrated male horse of any age. Go—The voice command given by the starting Judge to all drivers at the start of the race. Guaranteed stake—A stake with a guarantee by the party sponsoring it that the sum may not be less than the amount named. Handicap—A race in which performance, sex or distance allowance is made. Post positions for a handicap may be assigned by the racing secretary. Head number—The wagering number for the horse or, in the case of a coupled entry, the wagering number of all horses that make up the coupled entry. Head Pole—A piece of equipment used to control the position of a horse’s head. Heat—A single race or a single trial of a race that is one of a series of races that make up an event. Hobbles—A leg harness used for controlling the gait of a pacer or trotter. In harness—The horses participating shall be attached to a dual shaft sulky. Sulkies used in a race shall be equipped with unicolored or colorless wheel discs of a type approved by the Commission and placed on the inside and outside of the wheel. A change in the basic design of a sulky or major equipment shall require Commission approval. Rules, regulations, standards, guidelines affecting the use of any new sulky or equipment shall be approved by the Commission before their adoption. Inquiry—When the Judges suspect that a foul or another misconduct occurred during a heat or dash. Interference—An act, which by design or otherwise, hampers or obstructs a competing horse or horses. Judges—The term ‘‘Judges’’ unless otherwise specified shall refer to the Board of Judges. Lasix—An approved drug used as treatment of pulmonary bleeding. Also known as Furosemide. Late closing race—A race for a fixed amount for which nominations or declarations close less than 6 weeks and more than 3 days before the race is to be contested. Length of race and number of heats or dashes—Races or dashes shall be given at a stated distance in units not shorter than 1/16 of a mile. The length of a race and number of heats shall be stated in the conditions. If no distance or number of heats or dashes are specified races shall be a single-mile dash or heat. No 2-year-old shall be permitted to start in a dash or heat exceeding 1 mile in distance. Maiden—A stallion, mare or gelding that has never won a heat or race at the gait at which it is entered to start and for which a purse is offered. Mare—A female horse 4 years of age or older. Match race—A race which has been arranged and the conditions thereof agreed upon between or among the contestants. Mutuel field—When the individual horses competing in a race exceed the numbering capacity of the Tote, the highest numbered horse capacity of the Tote and horses of a higher number shall be grouped together and called the mutuel field for betting purposes only. No contest—A race that is voided for any reason by the Judges. Nomination—The naming of a horse or in the event of a futurity the naming of a foal in utero to a certain race or series of races, eligibility of which is conditioned on the payment of a fee at the time of naming and payment of subsequent sustaining fees or declaration fees, or both. Nominator—The person or entity in whose name a horse is nominated for a race or series of races. Objection—A complaint by a driver of a foul driving or other misconduct occurring during a heat or dash. Overnight race/event—A race for which entries close not more than 3 days (omitting Sundays) before the race is to be contested. In the absence of conditions or notice to the contrary, entries in overnight events may close not later than 12 p.m./noon the day preceding the race. A pari-mutuel association may not demand declaration fees from owners or trainers of horses competing in an overnight event. Owner—Includes sole owner, part owner or lessee of a horse. Paddock—An enclosure in which horses scheduled to compete in a race program are confined prior to racing under the supervision of a paddock Judge. Pennsylvania-bred for pari-mutuel or fair division of sire stakes—Horses sired by a stallion registered with the Commission in conformity the Commission’s regulations relating to registration and licensure. Naming of these horses shall be limited to Standardbred horses which were sired by a Standardbred stallion standing his full season in this Commonwealth. Post position—The position drawn by the horse at the time declarations close. Post time—The time set for the start of a race. Programmed trainer—The person who assumes responsibility for a horse from the time it is entered to race until the conclusion of the race. Protest—An objection, properly sworn to, charging that a horse is ineligible to race, alleging an improper entry or declaration, or citing an act of an owner, driver or official prohibited by the provisions of this chapter, and which, if true, shall exclude the horse or driver from the race. Qualifying Race—A race in which a horse must establish its ability to participate at a race meeting consistent with the qualifying standards establish for that class of horse. Race—A contest of speed between Standardbreds at a trotting or pacing gait. Race officials—The term may include the following:

(i) Board of Judges

(ii) Racing secretary

(iii) Paddock Judge

(iv) Horse identifier

(v) Clerk of the course

(vi) Starter

(vii) Charter/Timer

(viii) Patrol Judge

(ix) Commission Veterinarian

(x) Racetrack veterinarian

Or any other person designated by the Commission as a racing official. Record—The fastest time made by a winning horse in a heat or dash, in compliance with the requisites of racing. Registration—A certification of ownership, except where there is a direct conflict with the rules, regulations or laws of the Commission, matters regarding registration and eligibility certificates shall be governed in accordance with the rules and regulations as set forth by the USTA. Rules—The rules and regulations promulgated by the Commission. Scoring—The preliminary practice taken by the horses in a race after the post parade and before they are called by the Starter to line up for the start. Scratch—The removal of a horse from a race after its entry has been accepted. Scratch time—The time specified for making final changes to the official program prior to publication, at which time, any ‘‘also eligible’’ horses in the programmed race are released. Spayed mare—A female horse who has had her ovaries removed. Stake—A race that shall be contested in a year subsequent to its closing in which the money given by the licensed racing entity conducting the race is added to the money contributed by the nominators, which belong to the winner or winners. Starting point—The point marked on the inside rail where the Starter gives the word ‘‘Go.’’ Starters—A group of horses competing in a heat or race. Timed workout—Permitted instead of a qualifying race for a horse to establish its ability to participate at a race meeting consistent with the qualifying standards establish for that class of horse. USTA—United States Trotting Association—The National not-for-profit association of Standardbred owners, breeders, drivers, trainers and officials organized to provide administrative, rulemaking, licensing and breed registration services and documentation. Walk-over—When only horses of the same interest start, a walk-over results. In a stake race a walk-over is entitled to stake money and forfeits unless otherwise provided in the published conditions. To claim the purse, the entry shall start and go once over the course unless this requirement is waived by the Judges. Winner—The horse whose nose reaches the wire first. If there is a dead heat for first, both horses shall be considered winners. Where two horses are tied in a summary, the winner of the longer heat shall be entitled to the trophy. Where the heats are of the same distance and the horses are tied in the summary, the winner of the fastest heat shall be entitled to the trophy. Wire—A real or imaginary line from the center of the Judge’s stand to a point immediately across, and at right angles to the track.

This section cited in 7 Pa. Code § 205.2 (relating to required presence of officials in race).

7 Pa. Code § 201.2 Licensure.

(a) No person shall participate in the affairs of any licensed racing entity as director, officer, agent or employee of the entity without first receiving a license from the Commission.

(b) In addition to the requirements set forth in Chapter 185 (relating to occupational licenses—temporary regulations), no person shall participate in any harness horse race meet as an official, driver, trainer or assistant trainer unless the person shall first have received a license from the USTA and this Commission. The Commission may issue temporary licenses or restricted licenses as it may deem necessary and desirable.

7 Pa. Code § 201.3 Registration.

All matters relating to the registration of Standardbred horses, unless otherwise provided for herein, shall be governed by the Rules of the USTA. Pennsylvania stallions, to be eligible for Pennsylvania Sire Stakes for any given year, shall have on file a Stallion Certificate of Eligibility no later than December 1 of the preceding year with the Commission.

7 Pa. Code § 201.4 Regulatory conflicts.

All duly licensed race meetings and pari-mutuel wagering activities conducted within this Commonwealth shall be governed by the provisions of the act and the Commission’s regulations. If there is a conflict between the Commission’s regulations and the rules/regulations adopted by the USTA, the Commission’s regulations shall control. Except: in the event there is no provision or regulation to cover a specific matter, the Commission may utilize the published rules and regulations of the USTA.

Chapter 203 Licensing, Duties and Responsibilities of Standardbred Occupational Licensees—Temporary Regulations

7 Pa. Code § 203.1 Standardbred license categories.

(a) Standardbred license categories shall include the following and others as may be established by the Commission in its discretion:

(1) Racing participants and personnel (including owner, authorized agent, trainer, assistant trainer, driver, groom, veterinarian, veterinary assistant, Farrier and stable employees);

(2) Standardbred racing officials (including Judges, race secretary, patrol Judge, paddock Judge, official Starter, clerk of the course/charter, timer/clocker, program director, Commission Veterinarian and racetrack veterinarian);

(3) Persons employed by the licensed racing entity, by a racing vendor or any other person whose employment at the racetrack enclosure requires their presence in a restricted area, or which requires their presence anywhere on racetrack grounds while pari-mutuel wagering is being conducted;

(b) Persons required to be licensed shall submit a completed application on forms furnished by the Commission and accompanied by the required fee as set forth in Chapter 185 (relating to occupational licenses—temporary regulations). Persons may also be required to provide proof of identity and proper employment authorization.

(c) License applicants may be required to furnish to the Commission a set of fingerprints and a recent photograph and may be required to be re-fingerprinted or re-photographed periodically as determined by the Commission.

7 Pa. Code § 203.2 Knowledge of rules.

A licensee shall be knowledgeable of the rules and regulations of the Commission and by acceptance of a license issued under Chapter 185 (relating to occupational licenses—temporary regulations) agrees to abide by these rules.

7 Pa. Code § 203.3 License presentation.

When requested by Commission personnel or licensed racetrack security, a person shall present an appropriate license to enter a restricted area. A license may only be used by the person to whom it is issued. The licensed racing entity, in consultation with the Commission, may establish procedures and protocols for the visible display of a license while in the racetrack enclosure, including the restricted area.

7 Pa. Code § 203.4 Visitor’s pass.

Track security may not grant unlicensed persons temporary access to restricted areas unless that person is accompanied at all times while on the grounds of the racetrack. The unlicensed persons shall be identified and their purpose and credentials verified and approved in writing by racetrack security. A copy of the written approval shall be filed with the Commission or its designee within 48 hours. This authorization or credential may only be used by the person to whom it is issued.

7 Pa. Code § 203.5 Breath analyzer requirements.

(a) To promote the health, safety and welfare of all racing participants and the integrity of racing in which they are participating, the following individuals shall be required to submit to a breath analyzer test at each racing program:

(1) Drivers, Judges, Starters, starting gate drivers and other racing officials designated by the Presiding Judge;

(2) Trainers and grooms randomly selected and designated by the Presiding Judge or other Commission official;

(3) Commission employees whose duties relate to the integrity of racing, including but not limited to the Judges, mangers, investigators, livestock workers, Commission Veterinarians and any other Commission employee as required by the Commission.

(b) Participants must have a breath analyzer reading below .035%. Participants demonstrating a level above .035% shall be not permitted to participate in the racing program that day.

(1) First offense—$500 dollar fine and 5-day suspension;

(2) Second offense—$750 dollar fine and 10-day suspension;

(3) Third offense—refer to Bureau Director.

7 Pa. Code § 203.11 Licensing requirements for owners.

(a) Each person desiring to enter a Standardbred horse at a race meeting within this Commonwealth and who has a 5% or more ownership or beneficial interest in a horse is required to be licensed under these provisions.

(b) An applicant for an owner’s license shall own or lease a horse which is eligible to race, registered with the race secretary and under the care, custody and control of a duly licensed trainer in good standing by the Commission. An owner shall immediately notify the Judges of a change in trainer. A horse shall not be transferred to a new trainer after entry.

(c) Notwithstanding § 185.6 (relating to age requirement) of the Commission’s regulations, a horse owner of any age may apply for an owner’s license. If younger than 18 years of age, an applicant for an owner’s license shall submit a notarized affidavit from the applicant’s parent or legal guardian stating that the parent or legal guardian assumes responsibility for the applicant’s financial, contractual and other obligations relating to the applicant’s participation in racing.

(d) Each licensed owner is responsible for disclosure to the Commission or its designee of the true and entire ownership of each of the owner’s horses registered with the racing secretary. Any change in ownership or trainer of a horse registered with the race secretary shall be approved by the Judges. Each owner shall comply fully with the applicable licensing requirements set forth in Chapter 185 (relating to occupational licenses—temporary regulations).

(e) Every applicant for an owners’ license shall furnish a completed application form, the necessary license fee, information relating to horse ownership and shall, if requested, submit fingerprints. An owner is subject to all the rules and regulations of the Commission. Any violation of the rules of racing shall subject the owner to the penalties set forth in the Commission’s regulations.

7 Pa. Code § 203.12 Reinstatement of owner’s license.

A license may be reinstated by the Commission, in its discretion, upon application and upon the terms as the Commission may prescribe.

7 Pa. Code § 203.13 Transfer to ineligible trainer.

(a) The Commission or its Judges may refuse, deny, suspend or revoke an owner’s license for the spouse or member of the immediate family or household of a person ineligible to be licensed as an owner, unless the applicant or licensed owner demonstrates that participation in racing will not permit a person to serve as a substitute or hidden trainer for an ineligible person. The transfer of a horse to a spouse, member of the immediate family or household or employee to circumvent the ineligible status of the owner of the horse is prohibited.

(b) An owner shall not intentionally and knowingly employ a suspended trainer.

(c) In an effort to prevent owners or trainers from utilizing hidden trainers, the Commission may require from an owner or trainer applicable financial, business or other information, including invoices, Veterinarian records and the like to determine the validity of the employment of the trainer.

7 Pa. Code § 203.14 Licensing requirements for multiple owners.

(a) If the legal owner of any horse is a partnership, corporation, limited liability company, syndicate or other association or entity, each shareholder, member or partner shall be licensed as required by this rule.

(b) Each partnership, corporation, limited liability company, syndicate or other association or entity shall disclose to the Commission all owners holding a 5% or greater beneficial interest, unless otherwise required by the Commission.

(c) Each partnership, corporation, limited liability company, syndicate or other association or entity which includes an owner with less than a 5% ownership or beneficial interest shall file with the Commission an affidavit which attests that, to the best of their knowledge, every owner, regardless of their ownership or beneficial interest, is not suspended in any racing jurisdiction and is presently eligible for licensing.

(d) Application for joint ownership shall include a designation of a managing owner and a business address. Receipt of any correspondence, notices or orders from the Commission at this address shall constitute official notice to all persons involved in the ownership of the horse. The written appointment of a managing owner or authorized agent shall be filed with the Commission.

7 Pa. Code § 203.15 Lease agreements.

A horse may be raced under lease provided a completed breed registry or other lease form acceptable to the Commission is attached to the certificate of registration and on file with the Commission and the USTA. The lessor and lessee shall be licensed as horse owners.

7 Pa. Code § 203.16 Stable name registration.

Licensed owners and lessees may adopt a stable name subject to the approval of the Commission.

(1) The applicant shall identify all persons using the stable name. Any changes shall be reported immediately to the Commission.

(2) A person who has registered a stable name may cancel it upon written notice to the Commission.

(3) A stable name may be changed by registering a new stable name.

(4) A stable name which has been registered by any other person will not be approved by the Commission. The Commission may prohibit the use of any name which is misleading to the public or unbecoming to the sport.

(5) A stable name shall be clearly distinguishable from other registered stable names.

(6) The stable name or the name of the owner shall be published in the program. If the stable name consists of more than one person, the program shall list the name of the managing owner along with the phrase ‘‘et al.’’

(7) All persons using a stable name shall comply with all rules regarding licensing of owners.

(8) Each member of the stable must sign a document designating the name and address of the corresponding officer.

7 Pa. Code § 203.17 Transfer of ownership.

Once a horse has been registered with the USTA or a similar registration entity, the horse may not be transferred to a new owner, unless claimed, without permission of the Presiding Judge who may require a bona fide bill of sale signed by both buyers and sellers and the transfer of ownership must be timely reported to the USTA or a similar registration entity.

7 Pa. Code § 203.21 Eligibility for trainer’s license.

(a) A person shall not train horses or be programmed as trainer of record at race meetings without first being duly licensed by the Commission. The applicant must satisfy the Commission that the applicant possesses the necessary qualifications, both mental and physical, to perform the duties required. The Commission may deem a trainer as qualified for licensing if the applicant has obtained a USTA trainer’s license for the current year.

(b) In addition to the general licensing requirements set forth in Chapter 185 (relating to occupational licenses—temporary regulations), an applicant for a license as a Standardbred trainer shall comply with the provisions set forth in the USTA, Rule 17 and the following:

(1) Be at least 18 years of age;

(2) Submit evidence of good moral character;

(3) Furnish a complete and truthful application;

(4) If requested, submit evidence of the applicant’s physical ability to train and manage horses or a physical examination;

(5) Submit names of at least six currently licensed trainers or currently licensed drivers, or both.

(1) A written examination;

(2) A demonstration of practical skills including the ability to harness and equip a horse properly and to establish proficiency in handling a horse; and

(3) An interview with the Judges.

(d) Upon timely request to the Judges due to disability or other factors affecting the applicant’s ability to effectively complete the trainer’s test (such as illiteracy or language barriers), reasonable accommodations may be made for the applicant including, but not limited to oral administration of the examination, use of a pre-approved translator and aid from pre-approved assistant where deemed appropriate by the Judges administering the examination.

7 Pa. Code § 203.22 Trainer responsibility rule.

(a) The trainer is responsible for the condition of the horse entered in an official workout or race and is charged with the responsibility to guard and protect the horse at all times regardless of the trainer’s location. The trainer shall be responsible for the presence of any prohibited drug, medication, agent or other substance, including permitted medications in excess of the maximum allowable level, in the horses. A positive test for a prohibited drug, medication or substance, including permitted medication in excess of the maximum allowable level, as reported by the Commission’s testing laboratory, is prima facie evidence of a violation of this rule. In the absence of substantial evidence to the contrary, the trainer shall be responsible.

(b) A trainer shall prevent the administration, attempted administration or passive contamination by others, including the trainers’ employees and assistants who have care, custody and control of the horse from any drug, medication or other prohibited substance that may cause a violation of these rules.

(c) A trainer shall immediately report to the Judges and the Commission Veterinarian if the trainer knows, or has cause to believe, that a horse in the trainer’s care, custody or control has received any prohibited drugs or medications.

This section cited in 7 Pa. Code § 203.24 (relating to other duties and responsibilities of trainers); 7 Pa. Code § 203.28 (relating to assistant trainers); and 7 Pa. Code § 203.29 (relating to substitute trainer).

7 Pa. Code § 203.23 Duties of trainers.

(a) A licensed trainer may represent the owner in entries, declarations and other racing related matters. A licensed trainer may not have an interest, whether by ownership or lease, in a horse not being trained by the licensed trainer at a race meeting where the trainer is operating.

(b) A trainer who represents or files an application for an unlicensed owner shall file with the Commission an affidavit certifying that the trainer will secure a license for the owner within 30 days. The trainer or owner shall be jointly responsible for ensuring the timely and accurate filing of the owner’s application. Failure of either to properly secure a license for the owner, may subject both the owner and trainer to a sanction or penalty.

(c) When a trainer is to be absent from the trainer’s stable or the grounds where the trainer’s horses are racing for a period of more than 2 days and horses are entered or are to be entered, the trainer shall provide a licensed trainer to assume the complete responsibility of the horses entered to run or running. The licensed trainer shall sign in the presence of the Judges a form furnished by the Commission accepting complete responsibility for the horses being entered and running. This section does not apply to trainers having in their employ a licensed assistant trainer.

(d) A trainer may not enter or start a horse that:

(1) Is not in serviceable, sound racing condition;

(2) Has its median, volar or plantar nerves either blocked or removed. The horse is not permitted to race on a Commonwealth Standardbred racetrack. A horse which has been nerved below the fetlock (digital nerves) may be permitted to start;

(3) The trainer knows or has reason to know that the horse has been given, either internally or externally, a stimulant, depressant, narcotic drug, medication or other foreign substance prior to the race; and

(4) Is on the Judges’ List, Starter’s List or Veterinarian’s List in any racing jurisdiction.

This section cited in 7 Pa. Code § 203.24 (relating to other duties and responsibilities of trainers); and 7 Pa. Code § 203.28 (relating to assistant trainers).

7 Pa. Code § 203.24 Other duties and responsibilities of trainers.

In addition to the duties and responsibilities set forth in § § 203.22 and 203.23 (relating to trainer responsibility rule; and duties of trainers), a trainer shall also be responsible for:

(1) The condition and contents of stalls, tack rooms, feed rooms and other areas which have been assigned by the licensed racing entity;

(2) Maintaining the assigned stable area in a clean, neat and sanitary condition at all times;

(3) Ensuring that fire prevention rules are strictly observed in the assigned stable area;

(4) Providing a list to the Commission of the trainer’s employees on the racetrack grounds and any other area under the jurisdiction of the Commission. The list shall include each employee’s name, occupation, social security number and occupational license number. The Judges shall be notified by the trainer, in writing, within 24 hours of any change to the employee list;

(5) Ensuring the adequate care, custody, condition, fitness, health, safety and security of horses under the trainer’s care, custody and control;

(6) Disclosing the true and entire ownership of each horse the trainer’s care, custody or control. Any change in ownership shall be reported immediately to, and approved by, the Judges and recorded by the race secretary;

(7) Training all horses owned wholly or in part by the trainer which are participating at the race meeting;

(8) Registering with the race secretary each horse in the trainer’s charge within 24 hours of the horse’s arrival on the licensed racetrack facility grounds;

(9) Ensuring that, at the time of arrival at a licensed racetrack, each horse in the trainer’s care, custody or control is accompanied by a valid health certificate (Coggins) which shall be filed with the race secretary;

(10) Immediately reporting the alteration of the sex of a horse in the trainer’s care to the horse identifier and the race secretary, whose office shall note the alteration on the certificate of registration;

(11) Promptly reporting to the race secretary and the Commission Veterinarian any horse on which a posterior digital neurectomy (heel nerving) is performed and ensuring that the fact is designated on its certificate of registration;

(12) Promptly notifying the Commission Veterinarian of any suspected or actual knowledge of a reportable disease and any unusual incidence of a communicable illness in any horse in the trainer’s care;

(13) Promptly reporting the death of any horse in the trainer’s care while on the licensed racing entity grounds to the Judges and the Commission Veterinarian and complying with the rules and regulations governing post-mortem examinations;

(14) Representing an owner in making entries and scratches and in all other matters pertaining to racing;

(15) Horses entered as to eligibility and by gait, age, sex, number of wins, earnings or claiming price;

(16) Ensuring the fitness of a horse to perform reasonably at the distance entered;

(17) For having the entered horse standing by and ready for the pre-race veterinary examination (racing soundness examination) to be conducted by the Commission Veterinarian or designee. The trainer shall have all bandages, blankets and muzzles off and horse’s legs clean and free of substances, sweats or leg medications;

(18) For participating and assisting the Commission Veterinarian with pre-race examination tasks including the safe restraint of the horse, tattoo identification or jogging the horse as requested. Failure by the trainer or assistant trainer to comply with the direction, request or requirement issued by the Commission Veterinarian during the course of a pre-race examination shall result in the horse being scratched from the race and disciplinary action being taken against the trainer;

(19) Ensuring that the trainer’s horses are properly shod, bandaged and properly equipped;

(20) Ensuring that all Lasix horses entered to compete shall be present on racetrack grounds no less than 4 hours prior to the scheduled post time of the race for which the horse is entered to compete and non-Lasix horses shall be present on racetrack grounds no less than 2 hours prior to the scheduled post time of the race. Horses not arriving on racetrack grounds in accordance with the previously mentioned times may be scratched or fined with discretion given to the Board of Judges to consider extenuating circumstances;

(21) Presenting the horse in the paddock at least 2 hours before post time or at a time otherwise appointed before the race in which the horse is entered and personally attending to the horse in the paddock, unless excused by the Judges;

(22) Instructing the driver to give the driver’s best effort during a race and that each horse shall be driven to win;

(23) Attending the collection of post-race urine and blood samples from the horse in the trainer’s charge or delegating a licensed employee or the owner of the horse to do so; and

(24) Notifying horse owners upon the revocation or suspension of the trainer’s license. A trainer whose license has been suspended or whose license has expired or been revoked; or license application has been denied, must inform the horse owners that until the license is restored the trainer can no longer be involved with the training, care, custody or control of their horses, nor receive any compensation from them for the training, care, custody or control of their horses. Upon application by the owner, the Judges may approve the transfer of the horses to the care of another licensed trainer, and upon approved transfer, the horses may be entered to race. Upon transfer of the horse, the inactive trainer shall not be involved in any arrangements related to the care, custody or control of the horse and shall not benefit financially or in any other way from the training of the horse.

7 Pa. Code § 203.25 Trainer treatment records.

(a) A trainer shall accurately document and maintain a record or log of all trainer treatments for every horse in the trainer’s care, custody or control. Each treatment by the trainer shall be recorded within 24 hours of administration. The trainer treatment log shall be maintained electronically or on paper.

(1) Treatment, for the purposes of this section, means any medication or procedure containing a medication administered to a horse by a licensed trainer or the trainer’s designee.

(2) Treatment, for the purposes of this section, specifically excludes medications or procedures administered by a veterinarian licensed by the Commission.

(3) This section includes the administration of medications that are prescribed by a veterinarian but administered by the trainer or his or her designee.

(4) This section also includes those treatments that are administered by a veterinarian not licensed by the Commission.

(b) Trainer treatment records or log as required in subsection (a) must include the following information:

(1) The name of the horse (or, if unnamed, the registered name of the dam and year of foaling);

(2) The generic name of the drug (for example, phenylbutazone, methocarbamol);

(3) The name and address of the prescribing veterinarian;

(4) The brand name of the drug if a non-generic is used;

(5) The date of the treatment;

(6) The route and method of administration;

(7) The dosage administered;

(8) The approximate time (to the nearest hour) of each treatment;

(9) The first and last name of the individual that administered the treatment; and

(10) The treating veterinarian shall sign or initial the trainer’s treatment log on the first day a horse receives a prescription medication.

(c) The trainer’s treatment records or log shall be made available for inspection upon a request by the Commission in the course of an investigation of a possible violation of the medication and drug rules. Failure to provide accurate and complete trainer treatment records shall result in disciplinary action

(d) Copies of trainer treatment records must be maintained for at least 6 months.

7 Pa. Code § 203.26 Corticosterioid and intra-articular injection reporting requirements.

(a) Trainers or their designees shall accurately keep and maintain complete records of all corticosteroid and intra-articular injections for all horses in the trainer’s care, custody or control. Complete corticosteroid and intra-articular injection reports shall include:

(1) The date of the injection;

(2) The name of the veterinarian performing the injection;

(3) The articular space or structure injected;

(4) The medication or biologicals used to inject each articular space; and

(5) The dose in milligrams of each corticosteroid used.

(b) This information shall be maintained for a minimum of 60 days to facilitate compliance with this regulation. If a horse is successfully claimed by a new owner, the trainer of record at the time of that claiming race must provide that horse’s complete corticosteroid and intra-articular injection report for the previous 30 days.

(c) The previous reports shall be maintained in whatever format the trainer elects. However, if the Commission requests a copy of the report, it must be provided in electronic form.

(d) The report must be provided to the new trainer within 48 hours of the transfer of the horse. The trainer or the trainer’s designee shall notify the Commission Veterinarian when the records have been provided.

(e) Submission of the report and records may be delegated to the treating veterinarian, who shall provide the report to the new trainer within 48 hours of the transfer of the horse.

(f) Failure of the trainer to provide the reports as required shall result in disciplinary action.

7 Pa. Code § 203.27 Restrictions on wagering.

A trainer shall only be allowed to wager on the trainer’s horse or entries to win or to finish first in combination with other horses.

7 Pa. Code § 203.28 Assistant trainers.

(a) A trainer may employ an assistant trainer as approved by the Judges. The trainer shall notify the Race Secretary of the use of an assistant trainer. The assistant trainer shall be duly licensed prior to acting in this capacity on behalf of the trainer. Qualifications for obtaining an assistant trainer’s license shall be prescribed by the Judges and the Commission and may include those requirements prescribed in this chapter.

(b) An assistant trainer may substitute for and shall assume the same duties, responsibilities and restrictions as imposed on the licensed trainer. In which case, the trainer shall be jointly responsible for the assistant trainer’s compliance with the rules governing racing and all the duties and responsibilities set forth in § § 203.22 and 203.23 (relating to trainer responsibility rule; and duties of trainers).

(c) While currently employed by a trainer, an assistant trainer shall not enter a horse or otherwise compete in the same race as the employer/trainer.

7 Pa. Code § 203.29 Substitute trainer.

(a) A trainer absent for more than 2 days from the duties and responsibilities as a licensed trainer or on a day in which the trainer has a horse in a race, shall obtain another licensed trainer to substitute.

(b) A substitute trainer shall accept full responsibility for the horses in writing and must be approved by the Judges.

(c) A substitute trainer and the absent trainer shall be jointly responsible as absolute insurers of the condition of their horses entered in an official workout or race under § 203.22 (relating to trainer responsibility rule) of these regulations.

7 Pa. Code § 203.30 Owners authorized agents.

(a) A person undertaking or purporting to act as an authorized agent of an owner shall apply and secure a license from the Commission prior to this representation. An application for an authorized agent license shall be filed for each owner represented.

(b) A written instrument signed by the owner shall accompany the application and shall clearly set forth the delegated powers of the authorized agent. The owner’s signature on the written instrument shall be acknowledged before a notary public.

(c) If the written instrument is a power of attorney it shall be filed with the Commission and attached to the regular application form.

(d) Any changes shall be made in writing and filed as set forth previously.

(e) The authorized agent’s appointment may be terminated by the owner, in writing, acknowledged before a notary public and filed with the Commission whereupon the license shall not be valid.

7 Pa. Code § 203.31 Powers and duties of an authorized agent.

(a) A licensed authorized agent may perform on behalf of the licensed owner-principal all acts relating to racing, as specified in the agency appointment, that could be performed by the principal if the principal were present.

(b) In executing any document on behalf of the principal, the authorized agent shall clearly identify the authorized agent and the owner-principal.

(c) When an authorized agent enters a claim for the account of a principal, the name of the licensed owner for whom the claim is being made and the name of the authorized agent shall appear on the claim slip or card.

(d) Authorized agents are responsible for disclosure of the true and entire ownership of each horse for which they have authority. Any change in ownership shall be reported immediately to, and approved by, the Judges and recorded by the race secretary.

7 Pa. Code § 203.32 Eligibility for groom’s license.

(a) An applicant for a license as a groom must satisfy the Commission that the application possesses the necessary qualifications, both mental and physical, to perform the duties required. Elements to be considered, among others, shall be character, reputation, temperament, experience, knowledge of the rules of racing and of the duties of a groom.

(b) In addition to the requirements set forth in Chapter 185 (relating to occupational licenses—temporary regulations) an applicant shall furnish a complete, accurate and truthful application.

7 Pa. Code § 203.51 Application and qualifications for driver’s license.

(a) In addition to the licensing requirements set forth in Chapter 185 (relating to occupational licenses—temporary regulations), all license requirements for drivers will be in accordance with the USTA Rule 17, except a restricted license as provided for in the USTA Rule A-1, section 3.

(1) The Commission shall deem a driver as qualified to compete if he has obtained a USTA license, either Provisional (P), Restricted (V) or Full Drivers (A). In cases where drivers are Provisional (P), it shall be so noted on the program. In addition to any other requirements mentioned herein the applicant shall:

(i) Furnish a complete application form.

(ii) Produce a driver’s license for the current year issued by the USTA.

(2) All penalties imposed on any driver will be recorded on the reverse side of their USTA driver’s license by the Presiding Judge.

(3) In the event any person is involved in an accident on the track, the Commission may order the person to submit to a physical examination and this examination must be completed within 30 days from the request or their license may be suspended until compliance therewith.

(4) This license shall be presented to the clerk of course before driving.

7 Pa. Code § 203.52 Racing colors.

(a) No driver or trainer shall be permitted to drive in any race or other public performance unless wearing the driver’s own registered colors or the owner’s registered colors.

(b) Drivers must wear distinguishing colors. No driver shall be permitted to start in a race or other public performance unless, in the opinion of the Judges, the driver is properly dressed, including a clean driving outfit. All drivers in a race must wear white driving pants.

(c) During inclement weather conditions, drivers must wear rain suits in either of their colors or made of a transparent material through which their colors can be distinguished.

7 Pa. Code § 203.71 Use of controlled substances.

(a) No driver, trainer, groom or official may use a controlled substance as defined in The Controlled Substance, Drug, Device and Cosmetic Act (35 P.S. § § 780-101—780-144) or a prescription drug unless the substance was obtained under a valid prescription or order from a licensed physician while acting in the course of professional practice. The driver, trainer, groom or official is responsible for giving notice to the Presiding Judge on a form provided by the Commission that the driver, trainer, groom or official is using a controlled substance or prescription drug under a valid prescription from a licensed physician.

(b) To maintain the health, safety and welfare of all racing participants, no driver, trainer, groom or official using a controlled substance or prescription drug under a valid prescription or order will be permitted to participate in racing activities unless the physician has certified that use of the controlled substance or prescription drug will not adversely affect the driver’s or official’s ability to properly and safely carry out his responsibilities.

7 Pa. Code § 203.72 Urine or other drug screening tests.

A driver, trainer, groom or official for a race may be subjected to a urine test, a swab test or any other noninvasive drug screening tests or methods for the detection of controlled substances or prescription drugs. The testing may be conducted and administered at any time, including on racing days on the track premises and in a manner prescribed by the Commission. An individual subject to this requirement who refuses to submit to the test if requested to do so by a representative of the Commission is subject to a fine of $500 and an immediate 10-day suspension to be imposed by the Judges.

7 Pa. Code § 203.73 Testing.

A driver, trainer, groom or official who is selected to submit to a urine test, swab test or other noninvasive drug screening tests or methods shall provide a sample to a representative of the Commission and shall fully cooperate with the following procedures:

(1) The taking of the sample shall occur in the presence of a Commission representative of the same sex as the tested individual.

(2) The sample shall be sealed and tagged immediately using a form provided by the Commission. Evidence of the sealing shall be indicated by the signatures of the tested individual and the representative of the Commission.

(3) The portion of the form provided to the laboratory for analysis may not identify the tested individual by name.

(4) The sample will be initially tested utilizing a drug detection device approved by the Commission and used at a laboratory approved by the Department of Health under 28 Pa. Code § 5.50 (relating to approval to provide special analytical services) to conduct urine content drug screening tests.

7 Pa. Code § 203.74 Test results.

(a) Action upon initial positive test result. A driver, trainer, groom or official who has initially tested positive for a controlled substance or prescription drug as part of a test administered using a portable drug detection device may be prohibited from participating in racing programs by the Presiding Judge until, in the judgment of the Presiding Judge, the tested individual is capable of safely participating in racing activities.

(b) Action upon confirmed positive test result. Initial positive test results shall be analyzed by a clinical laboratory which is approved by the Department of Health under 28 Pa. Code § 5.50 (relating to approval to provide special analytical services) to provide confirmatory urine content drug testing specialized laboratory services. If the clinical laboratory analysis confirms an initial positive test for a controlled substance or prescription drug, other than a controlled substance or prescription drug used under a valid prescription, the Bureau Director will:

(1) For the first violation, issue a written reprimand and warning and notify the tested individual that the tested individual will be subject to mandatory drug testing for a period of time as determined by the Bureau Director and that further violations shall result in the sanctions of paragraphs (2) and (3).

(2) For a second violation, require the tested individual to enroll in a treatment program approved by the Commission upon reasonable terms and conditions as required and at the cost of the tested individual. The tested individual shall be permitted to participate in racing activities prior to completion of the treatment program only if continued participation would not be detrimental to the best interests of racing or would not be unsafe, as determined by the Bureau Director or other Commission designated person. The tested individual shall provide the Commission written notice of his enrollment, weekly status reports and written notice of his successful completion of, and discharge from, the program. If a tested individual fails to comply with this paragraph, his license will be suspended until compliance is obtained. Upon successful completion of a treatment program, the tested individual will be permitted to participate in racing activities if permission had been denied by the Bureau Director.

(3) For a third or subsequent violation, inform the tested individual that the tested individual may be liable under the penalty provisions of the act or the individual may be required to enroll in a treatment program instead of the penalties, at the discretion of the Commission.

(c) Review. Actions taken by a Presiding Judge or the Bureau Director under this section are subject to review by the Commission if review is requested in writing within 10 days of receipt of written notice of the actions. The Commission may affirm, modify or reverse action taken by a Presiding Judge, or the Bureau Director if the action is consistent with the best interests of racing.

(d) Positive test. For purposes of this section, a positive test is a test result indicating the presence of any amount of a controlled substance or prescription drug.

7 Pa. Code § 203.75 Confidentiality.

(a) Permitted disclosures. Information received in the process of obtaining a urine sample, including, but not limited to, medical information, the results of a urine test and reports filed as a result of attending a treatment program, will be treated as confidential, except for use with respect to a ruling issued under this chapter or an administrative or judicial hearing with regard to the ruling. Access to the information received or reports of positive results or reports from a treatment program will be limited to the Commissioners, the Bureau Director or a designee, counsel for the Commission and the tested individual. Nothing in this section prohibits the disclosure of a fine, suspension or revocation imposed on a licensee under this chapter.

(b) Storage and retention of information. Information received and reports prepared under this chapter will be stored in a locked, secure area in the office of the Bureau Director for 1 year, after which time they will be destroyed. However, the Commission may maintain the information received and reports on individuals who have violated this chapter for the purpose of recording the number of violations and the results of treatment, and for use if future violations occur.

7 Pa. Code § 203.91 Safety helmets.

(a) A protective helmet meeting the 1984 Standard for Protective Headgear (Snell Memorial Foundation), Laboratory Procedure for Motorcycle Helmut Testing (Federal Motor Vehicle Safety Standard No. 218, United States Department of Transportation) or Specification for Headgear Used in Horse Sports and Horse Back Riding (ASTM Standard F085.53, Draft # 4, 1986) standards for protective harness racing headwear, securely fastened under the chin, must be worn at all times on association grounds when:

(1) Racing, parading or warming up a horse prior to racing; or

(2) Jogging, training or exercising a horse at any time.

(b) A safety helmet shall not be altered in any manner nor shall the product marking be removed or defaced.

(c) The Commission, by written notice to the regulated community and by Order published in the Pennsylvania Bulletin, may adopt the minimum standards in sections (a) and (b) for helmets as may be amended from time to time.

(d) Failure of persons to adhere to the previous safety helmet provisions may subject the person to the following penalties:

(1) First offense—a written warning;

(2) Second offense—$50 fine;

(3) Third or subsequent offense—$250 fine or suspension, or both, at the discretion of the Judges.

7 Pa. Code § 203.101 Eligibility for Farrier’s license.

(a) The issuance of a Farrier’s license shall be dependent upon the applicant satisfying the requirements set forth below. An applicant shall:

(1) Be at least 18 years of age; and

(2) Be qualified, by reason of experience, background and knowledge of horseshoeing, as determined by the Commission or its appointed testing organization,

(b) As evidence of qualifications and capabilities, applicants not previously licensed in any jurisdiction shall be required to pass one or more of the following:

(1) A written examination;

(2) An interview or oral examination; or

(3) A demonstration of practical skills in horseshoeing.

(d) If a Farrier’s license is terminated by action of the Commission or by failure to renew the license for a period of 7 years, the applicant must comply with the requirements of subsection (b).

7 Pa. Code § 203.102 Reciprocity with other states.

A Farrier’s license, duly issued by and in good standing from another jurisdiction, shall be reciprocally accepted by the Commission or its testing organization as evidence of the Farrier’s experience and qualifications for licensure in this Commonwealth. If requested by the Commission, the Farrier shall provide any necessary documentation from the licensing jurisdiction.

7 Pa. Code § 203.111 Eligibility for Commission license.

An applicant for a license as a practicing veterinarian on the grounds of a licensed racing facility shall be qualified and licensed to practice veterinary medicine in this Commonwealth. An application for a practicing veterinarian license from the Commission must be accompanied by a copy of the applicant’s current license to practice veterinary medicine and be otherwise qualified to be issued a license to participate in racing.

7 Pa. Code § 203.112 Duties and responsibilities.

(a) All practicing veterinarians licensed by the Commission and authorized to access secure areas of the licensed racing facility and to participate in racing activities shall ensure the health and welfare of racehorses and shall safeguard the interests of the public and the participants in racing.

(b) It shall be the duty of every practicing veterinarian to adhere to the highest ethical and professional standards of veterinary practice. Any deviation from those standards shall be considered a violation of the rules of racing and may subject the practicing veterinarian to discipline by the Commission including fines, suspensions or revocation.

(c) All practicing veterinarians administering drugs, medications or other substances shall be responsible for ensuring that the drugs, medications or other substances and the veterinary treatment of horses are administered in accordance with rules in Subpart F (relating to foreign substances, medications, drugs and equine veterinary practices).

(1) All practicing veterinarians shall promptly notify the Commission Veterinarian of any reportable disease and any unusual incidence of a communicable illness in any horse in his/her charge.

7 Pa. Code § 203.113 Restrictions on wagering.

A practicing veterinarian shall not wager on the outcome of any race if the practicing veterinarian has treated a horse participating in that race within the past 30 days.

Chapter 205 Rules of Standardbred Racing—Temporary Regulations

7 Pa. Code § 205.1 General provisions.

(a) The Commission shall annually approve each licensed racing entity employee whose duties include the enforcement of pari-mutuel racing and wagering activities which directly or indirectly affect the racing product. Compensation for a racetrack racing official shall be paid by the licensed racing entity.

(b) Racetrack racing officials shall enforce this chapter at all times and shall render regular written reports of the activities and conduct of the race meetings to the Commission, if requested by the Board of Judges or the Commission.

(c) The Commission shall employ individuals who shall be designated as Commission racing officials and whose duties shall include the oversight and enforcement of the act, regulations and Commission policies related to all racing activities, the conduct of live, simulcasted, electronic and pari-mutuel wagering activities and all licensees engaged in those racing activities.

(d) The purpose of this chapter is to define the duties and responsibilities of racing officials and the requirements, procedures and rules and conduct of live harness racing.

7 Pa. Code § 205.2 Required presence of officials in race.

(a) In every race a Presiding Judge and two Associate Judges shall be present in the Judge’s stand and all other race officials as defined in § 201.1 (relating to definitions), with the exception of the track veterinarian and the horse identifier.

(b) All racing officials shall be approved and licensed by the Commission. No racing official, with the exception of a timer, will be considered for approval unless that official has attended a USTA Officials’ School or another school designated by the Commission and has satisfactorily passed a written or oral examination, or both, at the conclusion of this school.

7 Pa. Code § 205.3 Conflict of official’s position.

(a) A racing official may not participate in the supervision, regulation or review of a race in which either the racing official or a member of the racing official’s immediate family, or a business partner, agent, associate, employee or joint-venturer has participated.

(b) No racing official, acting as a presiding, associate, starting, patrol or paddock Judge shall serve as a race secretary or a clerk of the course at the meeting. No racing official who is under suspension, an owner or otherwise interested in the ownership of any horse participating at the meeting or race, shall be qualified to act as an official.

7 Pa. Code § 205.4 Removal of official.

(a) Any racing official may be fined, suspended or the official’s license may be denied or revoked at any time for incompetency, failure to follow or enforce the provisions of this part, or any conduct detrimental to the sport.

(b) In the event of the disqualification of a racing official for any reason, the Board of Judges shall be notified immediately. The Board of Judges shall thereafter appoint a substitute.

7 Pa. Code § 205.5 Wagering forbidden.

A racing official may not wager, directly or indirectly, or otherwise have a form of interest in a wager of money or other thing of value on the results of a race at the meeting at which the racing official is employed. This prohibition shall include all forms of electronic or account wagering through any personal device.

7 Pa. Code § 205.6 Admission to Judges’ stand.

Only the Judges, the clerk of course, timers, official announcer, racing officials or representatives of the Commission shall be allowed in the Judges’ stand during a race. No exceptions shall be permitted.

7 Pa. Code § 205.7 Decorum of officials.

Racing officials shall at all times during the performance of their duties refrain from using inappropriate language or from conducting themselves other than in a judicious manner. Any conduct on their part which could or does tend to detrimentally or negatively reflect upon the sport is prohibited.

7 Pa. Code § 205.8 Reporting of violations.

All racing officials and their assistants shall immediately report to the Judges every observed or reported violation of these rules and of the laws of the Commonwealth governing racing.

7 Pa. Code § 205.9 Observations and notifications.

Prior to a race, a racing official shall immediately report to the Judges any apparent issues with a horse based on the condition which may significantly affect the running of the race. Upon notification to the Judges, the Judges may either conduct an immediate investigation or forward the matter to Commission investigators.

7 Pa. Code § 205.21 Racing officials.

Officials at a race meeting may include the following:

(1) Board of Judges;

(2) Race secretary;

(3) Paddock Judge;

(4) Horse identifier;

(5) Clerk of course/charter;

(6) Starter;

(7) Timer/clocker;

(8) Patrol Judge;

(9) Program director;

(10) Commission Veterinarian;

(11) Racetrack veterinarian.

7 Pa. Code § 205.22 Eligibility.

To qualify as a racing official, the applicant shall, at a minimum be:

(1) Of good character and reputation;

(2) Experienced in harness racing;

(3) Familiar with the duties of the position and with the Commission’s rules of harness racing;

(4) Mentally and physically able to perform the duties of the job; and

(5) In good standing and not under suspension by the USTA or ineligible in any racing jurisdiction.

7 Pa. Code § 205.23 Approval and licensing.

The Commission may, on an annual basis or when otherwise needed, determine the eligibility of a racetrack or Commission racing official and, in its sole discretion, may approve or disapprove any official for licensing.

7 Pa. Code § 205.24 Prohibited practices.

While serving in an official capacity, racing officials and their assistants shall not:

(1) Participate in the sale or purchase, or ownership of any horse actively racing at the meeting;

(2) Sell or solicit horse insurance on any horse racing at the meeting;

(3) Be licensed in any other capacity without permission of the Commission, or in case of an emergency, the permission of the Judges;

(4) Wager utilizing any device on the outcome of a race under the jurisdiction of the Commission while performing their official duties;

(5) Consume or be under the influence of alcohol or any prohibited substances while performing official duties at the meeting.

(6) Solicit or accept, either directly or indirectly, any gratuity, reward or favor in connection with racing at the meeting at which the racing official is employed.

7 Pa. Code § 205.25 Appointment.

(a) A person shall not be appointed to more than one racing official position at a meeting unless specifically approved by the Commission.

7 Pa. Code § 205.26 Appointment of substitute officials.

The licensed racing entity shall immediately notify the Judges where an emergency vacancy exists among racetrack racing officials and shall fill the vacancy immediately. This appointment shall be reported to the Commission and shall be effective until the vacancy is filled in accordance with these rules.

7 Pa. Code § 205.31 Accreditation of Judges.

(a) To qualify for appointment as a Judge with the Board of Judges, the applicant must meet the education and examination requirements necessary to be accredited by the USTA Official’s School, the Association of Racing Commissioners International Racing Officials Accreditation Program or a similar accreditation program approved by the Commission.

(b) In addition to subsection (a), the applicant must also meet the following racing experience requirements:

(1) Five years or more of experience as a licensee of a racing commission or other regulatory racing authority of the United States or Canada;

(2) Certified as a racing official in one or more of the following categories: patrol Judge, placing Judge, paddock Judge, clerk of course, horse identifier, racing secretary or assistant racing secretary and Starter; and

(3) Be in good standing with all harness racing jurisdictions and with the USTA.

7 Pa. Code § 205.32 Powers of the Judges.

(a) General powers. In matters pertaining to racing, the orders of the Judges shall supersede the orders of the officers and directors of the association. The Judges shall have the authority to regulate and supervise the conduct of the race meeting and licensed personnel, racing officials, owners, trainers, drivers, grooms and all other persons participating in pari-mutuel racing activities at the race meeting, unless the power and the duty is exclusively vested in the Commission.

(b) The authority of the Board of Judges shall begin at least 10 days prior to the beginning of the race meeting and shall terminate with the completion of their business pertaining to the meeting. This period may be modified or altered as deemed necessary by the Commission. If a dispute is unresolved at the time, it may be heard later or disposed of by the Judges or referred to the Commission. This section does not limit the power of the Judges to impose sanctions which continue beyond the end of the race meeting.

(c) If there is a succeeding meeting approved to begin at the same racetrack, the power of the Judges at the meetings is deemed to be continuing and sustaining.

(d) Specific powers. The Presiding Judge and Associate Judges shall have the authority to:

(1) Impose all necessary fines and penalties in accordance with the act and as specifically set forth in the Commission’s regulations.

(2) Determine all questions of fact relating to the race and resolve conflicts and disputes related to racing and discipline violators in accordance with these regulations.

(3) Decide any disputes between parties to the race or any contingent racing matter not specifically covered by the rules, but which, in the Judges’ opinion, may negatively impact the public interest or the public’s perception of racing.

(4) Declare pools and bets ‘‘Off’’ in case of fraud, or to declare any horse a nonstarter and to direct the refund of all wagers made thereon. All pools and bets shall follow the decisions of the Judges. These decisions in respect to pools and bets shall be made before or after the conclusion of the race upon the observations of the Judges and upon the facts as an immediate investigation will develop. A reversal or change of decision after the official placing at the conclusion of a heat or dash shall not affect the distribution of the betting pools made upon the official placing.

(5) Declare a dash or heat of a race no contest in the event that a track is thrown into darkness during the progress of a race by failure of electricity.

(6) Postpone or cancel races in the event of unfavorable weather conditions or for any other reason related to the health and safety of the horse and those participating in the race.

(7) Conduct administrative hearings in accordance with Chapter 179, Subchapter B (relating to Judges and Stewards hearings) and compel the attendance of witnesses, the submission of documents or potential evidence related to any investigation or hearing and may administer oaths and examine witnesses.

(8) Consider complaints of foul from the patrol Judges or drivers in the race.

(9) To have reasonable control over and access to restricted and unrestricted areas including stands, paddock, stables, barns and other areas of the racetrack enclosure.

(10) To direct the examination a horse stabled on the racetrack grounds, or in a stabling area approved by the licensed racing entity.

(11) Inspect from time to time license documents, registration papers and other documents related to racing.

(12) Consult with the Commission Veterinarian to determine the nature and seriousness of a laboratory finding or an alleged medication violation.

7 Pa. Code § 205.33 Disciplinary action.

(a) The Judges shall take notice of alleged misconduct or rule violations and may initiate investigations into the matters through the Commission’s investigative staff or matters may be referred to them for hearing. The Judges shall have the express authority to charge any licensee for a violation of these rules, to conduct hearings and to impose disciplinary action in accordance with these rules.

(b) The Judges may impose, but are not limited to, any of the following penalties on a licensee for an attempted violation or violation of these rules:

(1) Issue a reprimand;

(2) Impose a fine not to exceed the statutory amount set for in the act;

(3) Require forfeiture or redistribution of purse or award;

(4) Place a licensee on probation or a conditional license;

(5) Suspend a license or racing privileges;

(6) Revoke a license;

(7) Order that a person be ineligible for licensing; or

(8) Impose any other penalty as deemed necessary and appropriate for the level of violation.

(c) The Judges may suspend a person or disqualify a horse for fixed periods of time or under other conditions they may deem appropriate or as may be specified by this chapter. If a person is indefinitely suspended or is ordered suspended for more than the balance of a meeting, the matters shall promptly be referred to the Commission for final disposition.

(d) The Judges, on an emergency basis, shall have the power to exclude or eject from the racetrack premises and enclosures of the licensed racing entity any person who:

(1) Is under an order of suspension or revocation or has been denied a license or ruled off by a racing commission or Board of Judges.

(2) Is known to be an objectionable or undesirable person or whose presence on the racetrack enclosure is deemed to be inconsistent with the best interests of racing.

(3) Whose conduct is deemed an improper or detrimental to racing.

(e) The Judges’ ruling shall not prevent the Commission from imposing a more severe penalty.

(f) The Judges may refer any matter to the Commission and may include recommendations for disposition. The absence of a Judges’ referral shall not preclude the Commission from taking action in any matter on its own.

(g) All fines imposed by the Judges shall be paid to the Commission within 10 days after the ruling is issued, unless otherwise directed by the Judges.

(h) In addition to any penalties imposed upon any owner, trainer, veterinarian or other licensee as a result of a medication or drug positive, after notice and an appropriate hearing, the horse which tested positive for the prohibited substance, shall be placed on the Judge’s list and shall be ineligible to participate in racing for the following period of time:

(1) Class 1 or Class 2 drugs (as set forth in the Association of Racing Commissioners International Uniform Classification guidelines) shall be ineligible to race for a period of 90 days from the date of the Judges’ ruling, unless the matter has been appealed to the Commission.

(2) Class 3 drugs or high blood gas (TCO2) readings shall be ineligible for a period of 30 days from the date of the Judges’ ruling unless the matter has been appealed to the Commission.

7 Pa. Code § 205.34 Judges’ presence in the stand.

(a) Three Judges shall be present and on duty in the Judges’ stand during the running of each race. During the race times, the Judges shall remain in the stand, in the paddock or otherwise readily available to the participants at the meet.

(b) At least one of the Judges shall be on duty within call of the racing secretary from the time of the opening of overnight entries each morning until after the time allowed for filing of protests or objections to entries or assignment of post positions.

(c) Should any Judge be absent at race time, and no approved alternate Judge be available, the remaining Judges may appoint a qualified substitute for the absent Judge. If a substitute Steward is appointed, the Judges shall notify the Bureau Director and the racing secretary.

7 Pa. Code § 205.35 Duties of Judges.

(a) The Judges shall investigate promptly and render a decision in every protest, objection and complaint made to them. They shall maintain a record of all protests, objections and complaints. The Judges shall file daily with the Commission a copy of each protest, objection or complaint and any related ruling.

(b) The Judges shall prepare a daily report, on a form approved by the Commission, detailing their actions and observations made during each day’s race program. The report shall include the information such as the name of the racetrack, the date, the weather and track-conditions, claims, inquiries, and objections and any unusual circumstances or conditions. The report shall be signed by each Judge and be filed with the Commission not later than 24 hours after the end of each race day.

(c) The Presiding Judge shall maintain a detailed report of the Judges’ official activities. The log shall describe all questions, disputes, protests, complaints, or objections brought to the attention of the Judges and all interviews, investigations and rulings made by the Judges. The log shall be available at all times for inspection by the Commission or its designee.

(d) Not later than 7 days after the last day of a race meeting, the Presiding Judge shall submit to the Commission a written report regarding the race meeting. The report shall include:

(1) The Judges’ observations and comments regarding the conduct of the race meeting and the overall conditions of the association grounds during the race meeting; and

(2) Any recommendations for improvement by the licensed racing entity or action by the Commission.

(e) Order an investigation regarding any act of cruelty, seen by them or reported to them, toward a race horse during a meeting. If, after a hearing, the Judges determine that an act has been committed, the Judges shall impose the appropriate penalty and shall refer the matter to the Commission for further action, including the referral of the matter to the appropriate law enforcement agency.

(f) Exclude from a race any horse that in the opinion of the Judges is improperly equipped, dangerous or unfit to race. A horse is unfit to race if it is sick, has impaired vision in both eyes, is noticeably weak or lame. The horse shall be placed on the Judges’ List as provided in § 205.36 (relating to Judges’ List).

7 Pa. Code § 205.36 Judges’ List.

(a) The Judges shall maintain a Judges’ List of the horses which are ineligible to be declared or entered in a race because of poor or inconsistent performance or behavior on the racetrack that endangers the health or safety of other participants in racing.

(b) A horse that is unfit to race because it is dangerous, unmanageable or unable to show a performance to qualify for races at the race meeting, or otherwise unfit to race at the race meeting may be placed on the Judges’ list by the Presiding Judge and declarations or entries, or both, on the horse shall be refused. The owner or trainer shall be notified of the action and the reason shall be clearly stated. The Judges shall post and maintain a current Judges’ List in the racing office. When any horse is placed on the Judges’ List, the clerk of course shall make an entry on the eligibility certificate of the horse, showing the date the horse was put on the Judges’ List, the reason and the date of removal, if the horse has been removed.

(c) Any horse put on the Judges’ List as unmanageable or dangerous must qualify in a satisfactory manner for the Judges at least two times.

(d) The Judges may put a horse on the Judges’ List for performance when the horse shows a reversal of form or does not race near its own capabilities. The horse must qualify in a time comparable to its known capabilities from one to three times, at the discretion of the Judges, before being declared.

(e) The Judge may place a horse on the Judges’ List when there exists a question as to the exact identification or ownership of said horse.

(f) A horse which has been placed on the Judges’ List because of questions as to the exact identification or ownership of said horse, may be removed from the Judges’ List when, in the opinion of the Judges, proof of identification or ownership has been reasonably established.

(g) A horse placed on the Judges’ List can only be removed from the Judges’ List by the Judges.

This section cited in 7 Pa. Code § 205.35 (relating to duties of Judges).

7 Pa. Code § 205.37 Procedure of the Judges.

It shall be the procedure of the Judges to:

(1) Be in the stand 15 minutes before the first race and remain in the stand for 10 minutes after the last race and at all times when the horses are upon the track.

(2) Observe the preliminary warming up of the horses and scoring, noting the behavior of horses, lameness, equipment, conduct of drivers, changes in odds and any unusual incident pertaining to horses or drivers participating in races.

(3) Give notice at least 10 minutes before a race or heat. Any driver failing to obey this summons may be punished and the horse may be ruled out by the Judges and considered drawn.

(4) Designate one of the Judges to lock the pari-mutuel machines immediately upon the horses reaching the official starting point. The Presiding Judge shall designate the post time for each race and the horses will be called at the time as to preclude excessive delay after the completion of scoring.

(5) Be in communication with the patrol Judges from the time the Starter picks up the horses until the finish of the race. Any violation or near violation of the rules shall be reported by the patrol Judge or Starter witnessing the incident and written record made of the incident. At least one Judge will observe the drivers throughout the stretch specifically noting changing course, interference, improper use of whips, breaks and failure to contest the race to the finish.

(6) Post the ‘‘objection’’ sign, or ‘‘inquiry’’ sign, on the odds board in the case of a complaint or possible rule violation, and immediately notify the announcer of the objection or inquiry and the horses involved. As soon as the Judges have made a decision, the objection sign shall be removed, the correct placing displayed and the ‘‘official’’ sign flashed. In all instances the Judges shall post the order of finish and the official sign as soon as they have made their decision.

(7) Display the photo sign if the order of finish among the contending horses is less than half-length or a contending horse is on a break at the finish.

7 Pa. Code § 205.51 General authority of the race secretary.

The race secretary or the assistant race secretary as an employee of the licensed racing entity shall be responsible for setting the conditions for each race of the race meeting, supervise the nominations of entries and determining the amounts of purses and to whom the purses are due. The race secretary shall verify the eligibility of all horses entered for each race and shall certify eligibility to the Judges.

7 Pa. Code § 205.52 Claiming authorizations.

The race secretary is responsible for maintaining the claiming authorizations of all declared horses during the race meeting.

7 Pa. Code § 205.53 List of nerved horses.

The race secretary shall maintain a list of nerved horses which are on the racetrack grounds and shall make the list available for inspection by the Commission or its designee or by written request from other licensees participating in the race meeting.

7 Pa. Code § 205.54 Allocation of stalls.

The race secretary shall have the sole authority to assign stall applicants stabling as is deemed proper and maintain a record of arrivals and departures of all horses entering into and stabled on the racetrack grounds. No appeal to the Commission shall be available from a denial of stalls.

7 Pa. Code § 205.55 Conditions.

(a) The race secretary shall establish the conditions and eligibility for entering races and cause them to be published to owners, trainers, the Judge and the Commission and be posted in the racing secretary’s office. The race secretary shall remain responsible for any errors occurring regarding a horse’s eligibility and along with the licensed racing entity shall remediate the error if possible.

(b) The race secretary shall prescribe the standards for overnight events and to prepare and publish condition sheets or condition books in accordance with these rules.

7 Pa. Code § 205.56 Listing of horses.

The race secretary shall:

(1) Examine all entry forms and declarations to verify information as set forth therein;

(2) Select the horses to start and the also eligible horses from the declarations in accordance with these rules; and

(3) Provide the listing of horses in the daily program.

7 Pa. Code § 205.57 Race information.

The race secretary shall be familiar with the age, class and competitive ability of all horses racing at the race meeting.

7 Pa. Code § 205.58 Classifications.

The race secretary shall classify horses in accordance with these rules and list horses in the categories in which they qualify.

7 Pa. Code § 205.59 Daily racing program.

The race secretary or the designated program director shall publish the official daily racing program, ensuring the accuracy therein of the following information:

(1) Sequence of races to be run and post time for the first race;

(2) Purse, conditions and distance for each race, and current track record for distance;

(3) The name of licensed owners of each horse, indicated as leased, if applicable, and description of racing colors to be carried;

(4) The name of the trainer and the name of the drive named for each horse;

(5) The post position and saddle cloth number or designation for each horse if there is a variance with the saddle cloth designation;

(6) Identification of each horse by name, color, sex, age, sire and dam;

(7) Other information as may be requested by the licensed racing entity or the Commission.

This section cited in 7 Pa. Code § 205.151 (relating to duties).

7 Pa. Code § 205.60 Posting of entries.

Upon completion of the draw each day, the race secretary shall post a list of entries in a conspicuous location in the racing office and make the list available to the media. No appeal shall be heard by the Commission from the denial or posting of entries.

7 Pa. Code § 205.61 Nominations and declarations.

The race secretary shall examine nominations and declarations and early closing events, late closing events and stakes events to verify the eligibility of all declarations and nominations and compile lists thereof for publication.

This section cited in 7 Pa. Code § 205.251 (relating to claiming regulations and procedures).

7 Pa. Code § 205.62 Stakes and added money records.

The race secretary shall be caretaker of the permanent records of all stakes and shall verify that all added moneys due are paid prior to declaration for races conducted at the race meeting.

7 Pa. Code § 205.63 Winnings.

For the purpose of establishing conditions, winnings shall be considered to include all moneys and prizes won up to the time of the start of a race. Winnings during the year shall be calculated by the racing secretary from the preceding January 1.

7 Pa. Code § 205.71 Duties of paddock Judge.

At the direction of the Presiding Judge, the paddock Judge shall at all times be in charge of the paddock and the activities in the paddock area as outlined in the Commission regulations. The paddock Judge shall:

(1) Ensure that the horses are on the track for post parades in accordance with the schedule issued by the Presiding Judge;

(2) Inspect horses for changes in equipment, broken or faulty equipment, head numbers and saddle pads;

(3) Supervise paddock gate operators;

(4) Check horses and drivers in and out;

(5) Direct the activities of the paddock horseshoer;

(6) Immediately notify the Presiding Judge of anything that could in change, delay or otherwise affect the racing program;

(7) See that only properly authorized persons are permitted in the paddock;

(8) Supervise the identification of horses in the race;

(9) Notify the Presiding Judge of any change of racing equipment or horseshoes before the race;

(10) Inspect and supervise the maintenance of all emergency equipment kept in the paddock;

(11) Notify Judges of the reason for any horse returning to the paddock after having entered the track for the post parade and before the start of the race;

(12) Notify Judges of all trainers and grooms who leave the paddock in an emergence;

(13) Supervise and maintain cleanliness of the paddock;

(14) Supervise the conduct of all persons in the paddock;

(15) Immediately report to the Presiding Judge evidence of cruelty to any horse.

7 Pa. Code § 205.91 General authority and duties.

(a) The horse identifier shall be present for each race. The horse identifier shall inspect each horse prior to its departure from the paddock to the post parade to confirm the horse’s proper identity by checking the horse’s tattoo number, color and markings, and freeze brand if applicable.

(b) The horse identifier shall report to the Judges any horse not properly identified or whose registration certificate is not in conformity with these rules.

7 Pa. Code § 205.101 General authority and duties.

(a) The clerk of course/charter shall be under the jurisdiction of the Presiding Judge at all times. The clerk of course/charter be responsible for verifying the eligibility records provided by the USTA and recording therein all the following information:

(1) Names and addresses of owners, trainers and drivers;

(2) The standard symbols for medications, where applicable;

(3) Notations of placings, disqualifications and claimed horses;

(4) Notations of scratched or barred horses.

(b) The clerk of course shall also:

(1) Provide an eligibility record to the horse’s owner or the owner’s representative when requested.

(2) Check eligibility certificates before the race and after the race, enter all information provided thereon, including the position of the horse in the race it was charted.

(3) Record all protests, penalties and appeals on forms provided by the Presiding Judge.

(4) Assist the Presiding Judge in drawing positions and when called upon, assist in placing horses.

(c) The official charter is responsible for providing a complete and accurate chart of each race and shall only be done by a licensed clerk of course/charter. At all meetings the charting of races is mandatory and the licensed racing entity shall employ a licensed clerk of course/charter to fulfill the requirements of this section.

(d) An accurate chart shall include the following:

(1) Horse’s name;

(2) Driver’s name;

(3) Date and place of the race;

(4) Track size, if other than a 1/2-mile track;

(5) Track condition and temperature;

(6) Type of race (trot or pace);

(7) Classification of race;

(8) Distance;

(9) Fractional times of the leading horse, including the race time;

(10) Post position, position at the 1/4-mile, the 1/2-mile and the 3/4-mile poles and at the head of the stretch with lengths behind the leader and finish position with lengths behind the winner;

(11) Official order of finish;

(12) Individual time of each horse;

(13) Closing dollar odds (with favorite designated by an asterisk);

(14) The standard symbols for breaks, interference breaks, interference, broken equipment, park outs and free legged pacers, where applicable;

(15) The standard symbols for medications, where applicable; in claiming races, the price for which the horse is entered to be claimed less allowances for age and sex;

(16) Names of the horses placed first, second and third by the Judges; and notations of placings, disqualifications and claimed horses.

7 Pa. Code § 205.111 Eligibility as a Starter.

(a) No person shall be licensed as a Starter until the applicant has successfully completed a written examination and satisfied the Commission or the Commission’s designee that the Starter has the necessary qualifications to perform the required duties.

(b) Notwithstanding the requirement in subsection (a), the Commission may grant a limited Starter’s license restricted to starting horses in matinee races, time performances or meetings not exceeding 10 days in duration within a calendar year.

7 Pa. Code § 205.112 Duties of the Starter.

(a) The Starter shall:

(1) Be subject to the supervision of the Presiding Judge;

(2) Be present in the starting gate at least 15 minutes before the first race;

(3) Have control over the horses from the formation of the post parade until the field is released at the starting point;

(4) Notify the Judges of all violations of the rules, giving detailed information thereof, including any assessed penalty;

(5) Notify drivers charged with violations of starting rules and grant a hearing before any penalties are assessed;

(6) Act as a patrol Judge when requested by the Judges; and

(7) Immediately report any false starts, impeded starts, unfair starts or any unauthorized activities to the Presiding Judge.

(b) Submit to a physical or eye examination, or both, when requested by the Commission.

7 Pa. Code § 205.113 Starter’s List.

The official Starter shall school horses as may be necessary and shall prepare a list of horses not qualified to start, which shall be delivered to the Judges and the racing secretary and entered on the Starter’s List. The Starter’s List shall be posted in the racing secretary’s office. No horse on the Starter’s List shall be eligible to declare until removed from the Starter’s List.

7 Pa. Code § 205.121 Duties of timers.

(a) The official timer/clocker shall accurately record the time elapsed between the start and finish of each race and shall be in the stand 15 minutes before the first heat or dash is contested.

(b) The time shall be recorded from the instant that the first horse crosses the starting point until the first horse reaches the finish line and each 1/4 mile shall also be recorded on the leading horse.

(c) In every race, the time of each heat or dash shall be accurately recorded by two timers or an approved electrical timing device, in which case, there shall be one timer.

(d) Times of heats shall be recorded in minutes, seconds and fifths of a second.

(e) Immediately following each heat, the elapsed time of the heat shall be publicly announced or posted on the totalisator board, or both.

(f) No unofficial time shall be announced, posted or entered into the official record.

7 Pa. Code § 205.122 Error in reported time.

(a) In circumstances involving an error in timing, no time shall be announced, posted or recorded for that heat.

(b) In any case of alleged error regarding a horse’s official time, the time in question shall not be changed to favor the horse or its owner, except upon the sworn statement of the Judges and official timers who officiated in the race.

7 Pa. Code § 205.123 Certificate as to track measurement.

In order for races to be recognized or published as official or both, at the beginning of each race meeting or at any time requested by the Commission, every licensed racing entity shall file a certificate by a duly licensed civil engineer or similar person that the track has been measured from wire to wire 3 feet out from the pole or inside hub rail and certifying in linear feet the result of that measurement. Each racetrack shall be measured and recertified in the event of any changes or relocation to the physical structure of the hub rail.

7 Pa. Code § 205.124 Time performance.

A record can be made only in a public race or performance against time. In a performance against time, the provisions of the USTA’s Rule 24 shall apply.

7 Pa. Code § 205.131 Power and duties of patrol Judges.

The patrol Judge, when utilized, is responsible for observing the race and reporting information concerning the race to the Judges. If the track’s video replay system is deemed adequate, use of patrol Judges is optional.

7 Pa. Code § 205.151 Duties.

(a) Each licensed racing entity shall designate a program director. In addition to the information set forth in § 205.59 (relating to daily racing program), it shall be the responsibility of the program director to furnish the public complete and accurate past performance information including the following:

(1) Horse’s name and sex;

(2) Color and age;

(3) Sire and dam;

(4) Owner’s name;

(5) Driver’s name and colors;

(6) Trainer’s name and stable name.

(b) At extended pari-mutuel meetings, the following additional information shall be furnished:

(1) In claiming races, the price for which the horse is entered to be claimed.

(2) At least the last six performance and accurate chart lines for the horse which shall include the following: Date of race, place, size of the racetrack if other than a 1/2-mile racetrack, symbol for free-legged pacers, racetrack condition, type of race, distance, the fractional times of the leading horse including race time, post position, position at 1/4 with lengths behind the leader, 1/2 with lengths behind the leader, 3/4 with lengths behind the leader, stretch with lengths behind the leader, finish with lengths behind the leader, individual time of the horse, closing dollar odds, name of the driver, names of the horses placed first, second and third by the Judges. The standard symbols for breaks and park-outs shall be used, where applicable.

(3) Indicate drivers racing with a provisional license and trainers with a limited license.

(4) Indicate pacers racing without hobbles and trotters that are racing with hobbles.

(5) Summary of starts in purse races, earnings, and best win time for current and preceding year. A horse’s best win time may be earned in either a purse or non-purse race.

(6) The consolidated line shall carry date, place, time, driver, finish, racetrack condition and distance, if race is not at 1 mile.

(7) Wherever a horse races under permissive medication, that fact shall be recorded on the horse’s electronic eligibility and thereafter that information shall be included in the performance lines on the printed programs at all extended pari-mutuel meetings, using the standard symbol adopted therefore.

7 Pa. Code § 205.171 Qualifications.

(a) The Commission Veterinarian shall:

(1) Be employed by the Department as a Veterinary Medical Field Officer (VMFO), or as a temporary State veterinarian and appointed by the Commission to a racetrack under the jurisdiction of the Commission;

(2) Have graduated from an accredited veterinary school, be duly licensed by the Department of State to practice veterinary medicine within this Commonwealth and be properly licensed by the Commission as a Commission Veterinarian;

(3) Possess the necessary qualifications and experience to objectively and competently provide the regulatory duties described herein;

(4) Refuse employment or payment, directly or indirectly, from any horse owner or trainer of a horse racing or intending to race in this Commonwealth while employed as the Commission Veterinarian;

(5) Refrain from directly treating or prescribing for any horse under the Commission’s jurisdiction, except in cases of extreme emergency, accident or injury;

(6) Have no employment history or business relationship prior to employment as the Commission Veterinarian that could constitute a conflict of interest or impede in the performance of official duties.

(b) The Commission shall have an adequate number of Commission Veterinarians, as determined by the Commission, necessary to perform all the duties and responsibilities, as set forth in these regulations. The Commission may designate one of the Commission Veterinarians as the Chief Commission Veterinarian at that racetrack facility.

7 Pa. Code § 205.172 Duties and responsibilities of the Commission veterinarian.

(a) The Commission’s Veterinarian, among other things, shall:

(1) Inform the Judge that a horse has been deemed unsafe to race, or inhumane to allow to race and shall place that horse on the Veterinarian’s List;

(2) Conduct pre-race inspections (racing soundness examination) on all potential Starters on race day under the Pre-Race Examination Protocol as established and amended by the Commission. The examinations shall be conducted in or near the stall to which the horse is assigned;

(3) Inspect any horse when there is a question as to the physical condition of the horse regardless of the horse’s entry status;

(4) Be present in the paddock and on the racetrack during the post parade;

(5) Recommend to the Judges the scratching of any horse that is, in the opinion of the Commission Veterinarian, injured, ill or otherwise unable to compete due to an apparent medical or health-related condition;

(6) Inspect any horse which appears in physical distress during the race or at the finish of the race and shall make a report of the horse and the suspected cause of the distress to the Judges, if the initial inspection was done by the racetrack veterinarian;

(7) Maintain a continuing health and racing soundness record of each horse so examined;

(8) Be authorized, in an emergency scenario, to humanely destroy any horse deemed to be so seriously injured that it is in the best interests of the horse to so act;

(9) Report to the Commission the names of all horses humanely destroyed or which otherwise expire at the meeting and the reasons therefore;

(10) Maintain the Veterinarian’s List of horses ineligible to race;

(11) Supervise and control the test barn and the procedures to be implemented therein;

(12) Supervise the taking of all biological specimens, including but not limited to blood, urine or any other bodily fluid taken from the horse for pre or post-race testing according to procedures approved by the Commission;

(13) Maintain the proper administrative safeguards to protect the chain of custody handling of all laboratory specimens to prevent tampering, confusion or contamination and assure sample integrity;

(14) Have jurisdiction over the practicing licensed veterinarians within the racetrack enclosure for the purpose of these rules;

(15) Cooperate with the racetrack veterinarian, practicing licensed veterinarians and other regulatory agencies to take measures to control communicable or reportable equine diseases, or both.

7 Pa. Code § 205.173 Veterinarian’s List.

The Commission Veterinarian shall maintain a list to be known as the Veterinarian’s List upon which the name of a horse which is considered unfit, unsound or not ready for racing shall be placed. The Veterinarian’s List shall be binding on all licensed racetrack facilities and those participating in racing activities under the jurisdiction of the Commission. A horse placed on the Veterinarian’s List shall be refused entry until the horse is shown to be fit, sound or ready to race.

7 Pa. Code § 205.191 General authority and duties.

(a) The track veterinarian shall be attendant on the Judges and the race secretary at scratch time and shall examine the horse that they request and make reports to the racing officials as promptly as possible.

(b) The racetrack veterinarian shall be an employee of the licensed racing entity and shall:

(1) Be duly licensed by the Commission and directly responsible to the Commission Veterinarian;

(2) Be a graduate veterinarian and be licensed to practice in this Commonwealth;

(3) Be present at a designated time to inspect a horse when there is a question as to the physical condition of the horse;

(4) Inspect any horse which appears in physical distress during the race or at the finish of the race; and shall report the horse together with a written opinion as to the cause of the distress to the Judges and to the Commission Veterinarian;

(5) Refrain from directly treating or prescribing for any horse scheduled to participate during the racetrack veterinarian’s term of appointment at any recognized meeting except in cases of emergency, accident or injury;

(6) Be authorized to humanely destroy any horse deemed to be so seriously injured that it is in the best interests of the horse to so act;

(7) Perform any other veterinarian function deemed necessary and appropriate as directed by the Commission Veterinarian, the Commission or the racetrack’s employer;

(8) Refuse employment or payment, directly or indirectly, from any owner or trainer of a horse racing or intending to race in this jurisdiction while employed as the racing veterinarian;

(9) Conduct soundness inspections on horses participating in races at the race meeting.

7 Pa. Code § 205.201 Registration.

7 Pa. Code § 205.202 Horse identification records.

(a) No horse may start in any race at an extended pari-mutuel or any other meeting unless it is fully identified. The burden of establishing the identity of a horse rests with the person or persons having charge of the horse at the meeting, and in connection therewith any person found guilty of fraud or attempted fraud or any person who aids in any way in the perpetration of a fraud or any person who participates in any attempt at fraud shall be expelled. Provided further that the provisions of this section shall not be interpreted as relieving the paddock Judge or the identifier, or both, from any responsibilities outlined in Rule 6.17 and 6.18 of the USTA.

(b) Horses must race under the name of the bona fide owner. Horses under lease must race in the name of the lessee and a copy of the lease must be recorded with the USTA and with the Commission. Persons violating this rule may be fined, suspended or both.

7 Pa. Code § 205.203 Check on identity of a horse.

Where a question of a horse’s identity or eligibility arises, a racing official may request verifying information regarding the horse’s identity and eligibility from the horse’s owner, trainer, driver or other person having control of the horse. If the owner, trainer, driver or other person having control of the horse refuses or fails to provide the requested information that person may be subject to a penalty imposed by the Judges.

7 Pa. Code § 205.204 False chart lines.

Any official or person who enters a chart line on an electronic eligibility certificate when the race has not been charted by a licensed charter may be fined, suspended or ejected by the Commission.

7 Pa. Code § 205.205 Tattoo/freeze brand/microchip requirements.

A horse which has not been tattooed, freeze branded or implanted with a microchip as authorized by the USTA will not be permitted to start at a pari-mutuel meeting unless specific permission of the Presiding Judge is been obtained and arrangements are made to have the horse tattooed or freeze branded or implanted with a microchip.

7 Pa. Code § 205.211 Electronic eligibility.

No horse will be permitted to race at a licensed racetrack facility under the jurisdiction of the Commission unless a current USTA electronic eligibility certificate at the proper gait has been obtained and approved by the Commission.

7 Pa. Code § 205.212 Issuance of electronic eligibility.

Electronic eligibility shall be issued for the life of the horse.

(a) Each registered owner of a horse must be a member in good standing with the USTA prior to the issuance of an electronic eligibility. If the horse is registered in the ownership of a registered racing, farm, corporation, or stable, all ‘‘beneficial owners’’ of those entities must be members in good standing with the USTA prior to the issuance of an electronic eligibility.

(b) Each application for the issuance of electronic eligibility shall list the names of all owners including beneficial owners of the horse.

(c) The names of all owners, including beneficial owners, shall be listed on the electronic eligibility. The electronic eligibility shall not be issued in the names of more than four persons. In the event five or more names are reported to the USTA, the electronic eligibility shall be issued only in four or fewer including racing, farm, corporate or stable names, which names must be registered in accordance with Rule 8.02 of the USTA.

7 Pa. Code § 205.213 Leased horses.

Any horse on a racing lease must race in the name of the lessee and must provide evidence to the Commission of the lease as filed with the, USTA.

7 Pa. Code § 205.214 Corrections on electronic eligibility.

Corrections on an electronic eligibility may be made only by the Commission, the Presiding Judge or a designee of the Commission.

7 Pa. Code § 205.215 Conditioned races.

For purposes of eligibility, a racing season or racing year shall be the calendar year. Conditions shall not be written in a way that any horse is deprived of an opportunity to race in a normal preference cycle. Where the word ‘‘preferred’’ is used in a condition it shall not supersede date preference.

(1) Conditions shall be limited to the money earnings of the horses in a specified period of time or number of starts.

(2) Primary conditions shall be nonwinners or winners of more than a stated amount of money.

(3) Not more than two also eligible conditions shall be used in writing the condition of any overnight event.

(4) Age and sex allowances shall apply to the primary condition and shall not be considered an also eligible condition.

7 Pa. Code § 205.216 Date eligibility determined.

Horses must be eligible to the event when entries close. Winnings earned on the closing date of eligibility shall not be considered.

7 Pa. Code § 205.217 Age of horses.

No horse that is 15 years of age or older is eligible to perform in any race except in matinees, fair races, or races exclusively for amateur drivers as designated by the Commission and no electronic eligibility shall be issued for a horse except for a performance in those races.

7 Pa. Code § 205.218 Prohibitions.

(a) No electronic eligibility will be issued on any horse under 2 years of age.

(b) No electronic eligibility shall be issued for a horse from which a positive Coggins test has been reported.

7 Pa. Code § 205.221 Standards for overnight events.

The race secretary should prescribe standards to determine whether a horse is qualified to race in overnight events at a meeting. Where time standards are established at a meeting for both trotters and pacers, trotters shall be given a minimum of 2 seconds allowance in relation to pacers.

7 Pa. Code § 205.222 Types of races to be offered.

The racing secretary shall exclusively use the following types of races:

(1) Stakes and futurities.

(2) Early closing and late closing events.

(3) Conditioned races. These qualifications may be based upon, among other things:

(i) Horse’s money winnings in a specified number of previous races or during a specified previous time.

(ii) A horse’s finishing position in a specified number of previous races or during a specified period of time.

(iii) Age.

(iv) Sex.

(v) Number of starts during a specified period of time.

(vi) Or any one or more combinations of the qualifications herein listed.

(4) Claiming races.

(5) Open races or invitational races.

7 Pa. Code § 205.223 Selection or drawing of horses.

For all overnight events, Starters and ‘‘also eligible’’ shall be drawn by lot from those properly entered, except that a race secretary must establish a preference system for races as provided for in Rule 14.10 of the USTA.

7 Pa. Code § 205.224 Splitting of condition races.

When it is necessary to fill a card, not more than one conditioned race per day may be divided into not more than two divisions after preference has been applied and the divisions may be selected by the racing secretary. For all other overnight races that are divided, the division must be by lot unless the conditions provide for a division based on performance, earnings or sex.

7 Pa. Code § 205.225 Substitute and divided races.

Substitute races may be provided for each day’s program and shall be so designated. Entries in races not filling shall be posted. A substitute race or an event divided into two races shall be used only if regularly scheduled races fail to fill. If a regular race fills it shall be raced on the day it was offered. Overnight events and substitutes shall not be carried to the next racing day.

7 Pa. Code § 205.226 Heats.

A heat, if conducted, shall be considered as a separate race for the purposes of conditioned racing.

7 Pa. Code § 205.227 Prohibitions.

(a) A horse qualifying in a qualifying race for which no purse is offered shall not be deprived by reason of the performance of the right to start in any conditioned race.

(b) No time records or bars shall be used as an element of a horse’s eligibility for any event.

(c) The racing secretary may reject the declaration on any horse whose past performance indicates that he would be below the competitive level of other horses declared, provided the rejection does not result in a race being cancelled.

(d) Declarations shall not be accepted for any horse to any race unless the declarer has furnished the race secretary with a negative Coggins test written certificate for that horse, as required by subsection (a).

(e) Performance in a matinee race shall not be considered an official start.

7 Pa. Code § 205.228 Bonus earnings.

In the case of a bonus, the present value of the bonus shall be credited to the horse as earnings for the race or series of races for which it received the bonus. It shall be the responsibility of the organization offering the bonus to report the present value of the bonus to USTA in a timely manner.

7 Pa. Code § 205.229 Supplemental purse payments.

Supplemental purse payments made by a licensed racing entity after the end of a meeting will be charged and credited to the winnings of any horse at the end of the racing year in which they are distributed. The distribution shall not affect the current eligibility until officially credited to the horse.

7 Pa. Code § 205.230 Classified races.

Classified races are permitted only when authorized by the Commission.

7 Pa. Code § 205.231 Exhibition races.

When non-betting promotional races are conducted by licensed racing entities, these races shall be regarded as exhibitions and the horses’ performances in those races shall not be noted on electronic eligibility or otherwise officially credited to either horses or drivers. Any money awarded or paid on these races shall not be credited to the horses or drivers as official earnings and shall not affect the eligibility of participating horses to any subsequent event.

7 Pa. Code § 205.251 Claiming regulations and procedures.

(a) A licensed owner, trainer or any other person properly licensed may claim any horse in a claiming race if the owner, trainer or licensee has on credit with the licensed racing entity conducting the race, an amount equal to the specified claiming price, plus the applicable tax and requisite fees for transfer of title. Except that, an unlicensed owner operating under a 30-day affidavit procedure may make a claim as previously set forth.

(b) The licensed racing entity shall provide an automatic time clock which shall be used to stamp the time the claim is filed in the claim box upon the envelope containing the claim.

(c) Claims shall be in writing on forms and in envelopes provided by the licensed racing entity, sealed and deposited in the claim box at least 15 minutes before the time originally scheduled for the race to begin. A person may file only one claim in one race.

(d) The claiming price shall be printed on the program and all claims shall be for the amount so designated. If more than one claim is filed for the same horse, the successful claimant shall be determined by lot by the Presiding Judge.

(e) The licensed racing entity shall provide for an agent who shall, immediately after closing the claim box, deliver it to the Presiding Judge. The licensed racing entity’s agent or authorized person shall be prepared to state whether the claimant has the proper amount of money on credit equivalent to the specified claiming price. A racing official may not give information on claims filed until after the race.

(f) If a horse programmed to start in a claiming race is scratched, regardless of location, the horse on its next start within this Commonwealth, notwithstanding the conditions of that race, shall be subject to be claimed at the claiming price to which it was subject in the race from which it was scratched. This provision applies for 30 days immediately following the date of the race from which the horse was scratched. The removal of the horse from this jurisdiction shall toll the 30-day period. The 30-day period shall resume when the horse is returned to this jurisdiction.

(g) A horse claimed shall be delivered immediately by the original owner to the successful claimant upon authorization of the Presiding Judge. The horse’s halter shall accompany the horse. Altering or removing the horse’s shoes will be considered a violation of this rule. Every horse claimed shall race for the interest and for the account of the owner who declared it in the event. Title to the claimed horse, subject to the conditions and provisions of subsection (h), shall be vested in the successful claimant from the word ‘‘go.’’ The successful claimant shall become the owner of the claimed horse, whether it be alive or dead, sound or unsound or injured during the race or after it.

(h) A post-race urine or blood test, or both, shall be taken from each horse claimed out of a claiming race. The claim shall be voidable at the claimant’s discretion if the forensic analysis by the Commission’s laboratory results in a positive test for a prohibited substance. The claimant shall notify the Presiding Judge in writing within 24 hours of the intention to void the claim and return the claimed horse to the original owner. The claimant shall immediately sign over to the original owner the necessary certificates of ownership of the claimed horse. This subsection does not relieve the original trainer/owner of the responsibility for the condition of the claimed horse during the trainer/owner’s control or care or custody of the horse.

(1) Except that, if the claimant elects to race the claimed horse prior to the results of the forensic analysis results, the claim shall not be voidable.

(i) The owner of a horse may not claim it or cause it to be claimed for the owner’s account.

(j) Before the claimed horse is delivered, the Presiding Judge may require the successful claimant to execute an affidavit stating that the horse is being claimed for the claimant’s account or for the account of a person for whom the claimant is an authorized agent and not for another person.

(k) The Presiding Judge may void a claim if the horse claimed has impaired eyesight in both eyes or is denerved above an ankle, or if a mare is in foal and the Presiding Judge was not notified before declaration.

(l) If a horse is claimed, no right, title or interest therein may be sold or transferred except in a claiming race for 30 days following the date of claiming. The horse may not race at a track other than the track where claimed for 30 days or the balance of the current racing meeting, whichever comes first, unless released by the racing secretary.

(m) The trainer or driver of a horse may not claim that horse.

(n) A person may not offer to enter into an agreement to claim or refrain from claiming or attempt to prevent another person from claiming a horse in a claiming race.

(o) There may not be a change in ownership or trainer once a horse is programmed.

(p) A person may not refuse to deliver a horse legally claimed out of a claiming race.

(q) A person may not enter a horse against which there is a mortgage, bill of sale or lien, unless the written consent of the holder of the claim is filed with the clerk of course of the association conducting the claiming race.

(r) Subject to the conditions of subsection (h), the licensed racing entity shall pay the claiming price to the owner at the time the registration certificate is delivered for presentation to the successful claimant.

(s) The successful claimant of a horse who has requested a Coggins test be administered to the horse may not declare or start the horse in future races pending the receipt of a negative test.

(t) Except as provided in § 205.61 (relating to nominations and declarations), a horse owner is not prohibited from determining the price for which that owner’s horse shall be entered.

(u) A claim may not be withdrawn once properly made.

(v) A claiming race may not be offered permitting claims for less than the minimum purse offered at that time during the same racing week.

(w) If the Presiding Judge determines that the declaration or claim of a horse or a claiming race is fraudulent, the Presiding Judge may void the claim. If the Presiding Judge determines that a claim of a horse is fraudulent on the part of the person making the claim, the Presiding Judge may void the claim and may, at the option of the person declaring it in, return the horse to the person declaring it in.

(x) The current registration certificate of horses entered in claiming races shall be on file with the racing secretary together with a separate claiming authorization form signed by the registered owner and indicating the minimum amount for which the horse may be entered to be claimed. To facilitate transfer of claimed horses, the Presiding Judge may sign the transfer but must then send the registration certificate and claiming authorization to the registrar for transfer.

(y) Whenever possible, claiming races shall be written to separate horses 5 years of age or older from young horses and to separate males from females. If sexes are mixed, mares may be given a price allowance.

7 Pa. Code § 205.252 Equine Infectious Anemia testing.

(a) If claimant indicates on the claiming form that the claimant desires a blood sample to test for Equine Infectious Anemia EIA, a licensed veterinarian shall immediately after the race take a blood sample from the claimed horse. The sample shall be properly marked and identified. The sample shall be forwarded within 24 hours to a laboratory approved by the Commission to be tested for EIA (Coggins test).

(b) Pending the receipt of a negative test for EIA, the moneys paid for the claimed horse shall be held by the licensed racing entity. In the event of a positive test for EIA, the ownership of the claimed horse shall revert to the owner from whom the horse was claimed and the claiming moneys shall be returned to the person or persons who claimed the horse.

(c) The cost of the test shall be paid by the claimant, if the test is negative. The original owner of the horse that was claimed shall pay for test, if test is found positive. Final vesting of title to claimed horse shall not be made pending receipt of the results of the test for EIA.

7 Pa. Code § 205.271 Making a nomination.

All nominations must:

(1) Be made in writing.

(2) Give name and address of the registered owner and lessee.

(3) Give name, color, sex, sire and dam of horse.

(4) Name the event or events in which the horse is to be nominated.

(5) In the event a mare nominated to a futurity fails to have a live foal, the nominator may substitute a foal if the conditions so provide.

7 Pa. Code § 205.272 Receipt of nomination and sustaining payments.

(a) All nomination and sustaining payments not actually received at the hour of closing shall be ineligible except those by letter bearing a postmark not later than the following day (omitting Sunday or a legal Federal holiday, or both) to be actually received at the office at or before the hour of closing. The letter shall include the color, sex, name of horse and the class to be entered, and the name and residence of the owner and the party making the nomination or sustaining payment.

(b) Whenever a nomination or sustaining payment in a stake, futurity, early closing race or late closing race becomes payable on a Sunday or legal holiday that falls on Saturday, this payment is to be due on the following Monday, the envelope must be post marked on or before the following Tuesday.

(c) If a payment falls on a Monday that is a legal holiday, this payment is due on Tuesday and must be post marked on or before the following Wednesday. For purposes of this rule payments made by means of commercial delivery services shall be treated the same as those made by letters bearing a postmark.

7 Pa. Code § 205.273 Postage mark.

Where a nomination is received by letter bearing the postage meter date without any postmark placed thereon by the post office, this postage meter date shall be considered to be a postmark for the purposes of this rule, if the letter is actually received within 7 days following the closing date of the event. Receipt a nomination by letter after this time shall not be a valid nomination or payment to any event. The metered date must conform to the postmark date as previously set forth to be valid.

7 Pa. Code § 205.274 Failure to make payment.

Failure to make any payment required by the conditions constitutes an automatic withdrawal from the event.

7 Pa. Code § 205.275 Event sponsor membership.

All stake, futurity, early closing and late closing event sponsors or presenters must be members of the USTA.

7 Pa. Code § 205.276 Event sponsor requirements.

Event sponsors shall:

(a) If possible, advertise the week and place the stake or futurity will be raced before taking nominations. Otherwise announcement of the week and place shall be made as soon as the stake or futurity is sold or awarded. No change in date, program, events or conditions can be made after the nominations have been taken without the consent of the racing authority having jurisdiction over the race. Before taking any sustaining payments during the year the race is to be contested, the date and place of the race shall be stated.

(b) Set the nominating date and the dates for all sustaining payments except the starting fee on the 15th day of the month in accordance with Rule 12.07 of the USTA.

(c) Send a complete list of nominations mailed to each nominator or electronically posted within 20 days after the closing date and mailed to the USTA and to each nominator.

(d) Mail or post a list of nominations within 60 days after the date of closing to the USTA.

(e) Notify all nominators and the USTA within 20 days if the stake or futurity does not fill.

(f) Mail or post within 45 days after the closing date a complete list of all horses nominated and shall mail or post within 45 days following all sustaining payment closing dates a complete list of all horses remaining eligible to the USTA. In addition, a list of all eligible horses shall be mailed upon request to all owners or agents of all eligible horses.

7 Pa. Code § 205.277 Date of nomination closing and sustaining payments due.

(a) The date for closing of nominations of yearlings to stakes shall be May 15th and the date for closing of the nominations to futurities shall be July 15th. There shall be no payments on yearlings except a nomination payment and the nomination payment shall be due not later than August 15th, except for state bred races for which the payment shall be due not later than October 15th.

(b) No more than one sustaining payment on 2-year-olds in stakes and futurities that do not have a 2-year-old division will be permitted.

(c) There shall be no conditions that call for payments in stakes or futurities to fall due after August 15th and before February 15th of the following year. No stake or futurity payment on 2-year-olds shall become due prior to March 15th and for all other ages not prior to February 15th of any year.

(d) In early closing events no payment on 2-year-olds shall become due prior to March 15th excluding fairs and sires stakes.

(e) No more than two sustaining payments on any horse of any age in any calendar year with the exception of the starting fee will be approved.

(f) All nominations and payments other than starting fees in early closing events shall be advertised to fall on the 15th day of the month.

7 Pa. Code § 205.278 Estimated purse.

No estimated purse shall be advertised or published in excess of the actual purse paid or distributed during the previous year unless increased by guaranteed added money. No stake or futurity shall be raced for less than 75% of the estimated purse.

7 Pa. Code § 205.279 Excess entry fees.

In early closing events, late closing events and overnight events requiring entry fees all moneys paid in by the nominators in excess of 85% of the advertised purse shall be added to the advertised purse and the total shall then be considered to be the minimum purse. If the race is split and raced in divisions, the provisions of Rule 12.17(b) of the USTA shall apply. Where overnight events are split and raced in eliminations rather than divisions all entrance/starting fees payable under the provisions of Rule 14.5 of the USTA shall be added to the advertised purse.

7 Pa. Code § 205.280 Sponsor’s contribution.

No stake or futurity shall be approved for extended pari-mutuel meetings if the sponsor’s contribution of added money is not at least 30% of the purse and for all other meetings at least 10% of the purse shall be added.

7 Pa. Code § 205.281 Nominators’ or breeders’ awards.

No sponsor shall pay monetary awards to nominators or breeders out of stake or futurity funds. All of the money contributed in nominating, sustaining and starting payments must be paid to the winner or winners.

7 Pa. Code § 205.282 Deductions prohibited.

No deduction, voluntary or involuntary, may be made from any purse or stake or futurity except that if the conditions specifically so provide, reasonable deductions may be made for clerical, printing, postage and surety bond expenses specifically related to the purse, stake or futurity.

7 Pa. Code § 205.283 Fees held in escrow.

All fees paid in early closing events shall be segregated and held in escrow by the sponsor until the event is contested.

7 Pa. Code § 205.284 Deviation from published conditions.

All nominations and payments not governed by published conditions shall be void and any proposed deviation from the published conditions shall be punished by a fine for each offense, and any nominator who is allowed privileges not in accordance with the published conditions of the race, or which are in conflict with these rules, shall be debarred from winning any portion of the purse, and the said nominator and other persons who allowed these privileges shall be deemed to have been parties to a fraud.

7 Pa. Code § 205.285 Newly created stakes and futurities.

No conditions for newly created stakes and futurities shall be written so as:

(1) To permit a horse to race in more than two heats or dashes in a single day.

(2) To provide for a filly division of a race with less added money than the colt division of a race, unless said conditions allow for a filly properly nominated and sustained in the filly division to start in the colt division upon proper declaration and the payment of the starting fee required for the colt division and the difference between any lower nominating or sustaining fees, or both, for the filly division and the higher nominating or sustaining fees, or both, for the colt division.

7 Pa. Code § 205.286 Sponsor’s contribution by non-track sponsors.

(a) The sum contributed by a non-track sponsor shall be considered forfeit and is to be included in the sum distributed in the event the stake or futurity is not raced, provided, however, that for the provisions of this paragraph the term ‘‘sum contributed’’ shall not include added money to be paid by a track member or other responsible party where the track member or other responsible party is someone other than the stake sponsor. In this case the stake sponsor shall not be held liable for the payment of the added money.

(b) If an event is not raced due to circumstances beyond the control of a non-track sponsor then the stake sponsor is not required to contribute a sum as added money but need only refund the nominating, sustaining and starting fees as it has collected toward the canceled event.

7 Pa. Code § 205.287 Events raced in divisions.

(a) In the event a stake or futurity is split into divisions, the added money for each division shall be at least 20% of all nomination, sustaining and starting fees paid into the stake or futurity, except that in the case of a stake with a value of $20,000 or less, and conducted at a non-extended meeting, the stake may be divided and each division raced for an equal share of the total purse if the advertised conditions so provide.

(b) Where a race other than a stake or futurity is divided, each division must race for at least 75% of the advertised purse. For splitting of stakes and futurities the USTA Rule 12.10 applies. Provided however that at non-extended meetings in the case of other added money early closing events, and early closers and late closers with a value of $20,000 or less the race may be divided and raced in divisions and each division raced for an equal share of the total purse if the advertised conditions so provide.

7 Pa. Code § 205.301 Entries required for overnight events.

A licensed racing entity must specify how many entries are required for overnight events and after the condition is fulfilled the event must be contested except when declared off by the Commission in accordance with these regulations.

7 Pa. Code § 205.302 Entries required for early and late closing events.

In either early closing events or late closing events, if five or more horses are entered in to start, the race must be contested, except when declared off as provided in the Commission’s regulations. At pari-mutuel race meetings, licensed racing entities may require five separate betting interests to start. Stakes and futurities must be raced if one or more horses are entered to start except when declared off as provided in the Commission’s regulations.

7 Pa. Code § 205.303 Early closing events with fewer horses entered than required.

In an early closing event, if fewer horses are entered than are required to start and all entrants are immediately notified, the horse or horses declared in and ready to race shall be entitled to all the entrance money and any forfeits from each horse named.

7 Pa. Code § 205.304 Number of Starters.

(a) In any race where the number of horses declared in to start exceeds 11 on a 1/2-mile track, 12 on a 5/8-mile track, or 14 on a larger track, unless lesser numbers are specified in the conditions of the race, the race at the option of the track member conducting same stated before positions are drawn may be raced in elimination heats.

(b) In the absence of conditions providing for a lesser number of Starters no more than 2 tiers of horses, allowing 8 feet per horse will be allowed to start in any race and in no event shall there be allowed more than 11 Starters on a 1/2-mile racetrack, 12 Starters on a 5/8-mile racetrack or 14 Starters on a larger racetrack. At a county fair or other non-extended meetings where no pari-mutuel wagering is permitted there shall not be more than ten Starters on a 1/2-mile racetrack.

(c) In overnight events at extended pari-mutuel meetings and other meetings not more than eight horses shall be allowed to start on a 1/2-mile racetrack and not more than ten horses on larger tracks. Trailers are not permitted where the racetrack has room to score all horses abreast allowing 8 feet per horse, unless otherwise agreed upon by the track member and representative horsemen’s association. Presiding Judges at county fairs, in their discretion, and prior to the draw, shall have the authority to limit the number of Starters in a race to a number less than ten, if in their judgment starting ten horses would be unsafe, taking into account the condition of the racetrack, the width of the racetrack and the class of horses participating.

7 Pa. Code § 205.305 Purse money distribution.

(a) Unless otherwise provided in the conditions, all purses shall be distributed on the heat basis with the money awarded according to a horse’s position in each separate heat of the race.

(b) Purse placing in overnight events shall be limited to five places.

(c) Unless otherwise specified in the conditions, the purse money distribution shall be: five or more Starters: 50-25-12-8-5%; four Starters only: 55-25-12-8%; three Starters only: 60-28-12%; two Starters only: 65-35%.

(d) In early closing events, late closing events or added money events if there are less than five Starters the remaining premium shall go to the race winner unless the conditions call for a different distribution.

(e) In overnight events if there are fewer than five Starters the premium for the positions for which there are no Starters may be retained by the track.

(f) If there be any premium or premiums for which horses have started but were unable to finish due to an accident, all unoffending horses who did not finish will share equally in the premium or premiums, but where there are fewer unoffending horses failing to finish than there are premiums for which horses have started but have not finished, the number of premiums in excess of the number of unoffending horses not finishing shall go to the winner.

(g) If there be any premium or premiums for which horses have started but were unable to finish and the situation is not covered by the preceding the premium shall be paid to the winner.

7 Pa. Code § 205.311 Agreement to race under the rules.

Every horse entry shall constitute an agreement by the person making the entry including, the owner, lessee, manager, agent, nominator, driver or other person having control of the horse to abide by and be subject to the rules and regulations of the Commission. Entries shall not be accepted for any horse to any race unless the declarer has furnished the race secretary with a negative Coggins test written certificate for that horse as required in Rule 20.12 of the USTA.

7 Pa. Code § 205.312 Horses not starting more than one race per day.

No horse shall be permitted to start in more than one pari-mutuel race or fair race on any one racing day.

7 Pa. Code § 205.313 Length of race and number of heats.

(a) Races or heats shall be given at a stated distance in units not shorter than a sixteenth of a mile.

(b) The length of a race and the number of heats shall be stated in the conditions for the race. If no distance or number of heats are specified all races shall be at a single mile.

7 Pa. Code § 205.314 Entry time.

Unless otherwise specified in the conditions by the race secretary, the entry time shall be 9 a.m.

7 Pa. Code § 205.315 Payment of entrance and starting fee.

The entrance or starting fee shall be due at time of declaration and payable not later than 1 hour prior to post time of the race to be contested, unless otherwise specified in the conditions for the race. The entrance or starting fee will not be refunded if the horse fails to start unless the horse dies between time of declaration to start and start of race. The entrance or starting fee shall be defined as the payment due with declaration to start.

7 Pa. Code § 205.316 Entry box.

The licensed racing entity shall provide a locked box with an aperture through which entries shall be deposited. The Presiding Judge shall be in charge of the entry box.

7 Pa. Code § 205.317 Taking of entries.

Entries may be taken by the racing office in person, by telephone or any other acceptable means approved by the licensed racing entity. Evidence of all entries must be deposited in the entry box before the time specified to enter. An entry must state the name of the horse, name of the trainer, and name of the driver and the event in which the horse is to be entered to race. When requested by the race secretary the entry must also state the date and place of the horse’s last start.

7 Pa. Code § 205.318 Search for entries by Presiding Judge.

Just prior to opening of the box the Presiding Judge shall check with the race secretary to ascertain if any declarations are in the office and not deposited in the entry box and the race secretary shall ensure that they are declared and drawn in the proper event.

7 Pa. Code § 205.319 Opening of entry box and drawing of horses.

The entry box shall be opened by the Presiding Judge at the advertised time who shall be responsible to ensure see that at least one horseman or an official representative of the horsemen is present. No owner or agent for a horse with an entry in the box shall be denied the privilege of being present. Under the supervision of the Presiding Judge all entries shall be listed, the eligibility verified, preference ascertained, Starters selected and post positions drawn. If it is necessary to reopen any race public announcement shall be made at least twice and the box reopened to a definite time.

7 Pa. Code § 205.320 Preference date.

(a) Preference dates shall be given to horses in all overnight events conducted at licensed pari-mutuel racetracks in accordance with the following:

(1) The date of the horse’s last previous start in a purse race during the current year is the horse’s preference date with the following exceptions:

(i) The preference date on a horse that has drawn to race and has been scratched is the date of the race from which scratched.

(ii) When a horse is racing for the first time in the current year the date of a successful qualifying attempt shall be considered the horse’s preference date.

(iii) Wherever horses have equal preference in a race, the actual preference of the horses in relation to one another shall be determined from the most recent previous starts which do not result in equal preference.

(iv) When an overnight race has been reopened because it did not fill all eligible horses declared into the race prior to the reopening shall receive preference over other horses subsequently declared regardless of the actual preference dates.

(b) This rule is not applicable at any meeting at which an agricultural fair is in progress.

(c) Nothing in this rule shall preclude a licensed racing entity from adopting a racetrack rule limiting an owner or trainer to one Starter in any single overnight event.

7 Pa. Code § 205.321 Qualifying races for overnight events.

(a) Within 45 days of being entered, a horse that has not raced previously at the gait chosen must start in a qualifying race under the supervision of the Board of Judges and acquire at least one charted line by a licensed charter. To provide complete and accurate chart information on time and beaten lengths a standard photo-finish shall be in use.

(b) A horse that does not show a charted line for the previous season or a charted line within its last six starts must start in a qualifying race as set forth in subsection (a).

(c) The Judges may require any horse that has been on the Judges’ List to start in a qualifying race. If a horse has raced in individual time not meeting the qualifying standards for that class of horse, it may be required to start in a qualifying race.

(d) The Judges may permit a horse to qualify by means of a timed workout consistent with the time of the races in which the horse will compete if adequate competition is not available for a qualifying race.

(e) To enable a horse to qualify for an overnight, qualifying races should be held at least 1 full week prior to the opening of any race meeting that opens before July 1st of a season and shall be scheduled at least twice a week. Qualifying races shall also be scheduled twice a week during the meeting unless otherwise agreed upon by the track member and representative horsemen’s association.

(f) Where a race is conducted to solely qualify drivers, the race need not be charted, timed or recorded. This section is not applicable to races qualifying both drivers and horses.

(g) If a horse takes a win race record in a qualifying race or a matinee race the record must be prefaced with the letter ‘‘Q’’ wherever it appears, except in a case where immediately prior to or following the race the horse taking the record has been submitted to an approved urine or blood test.

7 Pa. Code § 205.322 Qualifying race for added money events.

Where qualifying races are provided in the conditions of an early closing event, stake or futurity the qualifying race must be held not more than 5 days prior to contesting the main event (excluding Sunday) and omitting the day of the race.

7 Pa. Code § 205.323 Withdrawal of horse.

After an entry to start has been made no horse shall be excused from the race without permission of the Presiding Judge. The Presiding Judge may impose a fine or suspension for violation of this provision.

7 Pa. Code § 205.324 Notification of scratched horse.

Whenever a horse has been ‘‘scratched’’ by the Presiding Judge and placed on the Judges’ List, the Presiding Judge shall specify the reason for the scratch.

7 Pa. Code § 205.325 Coupled entries.

(a) When the Starters in a race include two or more horses owned or trained by the same person or trained in the same stable or by the same management, the starts shall be ‘‘coupled’’ as a single entry and a wager on one horse in the ‘‘entry’’ shall be a wager on all horses in the ‘‘coupled entry’’ unless approval has been granted by the Commission to race as separate entries under bona fide ownerships. The fact that those horses are trained by the same person shall be indicated prominently in the program.

(b) If the race is split in two or more divisions horses in an ‘‘entry’’ shall be seeded insofar as possible, first by owners, then by trainers, then by stables but the divisions in which they compete and their post positions shall be drawn by lot. The above provisions shall also apply to elimination heats.

(c) At all race meetings the person making the declaration of a horse which qualifies as a coupled entry with another horse entered in the same event shall be responsible to designate the word ‘‘entry’’ on the declaration blank.

(d) The Presiding Judge shall be responsible for coupling horses. In addition to the foregoing, horses separately owned or trained may be coupled as an entry where it is necessary to do so to protect the public interest for the purpose of pari-mutuel wagering only. However, where this is done entries may not be rejected. Provided further that when drivers participate in a pari-mutuel purse races in which they have an ownership interest or trainer interest in one or more of the horses, they must drive one of the horses in which they have the ownership interest or trainer interest.

(e) If one of the horses with common ownership or trainer while running in a race interferes or commits a foul preventing another horse in the race a better placing, the Judges may, in their discretion, disqualify both horses of common ownership or trainer. The Judges may use all relevant information, video of the incident and their respective experience to make the decision.

7 Pa. Code § 205.326 Judges’ approval of drivers.

No driver may be changed without permission of the Presiding Judge and for good cause. When an entry starts two or more horses, the Presiding Judge shall approve or disapprove the second and third drivers.

7 Pa. Code § 205.327 Transfer of ineligible horse.

A horse nominated in an event to which it is ineligible may be transferred, with the consent of its owner, to any event to which it is eligible at the same gait.

7 Pa. Code § 205.328 Drawing of post positions.

(a) For each individual race of a race card, post positions for horses in a race shall be conducted by a separate procedure to be determined by the Presiding Judge. The results of a draw procedure shall not be applied to more than one race of a race card, nor shall the results be applied to another race which is part of another race card.

(b) For races conducted under an elimination plan, the Presiding Judge shall draw the positions in which the horses are to start in the main event by one of the following methods, as required by the sponsor in the conditions for the event:

(1) The Presiding Judge shall draw positions to determine which of the two dash winners has the pole, and which the second position; which of the two horses that has been second shall start in third position; and which in fourth, and the like, or

(2) The Presiding Judge shall by lot have an open draw to determine the positions in which the horses are to start in the main event from among all horses qualified for the main event.

(c) In the event the sponsor fails to prescribe in the conditions for the event the method to be used for the drawing of post positions the provisions of the USTA’s Rule 14.19(a) shall apply.

7 Pa. Code § 205.329 Also eligible.

(a) Not more than two horses may be drawn as ‘‘also eligible’’ for a race and their positions shall be drawn along with the Starters in the race. In the event one or more horses are excused by the Judges, the also eligible horse or horses shall race and take the post position drawn by the horse that it replaces, except in handicap races. In handicap races the also eligible horses shall take the place of the horse that it replaces in the event that the handicap is the same. In the event the handicap is different the also eligible horse shall take the position on the outside of horses with a similar handicap.

(b) No horse may be added to a race as an also eligible unless the horse was drawn as this at the time entries closed. No horse may be barred from a race to which it is otherwise eligible by reason of its preference because it has been drawn as an ‘‘also eligible.’’

(c) A horse moved into the race from the also eligible list cannot be withdrawn except by permission of the Judges but the owner or trainer of a horse shall be notified that the horse is to race. All horses on the also eligible list and not moved in to race by scratch time shall be released.

7 Pa. Code § 205.330 Horses omitted through error.

For all events, including, but not limited to overnight and stakes races, all drawings shall be final unless there is conclusive evidence that a properly declared horse, eligible at the time of entry, has been mistakenly omitted from the race through the error of the licensed racing entity, its agent or employee, in which case, the racing secretary shall immediately redraw the race in question, provided, that the error is discovered prior to scratch time or the printing of the program whichever is sooner.

7 Pa. Code § 205.331 When an ineligible horse races.

(a) A nominator is required to guarantee the identity and eligibility of the nominations and entries and if given incorrectly the nominator may be fined, suspended or expelled, and any winnings shall be forfeited and redistributed to eligible entries.

(b) A person obtaining a purse or money through fraud or error shall surrender or pay the same to the sponsor of the event, failing which the person or persons and the horse or horses shall be suspended until payment is made, whereupon the purse or money shall be awarded to the party justly entitled to it. However, where any horse is ineligible as a result of the negligence or action of the race secretary the licensed racing entity shall reimburse the owner for the resultant loss of winnings.

7 Pa. Code § 205.332 Effect of failure to enter on time.

When a licensed racing entity requires a horse to be entered at a stated time, failure to declare the timely entry as required shall be considered a withdrawal from the event.

7 Pa. Code § 205.351 Postponement.

(a) In addition to the Commission’s authority set forth in the act, USTA Rule 15, section 1, is incorporated herein and shall govern matters related to the postponement of races.

(b) Each licensed racing entity shall report a postponement to the Presiding Judge and the Commission in an expeditious manner.

7 Pa. Code § 205.371 Starter’s control.

In addition to the duties and responsibilities set forth in this chapter, the Starter shall be under the supervision of the Presiding Judge and shall have control of the horses from the formation of the parade until the Starter gives the word ‘‘go.’’

7 Pa. Code § 205.372 Starting gate requirements.

(a) Every licensed racing entity shall utilize a mobile starting gate of a type and quality approved by the Commission. Every licensed racing entity shall maintain a standby mobile starting gate similarly approved. The arms of all starting gates shall be provided with a screen or a shield in front of the position for each horse and the arms shall be perpendicular to the rail. Starting gates at pari-mutuel tracks shall be equipped with systems approved by the Commission providing direct two-way voice communication with the Judges stand.

(b) Each licensed racing entity must specify in writing to the Commission the exact distance prior to the beginning of the racing meet and have it clearly defined in their program.

(c) No person shall be allowed to ride in the starting gate except the Starter, the gate operator and a patrol Judge, unless permission has been granted by the Commission.

7 Pa. Code § 205.373 Scoring of horses/coming to starting gate.

After one or two preliminary warming up scores the Starter shall notify the drivers to come to the starting gate. During or before the parade the drivers must be informed as to the number of scores permitted. The horses shall be brought to the starting gate no nearer than 1/8 of a mile before the start as the racetrack will permit. On mile tracks horses will be brought to the Starting gate at the head of the stretch.

7 Pa. Code § 205.374 Speed of gate.

Allowing sufficient time so that the speed of the gate can be increased gradually the following minimum speeds will be maintained.

(1) For the first 1/8 mile, not less than 11 miles per hour.

(2) For the next 1/16 of a mile not less than 18 miles per hour.

(3) From that point to the starting point, the speed will be gradually increased to the maximum speed.

(4) When the speed has been reached in the course of a start there shall be no decrease except in the case of a recall.

7 Pa. Code § 205.375 Starting point.

The starting point will be a point marked on the inside rail at a distance of not less than 200 feet from the first turn. The Starter shall give the word ‘‘go’’ at the starting point.

7 Pa. Code § 205.376 Recall procedure.

In case of a recall, a light plainly visible to the driver shall be flashed and a recall sounded but the starting gate shall proceed out of the path of the horses. Whenever possible the Starter shall leave the wings of the gate extended and gradually slow the speed of the gate to assist in stopping the field of horses. In emergencies, however, Starters shall use their discretion to close the wings of the gate.

7 Pa. Code § 205.377 Reasons for recall.

The Starter may sound a recall only for the following reasons:

(1) A horse scores ahead of the gate.

(2) There is interference.

(3) A horse has broken equipment.

(4) There is a malfunction of the starting gate.

(5) A horse falls before the word ‘‘go’’ is given.

(6) A horse comes to the gate out of position.

7 Pa. Code § 205.378 No recall after the word ‘‘go.’’

(a) There shall be no recall after the word ‘‘go’’ has been given and any horse regardless of its position or an accident shall be deemed to be a Starter from the time it entered into the Starter’s control, unless dismissed by the Starter.

(b) Breaking Horse. The Starter shall endeavor to get all horses away in position and on proper gait but no recall shall be issued for a breaking horse.

7 Pa. Code § 205.379 Violations of the starting rule.

A fine or suspension or both from driving not to exceed 15 days may be applied to any driver by the Starter for the following starting violations:

(1) Delaying the start.

(2) Failure to obey the Starter’s instruction.

(3) Rushing ahead of the inside or outside wing of the gate.

(4) Coming to the starting gate out of position.

(5) Crossing over before reaching the starting point.

(6) Interference with another driver during the start.

(7) Failure to come up into and stay in position.

(8) After coming to the gate, failure to keep one line in each hand until the word ‘‘go,’’ except for the purpose of adjusting equipment.

7 Pa. Code § 205.380 Loudspeaker.

Use of a mechanical loudspeaker for any purpose other than to give instructions to drivers is prohibited. The volume shall be no higher than necessary to carry the voice of the Starter to the drivers.

7 Pa. Code § 205.381 Holding horses before start.

Horses may be held on the backstretch not to exceed 2 minutes awaiting post time, unless delayed by an emergency.

7 Pa. Code § 205.382 Starting two tiers of horses.

(a) In the event there are two tiers of horses the withdrawing of a horse that has drawn or earned a position in the front tier shall not affect the position of the horses that have drawn or earned positions in the second tier.

(b) Whenever a horse is withdrawn from any tier horses on the outside move in to fill up the vacancy. Where a horse has drawn a post position in the second tier the driver of the horse may elect to score out behind any horse in the first tier so long as he does not thereby interfere with another trailing horse or deprive another trailing horse of a drawn position.

7 Pa. Code § 205.383 Horse out of position at start.

When a horse comes to the gate out of its assigned post position and gains an unfair advantage by moving either to the left or right of its assigned post position before the Starter gives the word ‘‘go’’ said horse may be disqualified and placed by the Judges.

7 Pa. Code § 205.384 Failure to follow instructions of the Starter.

The driver of any horse refusing or failing to follow the instructions of the Starter as to the parade or scoring ahead of the pole horse may be fined or suspended by the Starter.

7 Pa. Code § 205.385 Horses deemed to have started.

The horses shall be deemed to have started when the word ‘‘go’’ is given by the Starter and all the horses must go the course except in case of an accident, broken equipment or any other reason in which it is the opinion of the Judges that it is impossible or unsafe to go the course.

7 Pa. Code § 205.386 Practice of emergency procedures.

Every licensed Starter is required to check the starting gate for malfunctions before beginning any race meeting and to practice the procedure to be followed in the event of a malfunction. Both the Starter and the driver of the gate must be familiar with emergency procedures and the Starter is responsible for the training of the drivers of the procedures.

7 Pa. Code § 205.387 Starting without a gate.

When horses are started without a gate, the Starter shall have control of the horses from the formation of the parade until the Starter gives the word ‘‘go.’’ The Starter shall be located at the wire or other point of start of the race at which point as nearly as possible the word ‘‘go’’ shall be given. No driver shall cause unnecessary delay after the horses are called. After two preliminary warming up scores, the Starter shall notify the drivers to form in parade.

7 Pa. Code § 205.388 Positions in winning heat.

The horse winning a heat shall take the pole the succeeding heat, and all others shall take their positions in the order they were placed the last heat. When two or more horses shall have made a dead heat, their positions shall be settled by lot.

7 Pa. Code § 205.389 Refunds of entry money.

No refunds of entry money can be made for any purposes once the entered horse is in the control of the Starter.

7 Pa. Code § 205.401 Driving violations.

A driver shall not commit any of the following acts which are considered violations of the driving rules:

(1) Change course or position, swerve in or out, or bear in or out during any part of the race in a manner as to compel another horse to shorten its stride or cause another driver to change course, take the horse back or otherwise pull the horse out its stride.

(2) Jostle, strike, hook wheels or interfere with another horse or driver.

(3) Cross sharply in front of a horse or cross over in front of a field of horses in a reckless manner endangering other drivers.

(4) Swerve in and out or pull up quickly.

(5) Crowd a horse or driver by ‘‘putting a wheel under him.’’

(6) Carry a horse out.

(7) Sit down in front of a horse or take up abruptly in front of other horses so as to cause confusion or interference among trailing horses.

(8) Let a horse pass inside needlessly or otherwise help another horse to improve the horse’s position in the race.

(9) Commit any act which shall impede the progress of another horse or cause the horse to break.

(10) Change course after selecting a position in the home stretch or swerve in and out or bear in and out in a manner as to interfere with another horse or cause the horse to change course or take back.

(11) To drive in a careless or reckless manner or fail to maintain reasonable control of the horse at all times during the race.

(12) Kick the horse which shall be defined as a blow or thrust with the foot against any part of the horse’s body or to impel by striking with the foot. Removal of a foot from the stirrups or any foot supports as provided in § 205.408 (relating to foot out of stirrup) shall not alone constitute the offense of kicking.

(13) Cross the inside limits of the course.

(14) Lay off a normal pace and leave a hole when it is well within the horse’s capacity to keep the hole closed.

(15) Fail to set, maintain or properly contest a pace comparable to the class in which the driver is racing considering the horse’s ability, track conditions, weather and circumstances confronted in the race.

This section cited in 7 Pa. Code § 205.403 (relating to driving violation committed by driver of coupled entry); and 7 Pa. Code § 205.408 (relating to foot out of stirrup).

7 Pa. Code § 205.402 Requirements for filing an objection.

All complaints by drivers of any foul driving or other misconduct during the race must be made at the termination of the race unless the driver is prevented from doing so by an accident or injury. A driver who wishes to enter a claim of foul or other complaint relating to the running of the race must, before dismounting, inform the Judges of the driver’s intent to enter the claim or complaint and immediately proceed to the appropriate telephone or Judges’ stand where the claim or complaint shall be immediately entered. The Presiding Judge shall not cause the ‘‘official’’ sign to be displayed until the driver’s claim or complaint shall have been entered and considered. No appeal to the Commission shall be heard based on the Presiding Judge’s ‘‘no-call.’’

7 Pa. Code § 205.403 Driving violation committed by driver of coupled entry.

If a person driving a horse as a coupled entry in the race, commits a racing violation or infraction as set forth in § 205.401 (relating to driving violations), the Presiding Judge shall set the offending horse back. The horse coupled in the entry with the offending horse shall also be set back if the Presiding Judge finds that the horse improved its finishing position as a direct result of the offense committed by the offending horse.

7 Pa. Code § 205.404 Placing of horses by the Judges.

In case of interference, collision or violation of any of the previous restrictions, whether occurring before or after the start, the Judges may place the offending horse back one or more positions in that heat or race. In the event the collision or interference prevents a horse from finishing the heat or race, the offending horse may be disqualified from receiving any winnings and the driver may be penalized. In the event a horse is set back under its provision, the offending horse must be placed behind the horse with which it interfered and did not finish.

7 Pa. Code § 205.405 Fraudulent or unsatisfactory driving.

(a) A race must be properly contested by every driver and horse in that race and must be driven to the finish. If the Presiding Judge believes that a horse was driven in an intentionally inconsistent manner or fraudulently, the Presiding Judge shall consider it a violation and the driver and anyone in concert with him or her shall be penalized. The Presiding Judge may substitute a competent and reliable driver at any time. The substituted driver shall be paid at the discretion of the Judges and the fee retained from the purse money due the horse if any.

(b) In the event a drive is unsatisfactory due to lack of effort or carelessness and the Presiding Judge believes that there is no fraud, gross carelessness or deliberately inconsistent drive they shall impose a penalty under this subsection including but not limited to a fine, suspension or revocation.

7 Pa. Code § 205.406 Removal or substitution of driver.

If in the opinion of the Presiding Judge a driver is unfit or incompetent to drive for any reason or refuses to comply with the directions of the Judges or is otherwise reckless in conduct and endangers the safety of horses or other drivers in the race, the driver may be removed and another driver substituted at any time after the positions have been assigned in the race and the offending driver shall be penalized.

7 Pa. Code § 205.407 Horse fails to finish heat.

If for any reason, other than being interfered with or having broken equipment, a horse fails to finish after starting in a heat, that horse shall be ruled out of subsequent heats of the same race.

7 Pa. Code § 205.408 Foot out of stirrup.

As set forth in § 205.401 (relating to driving violations), improper conduct is forbidden in a race. After the starting gate is in motion, both feet of the driver must be kept in the stirrups at all times until after the finish of the race, except that a driver shall be allowed to remove a foot from the stirrups briefly to pull earplugs.

This section cited in 7 Pa. Code § 205.401 (relating to driving violations).

7 Pa. Code § 205.409 Use of whip.

(a) Drivers will be allowed whips not to exceed 4 feet, plus a snapper not longer than 6 inches. All whips are subject to inspection and measurement by the Presiding Judge or the Commission. The following actions shall be considered as excessive or indiscriminate use of the whip and a violation of the rules of racing:

(1) Causing visible injury to the horse.

(2) Whipping a horse after the finish of a race or after a horse is no longer in contention in the race.

(3) Whipping under the arch or shafts of the sulky.

(b) The use of the whip shall be confined to an area above and between the sulky shafts to include the sulky shafts and the outside wheel discs. Drivers shall keep a line in each hand from the start of the race until the finish of the race.

(c) The whip shall be used in a conventional manner and shall be held in the handle area at all times. Whipping shall be restricted to elbow and wrist action only and the whipping arm shall not be raised above shoulder height.

(d) On their own accord or if there is an allegation of excessive or brutal use of the whip, the Presiding Judge may immediately direct that the racetrack veterinarian perform a visual inspection of each horse following the specific race to determine if there is evidence of excessive or brutal use of the whip. A representative of the horsemen’s organization or other person chosen by the driver may be present.

(e) Alteration of whips in any manner shall be considered a prohibited practice and shall subject the licensee to penalty.

This section cited in 7 Pa. Code § 205.411 (relating to penalties for prohibited use of whip).

7 Pa. Code § 205.410 Other devices prohibited.

The use of any goading or prodding device, chain, mechanical or electrical devices or appliances other than the ordinary whip or crop upon any horse in any race shall constitute a violation of this rule, regardless of whether the device is operational or functional. A licensee violating this provision shall be fined, suspended or both.

7 Pa. Code § 205.411 Penalties for prohibited use of whip.

(a) As set forth in § 205.409 (relating to use of whip), the brutal use of a whip or crop or excessive or indiscriminate use of the whip or crop shall be considered a violation of the rules of racing and shall be punished by the following fines or suspension, or both:

(1) Minor infraction: $200, may be placed.

(2) Major infraction: 1st violation—$250 fine and 3-day suspension; 2nd violation—$500 and 5-day suspension; 3rd violation—$500 fine and 10-day suspension.

(b) All licensed racing entities conducting a pari-mutuel meeting shall publish the Commission’s rules pertaining to whipping in each day’s official racing program.

7 Pa. Code § 205.412 Breaking from gait.

(a) When a horse breaks from its programmed gait, the driver shall at once, where clearance exists, take the horse to the inside or outside and pull him to its gait.

(b) The following shall be considered violations:

(1) Failure to properly attempt to pull the horse to its gait.

(2) Failure to take to the outside where clearance exists.

(3) Failure to lose ground while on a break.

7 Pa. Code § 205.413 Placing of breaking horse by Judges.

(a) The Judges, may in their discretion, set back a breaking horse at the finish when a contending horse properly on its gait is lapped on the hind quarter of the breaking horse. Except, if the breaking horse was off stride due to interference.

(b) Any horse making a break which causes interference to other contending horses may be placed behind all offended horses.

(c) If, in the opinion of the Judges, a driver of a horse on a break reasonably complies rule in subsection (b), no fine or suspension shall be imposed on the driver.

This section cited in 7 Pa. Code § 205.415 (relating to calling and noting breaks).

7 Pa. Code § 205.414 Fraudulent breaking of horse.

If, in the opinion of the Judges, a driver allows the horse to break for purposes of intentionally or fraudulently losing a heat, the driver may be fined, suspended or both.

This section cited in 7 Pa. Code § 205.415 (relating to calling and noting breaks).

7 Pa. Code § 205.415 Calling and noting breaks.

To assist in determining the matters contained in § § 205.413 and 205.414 (relating to placing of breaking horse by Judges; and fraudulent breaking of horse) and this section, it shall be the duty of one of the Judges to call out every break made and note the break and character of it in writing.

7 Pa. Code § 205.416 Horse’s right of the course.

Horses called for a race shall have the exclusive right of the course and all other horses must vacate the racetrack at once, unless permitted to remain by the Presiding Judge.

7 Pa. Code § 205.417 Driver mounted in sulky at finish.

A driver must be mounted in the sulky at all times during the race or the horse must be placed as a non-finisher.

7 Pa. Code § 205.418 Use of wheel discs and mud fenders.

It shall be the responsibility of the owner, trainer or driver to provide every sulky used in a race with solid one-color or colorless wheel discs on the inside and out-side of the wheel. The Presiding Judge may order the use of mud guards at the pari-mutuel racetrack.

7 Pa. Code § 205.419 Talking on the track.

Excessive or unnecessary conversation, or both, between and among drivers while on the racetrack during the time when colors are required is prohibited. Any violation of this rule may be punished by a fine, suspension or combination thereof.

7 Pa. Code § 205.420 Passing lane.

(a) With the approval of the Commission, a licensed racing entity may remove the solid inside hub rail and extend the width of its homestretch up to 10 feet inward in relation to the width of the rest of the track to create the so-called passing lane. The licensed racing entity shall provide the Commission with an architectural rendering of the passing lane and a certification of the track’s dimensions.

(b) The passing lane shall not be used by the lead horse. The passing lane may only be used during the final 1/8 of the race. A driver who goes into the passing lane and passes another horse before the last 1/8 of the race may be disqualified by the Presiding Judge.

(c) A horse, other than the lead horse, may be driven into the passing lane to attempt to pass another horse. A horse driven into the passing lane which does not gain ground on the lead horse may be considered blocking the rest of the field if the horse impedes the progress of the trailing horses. If in the opinion of the Presiding Judge a driver blocks another horse’s forward progress while in the passing lane, that horse may be placed for interference.

(d) A driver using the passing lane must first have complete clearance of the pylons. Any horse or sulky running over of pylons or going to the inside of the pylons shall be disqualified as set forth below.

(e) Pylons will be:

(1) 2 feet above ground;

(2) 30-degree angle inward to track surface;

(3) 40 feet apart on the turns;

(4) 60 feet apart on the straight aways.

7 Pa. Code § 205.421 Pylon violations.

(a) A driver must have full clearance of the pylons when entering the passing lane. A driver who drives inside of one or more pylons when entering or using the passing lane may be disqualified.

(b) A horse while on stride, or part of the horse’s sulky, that leaves the race course by going inside the pylons which constitutes the inside limits of the course, when not forced to do so as a result of the actions of another driver or horse, or both, shall be in violation of this rule. In addition, when an act of interference causes a horse, or part of the horse’s sulky, to cross inside the pylons and the horse is placed by the Judges, the offending horse shall be placed behind the horse with which it interfered.

(1) If a horse while on stride, or part of the horse’s sulky, goes inside two consecutive pylons, the offending horse shall be placed behind all horses that are lapped on to the offending horse at the wire;

(2) If a horse while on stride, or any part of the horse’s sulky, goes inside three or more consecutive pylons, the offending horse shall be placed last;

(3) If in the opinion of the Judges a horse while on stride, or part of the horse’s sulky, goes inside a pylon and that action gave the horse an unfair advantage over other horses in the race or the action helped improve its position in the race, the horse may be placed at the discretion of the Judges.

(d) The following penalties shall apply to drivers for violation of the above rules:

(1) For the 1st violation, a monetary penalty of $200 shall be imposed;

(2) For the 2nd violation within a year of the first violation, a monetary penalty of $300 shall be imposed;

(3) For the 3rd violation within a year of the 1st violation of the first violation, a minimum monetary penalty of $500 plus a suspension for 3 days shall be imposed;

(4) For the 4th violation within a year of the 1st violation of the first violation, a minimum monetary penalty of $1,000 and a suspension for 5 days shall be imposed.

7 Pa. Code § 205.422 Removal of passing lane.

The licensed racing entity, with the consent and approval its horsemen’s organization, may petition the Commission for the removal of the passing lane. The petition shall include all applicable and necessary information from the licensed racing entity and its horseman’s organization to support the request for the removal of the passing lane.

7 Pa. Code § 205.431 Sulkies.

(a) All racing sulkies must meet or exceed the standards approved by the USTA prior to being used in any pari-mutuel racetrack within this Commonwealth. The Commission may from time to time adopt any amended sulky standards and publish those standards in the Pennsylvania Bulletin.

(b) The Commission may adopt, by publication in the Pennsylvania Bulletin any subsequent amendments to the guidelines, standards, recommendations for the design, performance and certification for sulkies as issued by the USTA.

(c) The Commission may authorize variances from the above sulky standards and may approve for use any sulky which does not otherwise qualify under the previous sections, if in the Commission’s opinion, the sulky does not pose a safety hazard, does not impair the horse or driver and does not undermine the competitiveness of the horse and driver.

7 Pa. Code § 205.432 Use of hobbles.

No horse shall wear hobbles in a race unless it starts in the race in the first heat and having so started shall continue to wear them to the finish of the race and any person found responsible for removing or altering a horse’s hobbles during a race or between races shall be fined, suspended or both. Other than as set forth previously, the use of hobbles from race to race shall be in the sole discretion of the trainer and not require qualifying the horse.

7 Pa. Code § 205.433 Nasal strips.

(a) The Commission shall authorize and permit non-medicated equine latex nasal strips to be used at pari-mutuel racetracks within this Commonwealth. All other artificial means of opening nasal passages are specifically prohibited.

(b) Trainers must inform the equipment identifier regarding the trainer’s use of a nasal strip and document its use as equipment worn by the horse.

(c) The licensed racing entity shall ensure the public is notified of all horses using the nasal strips by publication in the program, public address system or other approved methods.

7 Pa. Code § 205.434 Cornell Collar.

The Cornell Collar may be used by trainers as an approved piece of equipment within this Commonwealth. Trainers shall notify the equipment checker and duly list the Cornell Collar as a part of the horse’s equipment.

7 Pa. Code § 205.435 Trainer responsibility for horse equipment.

It shall be the responsibility of the trainer to see that each horse under the trainer’s supervision is safely equipped for each race and if it is determined by the Judges that a horse has been raced with unsafe or faulty equipment the Judges may impose a fine, suspension or both.

7 Pa. Code § 205.436 Other equipment.

(a) Any change in equipment must be approved by the Presiding Judge and must be shown on the racing program. Any owner or trainer who wishes to change any equipment on a horse from one race to another shall apply in writing to the Judges no later than at the time of declarations.

(b) No horse will be permitted in a race to wear any type of equipment that covers, protrudes or extends beyond its nose or that in any way could interfere with the true placing or finish of the horse.

7 Pa. Code § 205.451 Improper language to officials.

No owner, trainer, driver, groom, attendant of a horse or any other licensee shall use improper or inappropriate language to a Commission official, Commission employee or race official or be guilty of any improper conduct toward the race official or persons serving under their direction, when the improper language or conduct refers to the administration and the performance of the race officials’ duties.

7 Pa. Code § 205.452 Shouting.

Continuous loud shouting or similar behavior is expressly forbidden during the conduct of a race.

7 Pa. Code § 205.453 Commit assault or battery.

No person at any time or place shall commit an assault or an assault and battery upon another.

7 Pa. Code § 205.454 Betting on a horse other than own.

No owner, trainer, driver or groom shall directly or indirectly place a bet on any other horse participating in the same race as the owner’s, trainer’s, driver’s or groom’s horse. Any wager placed by the owner, trainer driver or groom on their horse participating in the race shall be to ‘‘win.’’

7 Pa. Code § 205.455 Failure to report fraudulent or corrupt proposal.

It shall be the duty of every licensee to immediately report to the Commission or the Presiding Judge if that licensee has been approached with an offer, suggestion or promise of a bribe or other thing of value to commit, engage or participate in a corrupt, improper or fraudulent activity relating to racing.

7 Pa. Code § 205.456 Fraudulent or injurious conduct forbidden.

Conduct on the part of a licensee, participant or patron, which is fraudulent or injurious in its nature or otherwise reflects negatively on the sport, although not specifically addressed by the Commission’s regulations, is strictly forbidden. A person who, individually or in concert with one another shall intentionally, fraudulently and corruptly by any means affects the outcome of any race or commits any other act injurious to the sport shall be guilty of a violation.

7 Pa. Code § 205.457 Conspiracy to commit a violation.

If two or more persons agree, plan, combine and conspire together in any manner and regardless of their location, for the purpose of violating any of the rules of racing and shall commit some act in furtherance of the plan it shall constitute a conspiracy and a violation. The Commission may also refer these matters to criminal law enforcement.

7 Pa. Code § 205.458 Withholding information in an investigation.

In the course of an underlying investigation or hearing, where an oath is administered by the Judges, or other duly appointed person legally authorized to administer oaths, and the party knowingly testifies falsely or withholds information pertinent to the investigation the person shall be fined, suspended, or both.

7 Pa. Code § 205.459 Financial responsibility.

A licensee may not knowingly accumulate unpaid obligations, default in obligations, issue drafts or checks that are dishonored or payment refused, or otherwise display financial irresponsibility reflecting negatively on the sport.

7 Pa. Code § 205.460 Registration of nerved horses.

All horses that have been nerved shall be so designated on the USTA registration certificate, electronic eligibility and be registered with the Commission Veterinarian. It is the responsibility of the owner of the horse at the time the horse is nerved to see that this information is placed on the registration certificate and the electronic eligibility. No trainer or owner will be permitted to enter or start a horse that is high nerved. It shall be the responsibility of the owner or trainer, or both of a horse that has been low-nerved to post on the bulletin board in the racing office at each racetrack where the horse competes the fact that the horse has been low-nerved and it is the responsibility of each track member to provide a space in the racing office where the fact of nerving can be posted in accordance with this rule.

7 Pa. Code § 205.461 Spayed mares.

The fact that a mare has been spayed must be noted on the registration certificate, the electronic eligibility and any program when the mare races. It shall be the owner’s responsibility to report the fact that the mare has been spayed to the USTA and return its papers for correction.

7 Pa. Code § 205.462 Equine Infectious Anemia.

No owner, trainer, driver, attendant or other person representing a horse which has previously tested positive for Equine Infectious Anemia (EIA) shall knowingly cause the horse to be declared into any race. No owner, trainer, driver, attendant or other person shall seek to transfer the horse without first notifying the prospective purchaser or transferee of the fact that the horse had previously tested positive for EIA.

7 Pa. Code § 205.463 Negative Coggins test certificate.

It shall be the responsibility of the trainer of a horse to furnish to the racing office all pertinent information regarding the Coggins test of the horse so that it may be entered on the electronic eligibility of the horse prior to the horse’s first start in the current year. The submission to the Commission or its designees of Coggins tests which are false, misleading or have been tampered with shall be an integrity violation and may result in the person being fined, suspended or having the person’s license revoked.

7 Pa. Code § 205.464 Trainer of horse of suspended person.

A trainer who enters, trains or races a horse knowing the horse to be owned wholly or in part by a person or persons barred or otherwise disqualified from participating in racing shall be fined and suspended by the Commission.

7 Pa. Code § 205.471 Protests.

(a) Protests to the participation of a horse entered in any race shall be made to the Judges in writing, signed by the objector, and filed not later than 60 minutes prior to post time for the first race on the day in which the questioned horse is entered. A protest not timely received shall be denied on those grounds. A protest shall set forth the specific reasons for the protest in detail as to establish probable cause for the protest and the information provided by the protestor shall be verified and signed in affidavit form. The Judges may upon their own motion consider an objection until the time as the horse becomes a Starter.

(b) A protest to a horse which is entered in a race may be made on, but not limited to, the following grounds or reasons:

(1) A misstatement, error or omission in the entry under which a horse is to run;

(2) The horse which is entered to run is not the horse it is represented to be at the time of entry or the age was erroneously given;

(3) The horse is not qualified to enter under the conditions specified for the race, or the allowances are improperly claimed either by age, sex, earnings or wins or incorrect under the conditions of the race;

(4) The horse is owned in whole or in part, or leased or trained by a person ineligible to participate in racing or otherwise ineligible to own a race horse as provided in these rules; or the horse was entered without regard to a lien filed previously with the racing secretary.

(c) The Judges may scratch from the race any horse which is the subject of a protest if the Judges have reasonable cause to believe that the objection is valid.

(d) Notwithstanding any other provision in this section, the time limitation on the filing of protests shall not apply in any case in which fraud or willful misconduct is alleged provided that the Judges are satisfied that the allegations are bona fide and have been duly verified by affidavit.

(e) The Judges may order any purse, award or prize for any race withheld from distribution pending the determination of any protest. In the event any purse, award or prize has been distributed to an owner or for a horse which by reason of a protest or other reason is disqualified or determined to be not entitled to the purse, award or prize, the Judges or the Commission may order the purse, award or prize returned and redistributed to the rightful owner or horse. Any person who fails to comply with an order to return any purse, award or prize erroneously distributed shall be subject to fines and suspension.

7 Pa. Code § 205.501 Suspension or revocation of driver, trainer or groom license.

In accordance with the provisions of the act, the license of any driver, trainer or groom may be suspended, revoked or a money fine may be imposed, at any time for:

(1) Failure to obey the instructions of a racing official.

(2) Failure to drive in a race when programmed, unless excused by the Presiding Judge.

(3) Consumption of intoxicating beverages within 4 hours of the first post time of the program on which the licensee is carded to drive.

(4) Appearing in the paddock in an unfit condition to perform the licensee’s duties.

(5) Fighting.

(6) Assault or battery upon any other person.

(7) Offensive, profane or threatening language.

(8) Smoking while on the race track in silks and during actual racing hours.

(9) Warming up a horse without silks at any time.

(10) Disturbing the peace.

(11) Refusal to take a breath analyzer test.

(12) Refusal, when requested by the Commission to submit evidence of physical and mental ability or to submit to a physical examination, or both.

(13) Failure to participate in post parade, unless specifically excused by Presiding Judge.

(14) Any other act or conduct detrimental to the sport or reflects negatively on the sport.

(15) Violation of any rule, regulation, order or directive of the Commission.

(16) Failure or refusal to obey a rule, regulation, order or directive of the Commission, including but not limited to a properly issued records subpoena.

(17) Falsifying or misrepresenting answers on the application for license.

(18) Failure to name a driver at the properly prescribed time of the race meet.

7 Pa. Code § 205.502 Suspension until fines paid.

All persons who have been fined for violation of these rules and regulations shall be suspended until the fine has been paid in full.

7 Pa. Code § 205.503 Recording and posting of penalties.

Written notice of all fines and other penalties imposed by the Judges shall be delivered to the person penalized in accordance with the applicable provisions of Commission’s regulations, posted immediately at the race secretary’s office of the licensed racing entity and forwarded to the USTA.

7 Pa. Code § 205.504 Effect of minor suspension on future engagements.

Where the suspension imposed by the Judges is for a driving violation and does not exceed in time a period of 5 days, the driver may complete the engagement of all horses programmed to race in before the penalty becomes effective. With permission from the Presiding Judge, a driver may drive in stake, futurity, early closing and feature races, during a suspension of 5 days or less but the underlying suspension will be extended 1 day for each date the driver drives in a race.

7 Pa. Code § 205.505 Effect of suspension penalty.

Whenever a suspension is prescribed in these rules it shall be construed to mean an unconditional exclusion and disqualification from any participation, either directly or indirectly, in the privileges and uses of the course and grounds of the licensed racetrack, unless otherwise specifically authorized by the Presiding Judge when the suspension is imposed.

7 Pa. Code § 205.506 Effect of penalty on the horse.

No horse shall have the right to compete while owned or controlled wholly or in part by a suspended, expelled, disqualified or excluded person. No suspended, disqualified or excluded person shall drive, nor shall a suspended or disqualified horse perform in a race.

7 Pa. Code § 205.507 Fraudulent transfer of a horse.

(a) The attempted transfer of a horse by a trainer while under suspension or by the owner of the horse on behalf of the suspended trainer to avoid or circumvent the trainer’s suspension shall constitute fraud and will be a separate violation of the rules. The person seeking the approval by the Judges of a transfer of a horse shall provide supporting information and records relating to the new programmed trainer of the horse, and the relationship to the suspended trainer.

(b) No transfers shall be approved if the transfer is to a spouse, family member or to a current or former employee.

7 Pa. Code § 205.508 Participation by a suspended person or horse.

A licensee knowingly and willfully allowing a suspended, disqualified or excluded person to participate in a race or a suspended or disqualified horse to start in a race shall be subject to a fine or suspension.

7 Pa. Code § 205.509 Reciprocity of penalty imposed by other racing authorities.

(a) All penalties imposed by other racing authorities, state racing commissions or the USTA shall be recognized and fully enforced by the Commission unless application is made by the licensee for a hearing before the Commission at which time the applicant may show cause as to why the penalty should not be enforced against him in this Commonwealth. If a hearing is granted, the Commission may delay enforcement of the reciprocal penalty.

(b) When the Commission receives notice that a person or horse, or both, has been penalized by another racing authority, state racing commission or by the USTA, the Commission may, for good cause shown and upon consideration of the record of the proceedings before the racing authorities and state racing commissions, modify or adjust the penalty accordingly to conform with the Commission’s regulations.

(c) Notwithstanding the previous provisions, the Commission may conduct its own original inquiry and investigation regarding the penalties imposed by another racing authority or state racing commission and may take separate action based on the conclusion of its investigation.

7 Pa. Code § 205.510 Dishonored payment.

Any person who pays an entry, a fine or other claim to the Commission or any entry, claim, or fine to a licensed racing entity by a draft, check or money order, which upon presentation is protested, payment refused or otherwise dishonored, may be subject to an additional fine. If the protested, refused or dishonored payment is for a fine, the licensee shall remain suspended until the original fine and the additional fee has been paid.

Subpart E Thoroughbred Rules of Racing (Horse)

Chapter 301 General Provisions—Temporary Regulations

7 Pa. Code § 301.1 Scope

(a) The rules, regulations and policies under which Thoroughbred horse racing shall be conducted in this Commonwealth are prescribed by the act and by the State Horse Racing Commission.

(b) No person shall participate in or engage in any aspect of pari-mutuel racing activities without a proper license.

(c) All persons, whether licensed or not licensed, shall be subject to and abide by the laws of the Commonwealth, and the regulations of the Commission and shall accept the decisions of the Board of Steward, the Bureau Director or the Commission on matters arising within their exclusive jurisdiction and authority, subject to the right to an administrative appeal.

7 Pa. Code § 301.2 Definitions.

The following words and terms, when used in this part, have the following meanings, unless the context clearly indicates otherwise: Age—Beginning on the first day of January in the year in which the horse is foaled. Allowance race—An overnight race for which eligibility and weight to be carried is determined according to specified conditions which include age, sex, earnings and number of wins. Also eligible—Pertains to:

(a) a number of eligible horses, properly entered, which were not drawn for inclusion in a race, but which become eligible according to preference or lot if an entry is scratched prior to the scratch time deadline; or

(b) in a trial race, the next preferred contestant that is eligible to participate when an entry is scratched, under the written conditions of the race. Arrears—Includes moneys due for entrance forfeits, fees (including jockey’s fees), forfeitures, subscriptions, stake, purchase money in claiming races and also a default in money incident to the rules. Arrest—Refers to a criminal matter in which the applicant has been indicted, booked or otherwise charged and which is pending final disposition. A matter on which a final judgment or order has been entered should be reported under ‘‘conviction.’’ (Reference should be made to the term ‘‘conviction’’ as set forth in this section.) Association grounds—All real property utilized by the association in the conduct of its race meeting, including the race track, grandstand, concession stands, offices, barns, stable area, employee housing facilities and parking lots and any other areas under the jurisdiction of the Commission. Authorized agent—A person appointed by a written instrument, signed and acknowledged before a notary public and filed in accordance with the rules, who is thereupon entitled to represent a licensed owner-principal. Authorization will be deemed unrestricted unless otherwise prepared in strict compliance with the provisions of this subpart. Betting interest—One or more horses in a pari-mutuel contest which are identified by a single program number for wagering purposes. Bleeder—A horse which has demonstrated evidence of exercise induced pulmonary hemorrhage. Bleeder List—A tabulation of all bleeders to be maintained by the Commission. Breeder—The owner of the horse’s dam at the time of foaling. Claiming race—A race in which any horse starting may be claimed (purchased for a designated amount) in conformance with the rules. Conditions—Certain qualifications which determine a horse’s eligibility to be entered in a race. Conviction—A final judgment of guilt or criminal culpability in either juvenile or adult proceeding, whether arising from verdict, judgment or order of a Court or from a plea of guilty, of no contest or nolo contendere or other form of final disposition. Conviction does not include accelerated rehabilitative disposition adjudications (A.R.D.’s) or other similar forms of preindictment release where a final record of guilt or conviction will not follow. Corrupt practice—Includes the Commission, the attempt to commit or the solicitation, inducing or attempt to induce a violation of a rule of racing or civil or criminal statute pertinent or relevant to racing by a person whether acting alone or in concert. Coupled entry—Two or more contestants in a contest that are treated as a single betting interest for pari-mutuel wagering purposes (see also, Entry). Dead heat—The finish of a race in which the noses of two or more horses reach the finish line at the same time. Declaration—The act of withdrawing an entered horse from a race before the closing of overnight entries. Draw—The process of assigning post positions and the process of selecting contestants in a manner to ensure compliance with the conditions of the rules of racing. Entry—

(i) A horse eligible for and entered in a race.

(ii) Two or more horses which are entered and run in a race which have common ties of ownership, lease or training (see also, Coupled entry). Equipment—As applied to a horse, shall mean whips, blinkers, tongue straps, muzzles, nosebands, bits, shadow rolls, martingales, breast plates, bandages, boots and plates. Flat race—A race in which horses mounted by jockeys run over a course on which no jumps or other obstacles are placed. Forfeit—Money due to a party because of an error, fault, neglect of duty, breach of contract or a penalty ordered by the Stewards or the Commission. Foul—The term includes an infraction of the rules of racing involving physical conduct occurring during the actual running and course of a race. Furosemide (Lasix) List—A listing of all horses eligible to participate in a race with Furosemide in its system. Horse—A Thoroughbred duly registered with the Jockey’s Club and includes a 2-year-old, stallion, filly, mare, colt, gelding or ridgling. Inquiry—An investigation by the Stewards of potential interference in a contest prior to declaring the result of said contest official. Jockey—A race rider currently licensed, or permitted to ride, or both. Licensee—A person or entity holding a form of license from the Commission who is exercising the powers, privileges or prerogatives of a licensee or who is acting in a manner as to apparently indicate they are entitled to hold or who should hold a license. Maiden—A horse which at the time of starting has never won a race on the flat at a recognized meeting in any country. A maiden which has been finally disqualified after finishing first is thereafter still to be considered a maiden. Maiden race—A contest restricted to nonwinners. Match race—A race between two or more horses under conditions agreed to by their owners. Mutuel field—Two or more contestants treated as a single betting interest for pari-mutuel wagering purposes because the number of betting interests exceeds the number that can be handled individually by the pari-mutuel system. Nomination—The naming of a horse to a certain race or series of races generally accompanied by payment of a prescribed fee. Nominator—A person in whose name a horse is entered for a race. Objection—

(a) a written complaint made to the Stewards concerning a horse entered in a race and filed not later than one hour prior to the scheduled post time of the first race on the day in which the questioned horse is entered; or

(b) a claim of foul in a race lodged with the Stewards or their designee by the horse’s jockey, trainer, or owner before the race is declared official. Official Starter—The official responsible for dispatching the horses for a race. Off time—The moment at which, on the signal of the official Starter, the doors of the starting gate are opened, officially dispatching the horses in each contest. Optional claiming race—A race restricted to horses who have started previously for a designated claiming price or less, whose owner or trainer may, at his discretion, enter the horse to be claimed. In the case of horses entered to be claimed in a race, the race will be considered for the purposes of these rules, a claiming race. Overnight race—A contest for which entries close at a time set by the racing secretary; also known as Purse Race. Owner—Includes the sole owner, a part owner, a holder of any beneficial or equitable interest present, reversionary or expectant interest or the lessee of a horse. An interest only in the winnings of a horse does not constitute part ownership. Paddock—An enclosure in which horses scheduled to compete in a contest are saddled prior to racing. Place—First, second or third in the order of finish of a race and are referred to, respectively, as ‘‘win,’’ ‘‘place’’ and ‘‘show.’’ Post—The place on the course from which a race is designated to start. Post position—The position assigned to a horse at the starting line of the race. Post time—The time set for the arrival at the starting point of the horses in a race. It shall be posted a reasonable time prior to the race on a clock device, provided for that purpose, prominently displayed before and clearly visible from the grandstand. The post time of each race shall be set by the pari-mutuel department manager and shall not be changed after being posted without permission of the Stewards. Protest—A formal complaint filed after a race with the Stewards in accordance with the rules, protesting the right of any horse to a place, purse, award or entitlement in a race or protesting or excepting to a decision relating to eligibility, participation or placing of a horse in a race. Race day—A day during which racing is authorized and conducted. Racing official—The term as used in this chapter shall include, but not be limited to: Stewards, placing Judges and patrol Judges, the clerk of scales, a horse identifier, a Starter, a paddock Judge, a racing secretary, an assistant racing secretary, the handicapper, a timer, horsemen’s bookkeeper, Commission Veterinarian, track veterinarian, a mutuel manager, a chief of security and any other person designated by the Commission. Recognized meeting, authorized meeting or race meeting—Includes the entire period of time designated by the Commission for the conduct of pari-mutuel racing activities by a licensed association. Meetings of a given association or of several associations may be split or joined as shall be determined and authorized by the Commission. Rules—The rules and regulations adopted by the Commission that are in effect at a given time together with additions and modifications thereto. Scratch—The act of withdrawing an entered horse from a contest after the closing of entries. Scratch time—The deadline for withdrawal of entries from a scheduled performance. Stakes race—A contest in which nomination, entry and/or starting fees contribute to the purse. Special designations or classifications for stakes races as ‘‘Graded Stakes’’ or ‘‘Black Type’’ shall be determined by the appropriate breed registries or recognized authorities. Starter—A horse which becomes an actual contestant in a race by virtue of the starting gate opening in front of it upon dispatch by the official Starter. Steward—The duly appointed Commission racing official with powers and duties to serve at each horse race meeting conducted by a licensed racing entity as specified by statute or regulation. Subscription—The act of nomination or entry of a horse to a stakes race. Walkover—Occurs when one and only one of the owners who has nominated for a race qualifies a horse to start. When only one horse or interest has qualified to start in a race, that horse shall be ridden past the Judge’s Stand and go to the post and shall then be deemed the winner. It shall receive entrance fees, forfeit, but no portion of a purse, stake, or added money or another prize. Weigh in—The presentation of a jockey to the clerk of scales for weighing after a race. Weigh out—The presentation of a jockey to the clerk of scales for weighing prior to a race. Weight for age—Standard weight according to the scale set forth in the rules or regulations, regardless of weight penalties or allowances. Winner—The horse whose nose reaches the finish line first or is placed first through disqualification by the Stewards.

Chapter 303 Licensing, Duties and Responsibilities of Thoroughbred Occupational Licensees—Temporary Regulations

7 Pa. Code § 303.1 Thoroughbred license categories.

(a) Thoroughbred license categories shall include the following and others as may be established by the Commission in its discretion:

(1) Racing participants and personnel (including owner, authorized agent, trainer, assistant trainer, jockey, apprentice jockey, jockey agent, exercise rider, pony rider, veterinarian, veterinary assistant, Farrier and stable employees);

(2) Thoroughbred racing officials (including Steward, racing secretary, Starter, horsemen’s bookkeeper, timer/clocker, clerk of scales, jockey room custodian, paddock Judge, patrol Judge, placing Judge, Commission Veterinarian, racetrack veterinarian and horse identifier);

7 Pa. Code § 303.2 Knowledge of rules.

7 Pa. Code § 303.3 License presentation.

7 Pa. Code § 303.4 Visitor’s pass.

Track security may authorize unlicensed persons temporary access to restricted areas. These persons shall be identified and their purpose and credentials verified and approved in writing by track security. A copy of the written approval shall be filed with the Commission or its designee within 48 hours. This authorization or credential may only be used by the person to whom it is issued.

7 Pa. Code § 303.5 Helmets and vests.

(a) Any person mounted on a horse or stable pony while on the licensed racetrack or association grounds must wear a protective safety helmet securely fastened under the chin at all times. Additionally, all members of the starting gate crew must adhere to this regulation at all times while performing their duties or handling a horse. For the purpose of this regulation, a member of the starting crew means any person licensed as an assistant Starter or any person who handles a horse in the starting gate. The helmet must comply with one of the following minimum safety standards or later revisions:

(1) American Society for Testing and Materials (ASTM 1163);

(2) European Standards (EN-1384 or PAS-015 or VG1);

(3) Australian/New Zealand Standards (AS/NZ 3838 or ARB HS 2012);

(4) Snell Equestrian Standard 2001.

(b) Any person mounted on a horse or stable pony on the association grounds must wear a properly-secured safety vest at all times. Additionally, all members of the starting gate crew must also adhere to this regulation at all times while performing their duties or handling a horse. For the purpose of this regulation, a member of the starting gate crew means any person licensed as an assistant Starter or any person who handles a horse at the starting gate. The safety vest must comply with one of the following minimum standards or later revisions:

(1) British Equestrian Trade Association (BETA):2000 Level 1;

(2) Euro Norm (EN) 13158:2000 Level 1;

(3) American Society for Testing and Materials (ASTM) F2681-08 or F1937;

(4) Shoe and Allied Trade Research Association (SATRA) Jockey Vest Document M6 Issue 3; or

(5) Australian Racing Board (ARB) Standard 1.1998.

(c) A safety helmet or a safety vest shall not be altered in any manner nor shall the product marking be removed or defaced.

(d) All horses with a jockey or exercise rider mounted that are racing, parading or warming up prior to racing or jogging or exercising at any time must be equipped with a type of safety reins approved by the Commission. Reins to be approved by the Commission may be originally designed and constructed to provide a secure secondary attachment to the bit that is secured to a reinforcement material to prevent failure due to breakage of the rein, or breakage or inadvertent loss of the primary connection to the bit.

(e) The Commission, by written notice to the regulated community and by Order published in the Pennsylvania Bulletin, may amend, modify or update the previosly stated required minimum standards for helmets and vests.

(f) Failure of the previously stated persons to adhere to the previously stated safety helmet and safety vests provisions may subject the person to the following penalties:

(1) First offense—a written warning;

(2) Second offense—$50 fine;

(3) Third or subsequent offense—$250 fine or suspension, or both, at the discretion of the Stewards.

7 Pa. Code § 303.6 Licensing requirements for owners.

(a) Each person who has a 5% or more ownership or beneficial interest in a horse is required to be licensed.

(b) An applicant for an owner’s license shall own or lease a horse which is eligible to race, registered with the racing secretary and under the care of a trainer licensed by the Commission. An owner shall notify the Stewards of a change in trainer of his/her horse. A horse shall not be transferred to a new trainer after entry.

(d) Each licensed owner is responsible for disclosure to the Commission or its designee of the true and entire ownership of each of the owner’s horses registered with the racing secretary. Any change in ownership or trainer of a horse registered with the racing secretary shall be approved by the Stewards. Each owner shall comply with all licensing requirements set forth in Chapter 185 (relating to occupational licenses—temporary regulations).

(e) The Commission or its designee may refuse, deny, suspend or revoke an owner’s license for the spouse or member of the immediate family or household of a person ineligible to be licensed as an owner, unless the applicant or licensed owner demonstrate and the Commission concludes that participation in racing will not permit a person to serve as a substitute for an ineligible person. The transfer of a horse to a spouse, member of the immediate family or household solely to circumvent the ineligible status of the owner of the horse is prohibited.

7 Pa. Code § 303.7 Licensing requirements for multiple owners.

(c) Each partnership, corporation, limited liability company, syndicate or other association or entity which includes an owner with less than a 5% ownership or beneficial interest shall file with the Commission an affidavit which attests that, to the best of their knowledge, every owner, regardless of their ownership or beneficial interest, is not presently ineligible for licensing or suspended in any racing jurisdiction.

(d) Application for joint ownership shall include a designation of a managing owner and a business address. Receipt of any correspondence, notices, or orders from the Commission at the address shall constitute official notice to all persons involved in the ownership of the horse. The written appointment of a managing owner or authorized agent shall be filed with the Commission.

7 Pa. Code § 303.8 Lease agreements.

A horse may be raced under lease provided a completed breed registry or other lease form acceptable to the Commission is attached to the certificate of registration and on file with the Commission. The lessor and lessee shall be licensed as horse owners.

7 Pa. Code § 303.9 Stable name registration.

Licensed owners and lessees may adopt a stable name subject to the approval of the Commission.

(1) The applicant shall identify all persons using the stable name. Any changes shall be reported immediately to the Commission.

(2) A person who has registered a stable name may cancel it upon written notice to the Commission.

(3) A stable name may be changed by registering a new stable name.

(4) A stable name which has been registered by any other person will not be approved by the Commission.

(5) A stable name shall be clearly distinguishable from other registered stable names.

(7) All persons using a stable name shall comply with all rules regarding licensing of owners.

7 Pa. Code § 303.10 Racing colors.

(a) Owners or trainers shall provide racing colors which may be subject to the approval of the Commission, unless the colors are furnished by the licensed racing entity. Racing colors shall be registered with the racing secretary. The Stewards may authorize a temporary substitution of racing colors when necessary.

(b) The racing colors to be worn by each jockey in a race shall be described in the program and any change shall be announced to the public prior to the beginning of the race.

7 Pa. Code § 303.11 Transfer of ownership.

Once a horse has been registered with The Jockey Club or a similar registration entity, the horse may not be transferred to a new owner, unless claimed, without permission of a Board of Stewards who may require a bona fide bill of sale signed by both buyers and sellers and the transfer of ownership must be timely reported to The Jockey Club or a similar registration entity.

7 Pa. Code § 303.12 Eligibility.

(a) In addition to the general licensing requirements set forth in Chapter 185 (relating to occupational licenses—temporary regulations), an applicant for a license as a Thoroughbred trainer shall comply with the following:

(1) Be at least 18 years of age;

(2) If not previously licensed as a trainer, the applicant must provide evidence of:

(i) At least 2 years of experience as a licensed assistant trainer, or comparable experience in other equine disciplines, or college-level education in equine science and/or horsemanship;

(ii) Submission of two written statements from trainers currently licensed in this Commonwealth or other jurisdiction as to the applicant’s character and qualifications and one written statement from a currently licensed owner stating intent to place one or more horses with the applicant, when licensed; and

(iii) Shall be required to pass a written examination, oral interviews with the Stewards and the Commission Veterinarian and demonstrate practical skills.

(b) A trainer licensed and in good standing in another jurisdiction, having been issued within a prior period as determined by the Commission, may be accepted if evidence of experience and qualifications are provided to the Stewards. Evidence of qualifications, as determined by the Stewards, shall require passing one or more of the following:

(1) A written examination;

(2) A demonstration of practical skills; or

(3) An interview with the Stewards.

(c) Upon timely request to the Stewards due to disability or other factors affecting the applicant’s ability to effectively complete the trainer’s test (for example, illiteracy or language barriers), reasonable accommodations may be made for the applicant including, but not limited to oral administration of the examination, use of a pre- approved translator, and aid from pre-approved assistant where deemed appropriate by the Stewards administering the examination.

(d) If established or adopted by the Commission, as an ongoing condition of licensure, trainers shall be required to attend continuing education classes or programs specifically designed for trainers.

7 Pa. Code § 303.13 Trainer responsibility rule.

(a) The trainer is responsible for the condition of the horse entered in an official workout or race and is charged with the responsibility to guard and protect the horse at all times regardless of the trainer’s location. The trainer shall be responsible for the presence of any prohibited drug, medication, agent or other substance, including permitted medications in excess of the maximum allowable level, in these horses. A positive test for a prohibited drug, medication or substance, including permitted medication in excess of the maximum allowable level, as reported by a Commission-approved laboratory, is prima facie evidence of a violation of this rule. In the absence of substantial evidence to the contrary, the trainer shall be responsible.

(b) A trainer shall prevent the administration, attempted administration or passive contamination by others, including the trainers’ employees and assistants who have care, custody and control of the horse from any drug, medication, or other prohibited substance that may cause a violation of these rules.

(c) A trainer shall immediately report to the Stewards and the Commission Veterinarian if the trainer knows, or has cause to believe, that a horse in the trainer’s care, custody or control has received any prohibited drugs or medications.

This section cited in 7 Pa. Code § 303.15 (relating to other duties and responsibilities of trainers); and 7 Pa. Code § 303.20 (relating to substitute trainer).

7 Pa. Code § 303.14 Responsibilities of trainers.

(a) A licensed trainer may represent the owner in the matter of entries, declarations and the employment of jockeys. A licensed trainer may not have an interest, whether by ownership or lease, in a horse of which he is not the trainer at a race meeting at which the trainer is operating as a licensed trainer.

(c) When a trainer is to be absent from the trainer’s stable or the grounds where the trainer’s horses are racing for a period of more than 2 days and horses are entered or are to be entered, the trainer shall provide a licensed trainer to assume the complete responsibility of the horses entered to run or running. The licensed trainer shall sign in the presence of the Stewards a form furnished by the Commission accepting complete responsibility for the horses being entered and running. This section does not apply to trainers having in their employ a licensed assistant trainer.

(d) A trainer may not enter or start a horse that:

(1) Is not in serviceable, sound racing condition.

(2) Has its median, volar or plantar nerves either blocked or removed. The horse is not permitted to race on Commonwealth tracks. A horse which has been nerved below the fetlock (digital nerves) may be permitted to start.

(3) The trainer knows or has reason to know that the horse has been given, either internally or externally, a stimulant, depressant, hypnotic, narcotic drug or other medication prior to the race.

(4) Is on the Stewards’ List, Starter’s List or Veterinarian’s List in any racing jurisdiction.

This section cited in 7 Pa. Code § 303.15 (relating to other duties and responsibilities of trainers).

7 Pa. Code § 303.15 Other duties and responsibilities of trainers.

In addition to the duties and responsibilities set forth in § § 303.13 and 303.14 (relating to trainer responsibility rule; and responsibilities of trainers), a trainer shall also be responsible for:

(1) The condition and contents of stalls, tack rooms, feed rooms, sleeping rooms and other areas which have been assigned by the association;

(2) Maintaining the assigned stable area in a clean, neat and sanitary condition at all times;

(3) Ensuring that fire prevention rules are strictly observed in the assigned stable area;

(4) Providing a list to the Commission of the trainer’s employees on association grounds and any other area under the jurisdiction of the Commission. The list shall include each employee’s name, occupation, social security number and occupational license number. The Commission shall be notified by the trainer, in writing, within 24 hours of any change;

(5) Ensuring the adequate care, custody, condition, fitness, health, safety and security of horses under his/her care, custody, and control;

(6) Disclosing the true and entire ownership of each horse the trainer’s care, custody or control. Any change in ownership shall be reported immediately to, and approved by, the Stewards and recorded by the racing secretary;

(7) Training all horses owned wholly or in part by the trainer which are participating at the race meeting;

(8) Registering with the racing secretary each horse in the trainer’s charge within 24 hours of the horse’s arrival on the licensed racetrack facility grounds;

(10) Immediately reporting the alteration of the sex of a horse in the trainer’s care to the horse identifier and the racing secretary, whose office shall note the alteration on the certificate of registration;

(11) Promptly reporting to the racing secretary and the Commission Veterinarian any horse on which a posterior digital neurectomy (heel nerving) is performed and ensuring that the fact is designated on its certificate of registration;

(13) Promptly reporting the death of any horse in his/her care on association grounds to the Stewards and the Commission Veterinarian and compliance with the rules and regulations governing post-mortem examinations;

(14) Representing an owner in making entries and scratches and in all other matters pertaining to racing;

(15) Horses entered as to eligibility and weight or other allowances claimed;

(16) Ensuring the fitness of a horse to perform creditably at the distance entered;

(17) For having the entered horse standing by and ready for the Pre-Race Veterinary Examination (racing soundness examination) to be conducted by the Commission Veterinarian or designee. The trainer shall have all bandages, blankets and muzzles of and horse’s legs clean and free of substances, sweats or leg medications;

(18) For participating and assisting the Commission Veterinarian with pre-race examination tasks, including the safe restraint of the horse, tattoo identification or jogging the horse as requested. Failure by the trainer or assistant trainer to comply with the direction, request or requirement issued by the Commission Veterinarian during the course of a pre-race examination shall result in the horse being scratched from the race and disciplinary action being taken against the trainer;

(19) Ensuring that the trainer’s horses are properly shod, bandaged and properly equipped with a type of safety reins that are approved by the Commission that are originally designed and constructed to insure a secure secondary connection to the bit and reinforcement to prevent breakage;

(20) Presenting the trainer’s horse in the paddock at least 20 minutes before post time or at a time otherwise appointed before the race in which the horse is entered and personally attending to the horse in the paddock and supervising the saddling thereof, unless excused by the Stewards;

(21) Instructing the jockey to give the jockey’s best effort during a race and that each horse shall be ridden to win;

(22) Attending the collection of post-race urine and blood samples from the horse in the trainer’s charge or delegating a licensed employee or the owner of the horse to do so; and

(23) Notifying horse owners upon the revocation or suspension of the trainer’s license. A trainer whose license has been suspended or whose license has expired or been revoked; or license application has been denied, must inform the horse owners that until the license is restored the trainer can no longer be involved with the training, care, custody or control of their horses, nor receive any compensation from them for the training, care, custody or control of their horses. Upon application by the owner, the Stewards may approve the transfer of the horses to the care of another licensed trainer, and upon the approved transfer, the horses may be entered to race. Upon transfer of the horses, the inactive trainer shall not be involved in any arrangements related to the care, custody or control of the horses and shall not benefit financially or in any other way from the training of the horses.

7 Pa. Code § 303.16 Trainer treatment records.

(1) Treatment, for the purposes of this section, means any medication or procedure containing a medication administered to a horse by a licensed trainer or the trainer’s designee.

(2) Treatment, for the purposes of this section, specifically excludes medications or procedures administered by a veterinarian licensed by the Commission.

(3) This section includes the administration of medications that are prescribed by a veterinarian but administered by the trainer or his or her designee.

(4) This section also includes those treatments that are administered by a veterinarian not licensed by the Commission.

(b) Trainer treatment records or log as required in subsection (a) must include the following information:

(1) The name of the horse (or, if unnamed, the registered name of the dam and year of foaling);

(2) The generic name of the drug (for example, phenylbutazone, methocarbamol);

(3) The name and address of the prescribing veterinarian;

(4) The brand name of the drug if a non-generic is used;

(5) The date of the treatment;

(6) The route and method of administration;

(7) The dosage administered;

(8) The approximate time (to the nearest hour) of each treatment;

(9) The first and last name of the individual that administered the treatment; and

(10) The treating veterinarian shall sign or initial the trainer’s treatment log on the first day a horse receives a prescription medication.

(c) The trainer’s treatment records or log shall be made available for inspection upon a request by the Commission at any time. Failure to provide accurate and complete trainer treatment records shall result in disciplinary action.

(d) Copies of trainer treatment records must be maintained for at least 6 months.

7 Pa. Code § 303.17 Corticosteroid and intra-articular injection reporting requirements.

(1) The date of the injection;

(2) The name of the veterinarian performing the injection;

(3) The articular space(s) or structure(s) injected;

(4) The medication or biologicals used to inject each articular space; and

(5) The dose in milligrams of each corticosteroid used.

(b) This information shall be maintained for a minimum of 6 months to facilitate compliance with this regulation. If a horse is successfully claimed by a new owner, the trainer of record at the time of that claiming race must provide that horse’s complete corticosteroid and intra-articular injection report for the previous 6 months.

(c) The above reports shall be maintained in whatever format the trainer elects. However, if the Commission requests a copy of the report, it must be provided in electronic form.

(d) The report must be provided to the new trainer within 48 hours of the transfer of the horse. The previous trainer or the trainer’s designee shall notify the Commission Veterinarian when the records have been provided to the new trainer.

(e) Submission of the report and records may be delegated to the treating veterinarian, who shall provide the report to the new trainer within 48 hours of the transfer of the horse.

(f) Failure of the trainer to provide the reports as required shall result in disciplinary action.

7 Pa. Code § 303.18 Restrictions on wagering.

A trainer shall only be allowed to wager on the trainer’s horse or entries to win or to finish first in combination with other horses.

7 Pa. Code § 303.19 Assistant trainers.

(a) A trainer may employ an assistant trainer as approved by the Stewards. The trainer shall notify the racing secretary of the use of an assistant trainer. The assistant trainer shall be duly licensed prior to acting in the capacity on behalf of the trainer. Qualifications for obtaining an assistant trainer’s license shall be prescribed by the Stewards and the Commission and may include those requirements prescribed in this chapter.

(c) An assistant trainer shall not enter a horse owned in whole or in part by the assistant trainer or compete against the trainer’s horses in a race while employed by the trainer.

7 Pa. Code § 303.20 Substitute trainer.

(a) A trainer, who is absent for more than 2 days from their duties and responsibilities as a licensed trainer or on a day in which the trainer has a horse in a race, shall obtain another licensed trainer to substitute.

(b) A substitute trainer shall accept full responsibility for the horses in writing and must be approved by the Stewards.

(c) A substitute trainer and the absent trainer shall be jointly responsible as absolute insurers of the condition of their horses entered in an official workout or race under § 303.13 (relating to trainer responsibility rule of these regulations).

7 Pa. Code § 303.21 Owners authorized agents.

(a) A person undertaking or purporting to act as an authorized agent of an owner shall apply and secure a license from the Commission prior to the representation. An application for an authorized agent license shall be filed for each owner represented.

(c) If the written instrument is a power of attorney it shall be filed with the Commission and attached to the regular application form.

(d) Any changes shall be made in writing and filed as set forth above.

(e) The authorized agent’s appointment may be terminated by the owner, in writing, acknowledged before a notary public and filed with the Commission whereupon the license shall not be valid.

7 Pa. Code § 303.22 Powers and duties of an authorized agent.

(a) A licensed authorized agent may perform on behalf of the licensed owner-principal all acts as relate to racing, as specified in the agency appointment, that could be performed by the principal if the principal were present.

(b) In executing any document on behalf of the principal, the authorized agent shall clearly identify the authorized agent and the owner-principal.

7 Pa. Code § 303.31 Eligibility for licensure.

(a) No person may participate in racing as a jockey unless and until duly licensed by the Commission in accordance the Commission’s regulations and procedures, including the provisions of Chapter 305 (relating to rules of Thoroughbred racing—temporary regulations).

(b) No person under 18 years of age shall be licensed by the Commission as a jockey, except persons who have been licensed by this Commission prior to the date of adoption of this rule.

(c) An applicant shall show competence by prior licensing and the demonstration of the jockey’s riding ability, which may include participation in up to five races with the prior approval of the Stewards. The demonstration of riding ability includes at a minimum:

(1) Breaking with a horse in company from the starting gate;

(2) Working a horse in company around the turn and down the stretch;

(3) Switching the riding crop from one hand to the other while maintaining control of the horse in a stretch drive;

(4) Causing a horse to switch leads coming out of the turn.

(d) A jockey shall not be an owner or trainer of any horse competing at the race meeting where the jockey is riding.

(e) A person whose weight exceeds 130 pounds at the time of application shall not be licensed as a jockey.

(f) A jockey shall pass a physical examination given within the previous 12 months by a licensed physician affirming fitness to participate as a jockey and a baseline concussion test using the most current SCAT testing protocol, if required by Commission regulation or by a licensed racing entity in accordance with an adopted concussion protocol program. The results of the physical examination and the baseline test shall be provided by the jockey to the Commission. The Stewards may require that any jockey be reexamined and may refuse to allow any jockey to ride pending completion of the examinations.

7 Pa. Code § 303.32 Apprentice jockeys.

(a) No person may participate in racing as an apprentice jockey unless and until duly certified as an apprentice by the Stewards in accordance the Commission’s regulations and procedures, including the provisions of § § 305.275—305.277 (relating to requirements for apprentice jockeys; apprentice jockey weight allowances in overnight races; and applications for extensions).

(b) No person under 18 years of age shall be licensed by the Commission as a jockey, except persons who have been licensed by this Commission prior to the date of adoption of this rule.

(c) An applicant may be prohibited from riding until the Stewards or the Commission has sufficient opportunity (not to exceed 14 days) to verify the applicant’s previous riding experience.

(d) An applicant with an approved apprentice certificate may be licensed as an apprentice jockey. An apprentice certificate may be obtained from the Stewards on a form provided by the Commission. A person shall not receive more than one apprentice certificate. In case of emergencies, a copy of the original may be obtained from the racing jurisdiction where it was issued.

(e) An apprentice jockey may ride with a five-pound weight allowance beginning with the apprentice’s first mount and for 1 full year from the date of the apprentice’s fifth winning mount. If after riding 1 year from the date of the fifth winning mount, the apprentice jockey has failed to ride a total of forty winners from the date of the first winning mount, the apprentice may continue to ride with a five-pound weight allowance for 1 more year from the date of the fifth winning mount or until the apprentice has ridden forty winners, whichever comes first. Apprentice allowance may be waived with the Stewards’ permission at the time of entry by the trainer or the trainer’s designee.

(f) In accordance with the provisions of § 305.277, the Stewards or the Commission may extend the time during which the apprentice weight allowance may be claimed, not to exceed the period of time the apprentice jockey was unable to ride (see, APPRENTICE JOCKEY EXTENSION FORM). The Commission will take jurisdiction only on certificates which it has issued. All other requests for extensions shall be directed to the racing authority or jurisdiction that approved the apprentice certificate.

Date:

7 Pa. Code § 303.33 Jockey duties and responsibilities.

(a) A jockey shall give a best effort during a race, and each horse shall be ridden to win. A jockey shall not ease up on or coast to the finish, without reasonable cause, even if the horse has no apparent chance to win prize money.

(b) A jockey shall not have a valet attendant except one provided and compensated by the licensed racing entity.

(c) No person other than the licensed contract employer or a licensed jockey agent, may make riding engagements for a rider, except that a jockey not represented by a jockey agent may make his own riding engagements.

(d) A jockey shall not have more than one jockey agent at a time.

(e) No revocation of a jockey agent’s authority is effective until the jockey notifies the Stewards in writing of the revocation of the jockey agent’s authority.

7 Pa. Code § 303.34 Jockey agent eligibility.

(a) An applicant for a license as a jockey agent shall:

(1) provide written proof of agency with at least one jockey licensed by the Commission;

(2) demonstrate to the Stewards that he/she has a contract for agency with at least one jockey who has been licensed by the Commission; and

(3) be qualified, as determined by the Stewards or other Commission designee, by reason of experience, background and knowledge. A jockey agent’s license from another jurisdiction may be accepted as evidence of experience and qualifications. Evidence of qualifications may require passing one or both of the following:

(i) a written examination or

(ii) an interview or oral examination.

(4) Applicants not previously licensed as a jockey agent shall be required to pass a written, oral examination, and if applicable, the Commission shall require evidence that the applicant has attended and completed a continuing education program for jockeys.

7 Pa. Code § 303.35 Limit on contracts.

A jockey agent may serve as agent for no more than two jockeys and one apprentice jockey at a time.

7 Pa. Code § 303.36 Responsibilities of agents.

(a) A jockey agent shall not make or assist in making engagements for a jockey other than those the agent is licensed to represent.

(b) A jockey agent shall file written proof of all agencies and changes of agencies with the Stewards.

(c) A jockey agent shall notify the Stewards, in writing, prior to withdrawing from representation of a jockey and shall submit to the Stewards a list of any unfulfilled engagements made for the jockey.

(d) All persons permitted to make riding engagements shall maintain current and accurate records of all engagements made, the records being subject to examination by the Stewards at any time.

7 Pa. Code § 303.37 Prohibited areas.

A jockey agent is prohibited from entering the jockey room, winner’s circle, racing strip, paddock or saddling enclosure during the hours of racing, unless permitted by the Stewards.

7 Pa. Code § 303.38 Agent withdrawal.

(a) When any jockey agent withdraws from representation of a jockey, the jockey agent shall immediately notify the Stewards and shall submit to the Stewards a list of any unfulfilled engagements made for the jockey.

(b) A jockey agent shall not be permitted to withdraw from the representation of any jockey unless written notice to the Stewards has been provided.

7 Pa. Code § 303.51 Eligibility for a Farrier’s license.

(a) The issuance of a Farrier’s license shall be dependent upon the applicant satisfying the requirements set forth below. An applicant shall:

(1) Be at least 18 years of age; and

(2) Be qualified, by reason of experience, background and knowledge of horseshoeing, as determined by the Commission or its appointed testing organization.

(b) As evidence of qualifications and capabilities, applicants not previously licensed in any jurisdiction shall be required to pass one or more of the following:

(1) A written examination;

(2) An interview or oral examination; or

(3) A demonstration of practical skills in horseshoeing.

(d) If a Farrier’s license is terminated by action of the Commission or by failure to renew the license for a period of 7 years, the applicant must comply with the requirements of subsection (b).

This section cited in 7 Pa. Code § 303.53 (relating to Commission appointed testing organization).

7 Pa. Code § 303.52 Reciprocity with other states.

A Farrier’s or horseshoer’s license, duly issued by and in good standing from another jurisdiction, shall be reciprocally accepted by the Commission or its testing organization as evidence of the Farrier’s experience and qualifications for licensure in this Commonwealth. If requested by the Commission, the Farrier shall provide any necessary documentation from the licensing jurisdiction.

7 Pa. Code § 303.53 Commission appointed testing organization.

The examination requirements, as set forth in § 303.51(b) (relating to eligibility for a Farrier’s license), may be conducted by the Commission or by an organization or entity duly appointed by the Commission, which has the appropriate knowledge and expertise. The appointed organization shall establish the standards, material, and scope of the written, oral and practical examinations and shall determine the satisfactory score for the written examination, as approved by the Commission.

7 Pa. Code § 303.71 Eligibility for Commission license.

This section cited in 7 Pa. Code § 403.1 (relating to general purpose).

7 Pa. Code § 303.72 Duties and responsibilities.

(d) All practicing veterinarians shall promptly notify the Commission Veterinarian of any reportable disease and any unusual incidence of a communicable illness in any horse in his/her charge.

This section cited in 7 Pa. Code § 403.1 (relating to general purpose).

7 Pa. Code § 303.73 Restrictions on wagering.

A practicing veterinarian shall not wager on the outcome of any race if the practicing veterinarian has treated a horse participating in that race within the past 30 days.

This section cited in 7 Pa. Code § 403.1 (relating to general purpose).

Chapter 305 Rules of Thoroughbred Racing—Temporary Regulations

7 Pa. Code § 305.1 General provisions.

(c) The Commission or its designee shall employ individuals who shall be designated as Commission racing officials and whose duties shall include the oversight and enforcement of the act, regulations and Commission policies related to pre-race and post-race activities, the conduct of live, simulcasted, electronic and pari-mutuel wagering activities and all licensees engaged in those racing activities.

(d) The purpose of this chapter is to define the duties and responsibilities of racing officials and the requirements, procedures and rules of racing.

7 Pa. Code § 305.2 Prohibited conduct by racing officials.

(a) A person may not offer and no racing official may accept, directly or indirectly, a gratuity, reward or favor in connection with racing at the meeting.

(b) A racing official may not, directly or indirectly, for a commission, gratuity or otherwise, sell, buy or hold for himself or for another a form of interest in a Thoroughbred horse that is run or entered at a meeting where he is officiating.

(c) A racing official may not, directly or indirectly, buy, sell or hold an interest in a contract upon a jockey or apprentice jockey.

(d) A racing official may not write or solicit horse insurance at the meeting.

7 Pa. Code § 305.3 Conflict of interest.

A racing official may not participate in the supervision, regulation or review of a race in which either the racing official or a member of the racing official’s family, or a business partner, agent, associate, employee or joint-venturer has participated or in which any of them has had an interest in the event there is an objection, protest, claim of foul or dispute raised with regard to the race.

7 Pa. Code § 305.4 Wagering forbidden.

A racing official may not wager, directly or indirectly or have a form of interest in a wager of money or other value on the result of a race at the meeting at which the racing official is employed.

7 Pa. Code § 305.11 Racing officials.

Officials at a race meeting may include the following:

(1) Stewards;

(2) Racing secretary;

(3) Horsemen’s bookkeeper;

(4) Paddock Judge;

(5) Horse identifier;

(6) Clerk of scales;

(7) Jockey room custodian;

(8) Starter;

(9) Timer/clocker;

(10) Patrol Judge, absent video replay equipment;

(11) Placing Judge;

(12) Commission Veterinarian;

(13) Racetrack veterinarian;

(14) Any other person designated by the Commission as a racing official.

7 Pa. Code § 305.12 Eligibility.

To qualify as a racing official, the appointee shall, at a minimum be:

(1) of good character and reputation;

(2) experienced in flat racing;

(3) familiar with the duties of the position and with the Commission’s rules of flat racing;

(4) mentally and physically able to perform the duties of the job; and

(5) in good standing and not under suspension or ineligible in any racing jurisdiction.

7 Pa. Code § 305.13 Approval and licensing

The Commission, in its sole discretion, may determine the eligibility of a racetrack or Commission racing official and, in its sole discretion, may approve or disapprove any official for licensing.

7 Pa. Code § 305.14 Prohibited practices.

While serving in an official capacity, racing officials and their assistants shall not:

(1) participate in the sale or purchase, or ownership of any horse actively racing at the meeting;

(2) sell or solicit horse insurance on any horse racing at the meeting;

(3) be licensed in any other capacity without permission of the Commission, or in case of an emergency, the permission of the Stewards;

(4) wager on the outcome of any race under the jurisdiction of the Commission; or

(5) consume or be under the influence of alcohol or any prohibited substances while performing official duties at the meeting.

7 Pa. Code § 305.15 Reporting of violations.

All racing officials and their assistants shall immediately report to the Stewards every observed or reported violation of these rules and of the laws of this Commonwealth governing racing.

7 Pa. Code § 305.16 Observations and notifications.

A racing official shall immediately report to the Stewards any perceived issues with a horse based on the condition prior to the race which may significantly affect the running of the race. Upon notification to the Stewards, the Stewards may either conduct an immediate investigation or forward the matter to Commission investigators.

7 Pa. Code § 305.17 Appointment.

(a) A person shall not be appointed to more than one racing official position at a meeting unless specifically approved by the Commission.

(b) The Commission, the Bureau Director or other Commission representative shall appoint or approve the Stewards at each race meeting.

7 Pa. Code § 305.18 Appointment of substitute officials.

The licensed racing entity shall immediately notify the Stewards where an emergency vacancy exists among racetrack racing officials and shall fill the vacancy immediately. The appointment shall be reported to the Commission and shall be effective until the vacancy is filled in accordance with these rules.

7 Pa. Code § 305.31 Accreditation of Stewards.

(a) To qualify for appointment as a Steward, the appointee must meet the education and examination requirements necessary to be accredited by the Racing Officials Accreditation Program in association with the Universities of Arizona and Louisville or any other similar accreditation program approved by the Commission.

(b) In addition to all of the above, the appointee must also meet the following racing experience requirements:

(1) Five years or more of experience as a licensee of a racing commission or other regulatory racing authority of the United States or Canada;

(2) Certified as a racing official in one or more of the following categories: patrol Judge, placing Judge, paddock Judge, clerk of scales, horse identifier, racing secretary or assistant racing secretary and Starter; and

(3) Be in good standing with all racing jurisdictions.

(c) Once appointed, the Stewards shall attend and complete applicable continuing education programs, as required by the Commission.

7 Pa. Code § 305.32 Power of the Stewards.

(a) In matters pertaining to racing, the orders of the Stewards shall supersede the orders of the officers and directors of the association. The Stewards shall have the power and duty to regulate and supervise the conduct of track management, licensed personnel, racing officials, owners, trainers, jockeys, grooms and all other persons participating in pari-mutuel racing activities, unless the power and the duty is exclusively vested in the Commission.

(b) The authority of each Board of Stewards shall begin at least 10 days prior to the beginning of the race meeting and shall terminate with the completion of their business pertaining to the meeting. This period may be modified or altered as deemed necessary by the Commission. If a dispute is unresolved at the time, it may be heard later or disposed of by the Stewards or referred to the Commission. This section does not limit the power of a board to impose sanctions continuing beyond the end of a meeting.

(c) If there is a succeeding meeting approved to begin at the same racetrack, the power of the Board of Stewards at the meetings is deemed to be continuing and sustaining.

(d) In the performance of duty, the Stewards shall have reasonable control over and unrestricted access to stands, weighing rooms and jockey rooms, stables, barns and other areas of the racetrack enclosure.

(e) The Stewards shall have the power to determine questions arising with reference to entries and racing. They shall have the authority to resolve conflicts or disputes related to racing and to discipline violators in accordance with the provisions of these rules.

(f) The Stewards have the authority to interpret these rules and to decide all questions of racing not specifically covered by the rules, but which, in their opinion, may negatively impact the public interest or the public’s perception of racing.

(g) The Stewards shall have the power to cause to be examined a horse stabled on the association grounds, or in a stabling area approved by the association.

(h) In accordance with the provisions of Chapter 179 (relating to Rules of Administrative Practice and Procedure—temporary regulations), the Stewards may compel the attendance of witnesses, the submission of documents or potential evidence related to any investigation or hearing and may administer oaths and examine witnesses.

(i) The Stewards may at any time inspect license documents, registration papers, and other documents related to racing.

(j) The Stewards shall consult with the official veterinarian to determine the nature and seriousness of a laboratory finding or an alleged medication violation.

7 Pa. Code § 305.33 Disciplinary action.

(a) The Stewards shall take notice of alleged misconduct or rule violations and may initiate investigations into the matters through the Commission’s investigative staff or matters may be referred to them for hearing. The Stewards shall have the express authority to charge any licensee for a violation of these rules, to conduct hearings and to impose disciplinary action in accordance with these rules.

(b) The Stewards may impose any of the following penalties on a licensee for a violation of these rules:

(1) Issue a reprimand;

(2) Impose a fine not to exceed the statutory amount set for in the act;

(3) Require forfeiture or redistribution of purse or award;

(4) Place a licensee on probation or a conditional license;

(5) Suspend a license or racing privileges;

(6) Revoke a license;

(7) Order that a person be ineligible for licensing; or

(8) Impose any other penalty as deemed necessary and appropriate for the level of violation.

(c) The Stewards may suspend a person or disqualify a horse for fixed periods of time or under other conditions they may deem appropriate or as may be specified by this chapter. If a person is indefinitely suspended or is ordered suspended for more than the balance of a meeting, the matters shall promptly be referred to the Commission for final disposition.

(d) The Stewards, on an emergency basis, shall have the power to exclude or eject from the racetrack premises and enclosures of the licensed racing entity any person who:

(1) Is under an order of suspension or revocation or has been denied a license or ruled off by a racing commission or Board of Stewards.

(2) Is known to be an objectionable or undesirable person or whose presence on the racetrack enclosure is deemed to be inconsistent with the best interests of racing.

(3) Whose conduct is deemed improper.

(e) The Stewards’ ruling shall not prevent the Commission from imposing a more severe penalty.

(f) The Stewards may refer any matter to the Commission and may include recommendations for disposition. The absence of a Stewards’ referral shall not preclude Commission action in any matter.

(g) Purses, prizes, awards, and trophies shall be redistributed if the Stewards or Commission order a change in the official order of finish.

(h) All fines imposed by the Stewards shall be paid to the Commission within 10 days after the ruling is issued, unless otherwise directed by the Stewards.

(i) In addition to any penalties imposed upon any owner, trainer, veterinarian or other licensee as a result of a medication or drug positive, after notice and an appropriate hearing, the horse which tested positive for the prohibited substance, shall be placed on the Steward’s List and shall be ineligible to participate in racing for the following period of time:

(1) Class 1 or Class 2 drugs (as set forth in the Association of Racing Commissioners International Uniform Classification guidelines) shall be ineligible to race for a period of 90 days from the date of the Stewards’ ruling, unless the matter has been appealed to the Commission.

(2) Class 3 drugs or high blood gas (TCO2) readings shall be ineligible for a period of 30 days from the date of the Stewards’ ruling unless the matter has been appealed to the Commission.

7 Pa. Code § 305.34 Stewards’ presence.

(a) Three Stewards shall be present and on duty in the Stewards’ stand during the running of each race. During the race times, the Stewards shall remain in the stand, in the paddock or otherwise readily available to the participants at the meet.

(b) At least one of the Stewards shall be on duty within call of the racing secretary from the time of the opening of overnight entries each morning until after the time allowed for filing of protests or objections to entries or assignment of post positions.

(c) Should any Steward be absent at race time, and no approved alternate Steward be available, the remaining Stewards may appoint a qualified substitute for the absent Steward. If a substitute Steward is appointed, the Bureau Director and the licensed racing entity shall be notified by the Stewards.

7 Pa. Code § 305.35 Duties of Stewards.

(a) The Stewards shall investigate promptly and render a decision in every protest, objection and complaint made to them. They shall maintain a record of all protests, objections and complaints. The Stewards shall file daily with the Commission a copy of each protest, objection or complaint and any related ruling.

(b) The Stewards shall prepare a daily report, on a form approved by the Commission, detailing their actions and observations made during each day’s race program. The report shall include the following information as the name of the racetrack, the date, the weather and track-conditions, claims, inquiries and objections and any unusual circumstances or conditions. The report shall be signed by each Steward and be filed with the Commission not later than 24 hours after the end of each race day.

(c) The Presiding Steward shall maintain a detailed report of the Stewards’ official activities. The log shall describe all questions, disputes, protests, complaints, or objections brought to the attention of the Stewards. Investigative materials and information or interviews conducted by the Stewards is confidential and shall be excluded from this log. The log shall be provided to the Commission upon its request.

(d) Not later than 7 days after the last day of a race meeting, the Presiding Steward shall submit to the Commission a written report regarding the race meeting. The report shall include:

(1) The Stewards’ observations and comments regarding the conduct of the race meeting and the overall conditions of the association grounds during the race meeting; and

(2) Any recommendations for improvement by the licensed racing entity or action by the Commission.

7 Pa. Code § 305.36 Stewards’ List.

(a) The Stewards shall maintain a Stewards’ List of the horses which are ineligible to be entered in a race because of poor or inconsistent performance or behavior on the racetrack that endangers the health or safety of other participants in racing.

(b) The Stewards may place a horse on the Stewards’ List when there exists a question as to the exact identification or ownership of said horse.

(c) A horse which has been placed on the Stewards’ List because of inconsistent performance or behavior, may be removed from the Stewards’ List when, in the opinion of the Stewards, the horse can satisfactorily perform competitively in a race without endangering the health or safety of other participants in racing.

(d) A horse which has been placed on the Stewards’ List because of questions as to the exact identification or ownership of the horse, may be removed from the Stewards’ List when, in the opinion of the Stewards, proof of exact identification or ownership, or both, has been established.

(e) In addition to any penalties imposed upon any owner, trainer, veterinarian or other licensee as a result of a medication or drug positive, after notice and an appropriate hearing, the horse which tested positive for the prohibited substance, shall be placed on the Stewards’ List and shall be ineligible to participate in racing for the following period of time:

(1) For Class 1 or Class 2 drugs (as set forth in the Association of Racing Commissioners International Uniform Classification guidelines) the horse shall be ineligible to race for a period of 90 days from the date of the Stewards’ ruling, unless the matter has been appealed to the Commission.

(2) For Class 3 drugs or high blood gas (TCO2) readings the horse shall be ineligible for a period of 30 days from the date of the Stewards’ ruling, unless the matter has been appealed to the Commission.

7 Pa. Code § 305.51 Duties of racing secretary.

The racing secretary or the assistant racing secretary as an employee of the licensed racing entity shall be responsible for the programming of races during the race meeting, compiling and publishing condition books, assigning weights for handicap races, and shall receive all entries, subscriptions, declarations.

7 Pa. Code § 305.52 Foal, health and other eligibility certificates.

(a) The racing secretary or designee approved by the Stewards shall be responsible for receiving, inspecting and maintaining the digital and paper foal and health certificates, Equine Infectious Anemia (Coggins or EIA) test certificates and other documents of eligibility for all horses competing at the track and stabled on the grounds.

(b) The racing secretary or designee approved by the Stewards shall record the alteration of the sex of a horse on the horse’s foal certificate or report, or both, to the appropriate breed registry and past performance services.

(c) The racing secretary or designee approved by the Stewards shall record on a horse’s registration certificate when a posterior digital neurectomy (heel nerving) is performed on that horse or report to the appropriate breed registry.

(d) The racing secretary shall ensure that all horses entered to race are registered with The Jockey Club or a similar registration entity.

7 Pa. Code § 305.53 List of nerved horses.

The racing secretary shall maintain a list of nerved horses which are on the racetrack grounds and shall make the list available for inspection by the Commission or its designee or by written request from other licensees participating in the race meeting.

7 Pa. Code § 305.54 List of bred fillies and mares.

The racing secretary shall maintain a list of all fillies or mares on the racetrack grounds who have been covered by a stallion. The list shall also contain the name of the stallion to which each filly or mare was bred and shall be made available for inspection by other licensees participating in the race meeting.

7 Pa. Code § 305.55 Allocation of stalls.

The racing secretary shall have the sole authority to assign stall applicants stabling as is deemed proper and maintain a record of arrivals and departures of all horses entering into and stabled on the racetrack grounds. No appeal to the Commission shall be available from a denial of stalls.

7 Pa. Code § 305.56 Conditions.

(a) The racing secretary shall establish the conditions and eligibility for entering races and cause them to be published to owners, trainers, the Stewards and the Commission and be posted in the racing secretary’s office. The racing secretary shall remain responsible for any errors occurring regarding a horse’s eligibility and along with the licensed racing entity shall remediate the error if possible. No appeal shall be heard by the Commission regarding horse entries and conditions.

(b) For the purpose of establishing conditions, winnings shall be considered to include all moneys and prizes won up to the time of the start of a race. Winnings during the year shall be calculated by the racing secretary from the preceding January 1.

7 Pa. Code § 305.57 Eligibility.

(a) When the Commission receives an official testing laboratory report of a positive test or overage for a winner of a race that requires a disqualification, change in the order of finish and redistribution of the purse, the horse in question shall maintain the win in past performance records and carry the penalty of a win when determining eligibility by the racing secretary for entry in a subsequent race. This horse’s condition and eligibility shall remain in effect until the Stewards issue a ruling disqualifying the aforementioned horse and order the redistribution of the purse.

(b) The second-place horse shall not carry the win in past performance records nor shall the second-place horse carry the win in determining the eligibility for entry in a subsequent race until the Stewards issue a ruling disqualifying the winner, change the order of finish and order a redistribution of the purse.

(c) Should the aforementioned ruling be properly appealed, the disqualification, change in the order of finish and purse redistribution is stayed until a final adjudication and the winner must carry the win and the second-place horse is not penalized for the condition.

7 Pa. Code § 305.58 Listing of horses.

The racing secretary shall examine all entry blanks and declarations to verify information as set forth therein and shall select the horses to start and the ‘‘also eligible’’ horses from the declarations in accordance with these rules.

7 Pa. Code § 305.59 Posting of entries.

Post positions shall be determined publicly by lot in the presence of the racing secretary, assistant racing secretary, a Steward or designee and at least one trainer licensed by the Commission. Upon completion of the draw, the racing secretary shall post a list of entries in a conspicuous location in his/her office and make the list available to the media, if requested.

7 Pa. Code § 305.60 Daily racing program.

The racing secretary shall publish the official daily racing program, ensuring the accuracy therein of the following information:

(1) Sequence of races to be run and post time for the first race;

(2) Purse, conditions and distance for each race, and current track record for the distance;

(3) The name of licensed owners of each horse, indicated as leased, if applicable, and description of racing colors to be carried;

(4) The name of the trainer and the name of the jockey named for each horse together with the weight to be carried;

(5) The post position and saddle cloth number or designation for each horse if there is a variance with the saddle cloth designation;

(6) Identification of each horse by name, color, sex, age, sire and dam;

(7) A notice shall be included in the daily program that all jockeys will carry approximately 3 pounds more than the published weight to account for safety equipment (vest and helmet) that is not included in required weighing out procedures and that jockeys may weigh in with an additional 3 pounds for inclement weather gear when approved by the Stewards; and

(8) Other information as may be requested by the licensed racing entity or the Commission.

7 Pa. Code § 305.61 Nominations and declarations.

The racing secretary shall examine nominations and declarations and early closing events, late closing events and stakes events to verify the eligibility of all declarations and nominations and compile lists thereof for publication.

7 Pa. Code § 305.62 Stakes and Entrance Money Records.

The racing secretary shall be caretaker of the permanent records of all stakes and shall verify that all entrance moneys due are paid prior to entry for races conducted at the meeting.

7 Pa. Code § 305.63 Inspection of licenses and other documents.

The racing secretary shall have the right to inspect an owner’s, trainer’s or jockey’s license, partnership papers, papers and documents with respect to a contract between a jockey and the jockey’s employer, and papers relating to the appointment of authorized agents, jockey agents or the adoption of colors or to stable names.

7 Pa. Code § 305.71 General authority.

The horsemen’s bookkeeper shall maintain the records and accounts and perform the duties described herein and maintain the other records and accounts and perform the other duties as the licensed racing entity and the Commission may prescribe.

7 Pa. Code § 305.72 Records.

(a) All records of the horsemen’s bookkeeper shall be kept separate and apart from the records of the licensed racing entity.

(1) The records shall include the name, mailing address, Social Security number or Federal tax identification number, and the jurisdiction or country of residence of each horse owner, trainer or jockey participating at the race meeting who has funds due or on deposit in the horsemen’s account.

(2) The records shall include a file of all required statements of partnerships, syndicates, corporations, assignments of interest, lease agreements and registrations of authorized agents.

(3) All records of the horsemen’s bookkeeper including records of accounts and moneys and funds kept on deposit are subject to inspection by the Regulatory Authority at any time.

(4) The horsemen’s bookkeeper and the licensed racing entity are subject to disciplinary action by the Commission for any violations of or non-compliance with the provisions of this rule.

7 Pa. Code § 305.73 Moneys and funds on account.

(a) All moneys and funds on account for the horsemen with the horsemen’s bookkeeper shall be maintained as follows:

(1) Separate and apart from moneys and funds of the licensed racing entity or any other association or entity;

(2) In a trust or similar type of account designated as Horsemen’s Trust Account; and

(3) In an account insured by the Federal Deposit and Insurance Corporation or the Federal Savings and Loan Insurance Corporation.

(b) The horsemen’s bookkeeper shall be bonded with proof of the bond submitted to the Commission upon request.

(c) The amount of purse money earned is credited in the currency of the jurisdiction in which the race was run. There shall be no appeal for any exchange rate loss at the time of transfer of funds from another jurisdiction.

7 Pa. Code § 305.74 Payment of purses.

(a) The horsemen’s bookkeeper shall receive, maintain and disburse the purses of each race and all stakes, entrance money, jockey fees, purchase money in claiming races, along with all applicable taxes and other moneys that properly come into the bookkeeper’s possession in accordance with these regulations.

(b) The horsemen’s bookkeeper may accept moneys due belonging to other organizations or recognized meetings, provided prompt return is made to the organization to which the money is due.

(c) The fact that purse money has been distributed prior to the issuance of a laboratory report shall not be deemed a finding that no chemical substance has been administered, in violation of these rules, to the horse earning the purse money.

(d) The horsemen’s bookkeeper shall disburse the purse of each race and all stakes, entrance money, jockey fees and purchase money in claiming races, along with all applicable taxes, upon request, within 48 hours of receipt of notification that all tests with respect to the races have cleared the drug testing laboratory or the split sample laboratory as reported by the Stewards or the Commission, except that minimum jockey mount fees may be disbursed prior to notification that the tests have cleared the testing laboratories.

(e) In the event a protest or appeal has been filed with the Stewards or the Commission, the horsemen’s bookkeeper shall disburse the purse within 48 hours of receipt of the dismissal or a final non-appealable order disposing of the protest or appeal.

7 Pa. Code § 305.91 Duties of paddock Judge.

(a) The paddock Judge shall at all times be in charge of the paddock and the entire saddling area and shall:

(1) Supervise the assembly of horses in the paddock no later than 15 minutes before the scheduled post time for each race;

(2) Maintain a written record of all equipment, inspect all equipment of each horse saddled and report any change in equipment to the Stewards;

(3) Insure that all horses are properly equipped with a type of safety reins that are approved by the Commission and are originally designed and constructed to insure a secure secondary connection to the bit and reinforcement to prevent breakage;

(4) Prohibit any change of equipment without the approval of the Stewards;

(5) Ensure that the saddling of all horses is orderly, open to public view, free from public interference, and that horses are mounted at the same time, and leave the paddock for the post in proper sequence;

(6) Supervise paddock schooling of all horses approved for this by the Stewards;

(7) Report to the Stewards any observed cruelty to a horse;

(8) Ensure that only properly authorized persons are permitted in the paddock and may exclude those unauthorized persons; and

(9) Report to the Stewards any unusual, irregular or illegal activities.

(b) The paddock Judge shall maintain a list of horses which shall not be entered in a race because of poor or inconsistent behavior in the paddock that endangers the health or safety of other participants in racing.

(1) At the end of each race day, the paddock Judge shall provide a copy of the List to the Stewards.

(2) To be removed from the paddock Judge’s List, a horse must be schooled in the paddock and demonstrate to the satisfaction of the paddock Judge and the Stewards that the horse is capable of performing safely in the paddock.

7 Pa. Code § 305.101 General authority and duties.

(a) The Horse Identifier shall:

(1) When required, ensure the safekeeping of digital and paper registration certificates and racing permits for horses stabled or racing, or both, on licensed racing entity grounds;

(2) Inspect documents of ownership, eligibility, registration or breeding necessary to ensure the proper identification of each horse scheduled to compete at a race meeting;

(3) Examine without physically touching every starting horse in the paddock for sex, color, markings and lip tattoo, microchip (ISO 11784), freeze brand or other identification method approved by the appropriate breed registry and the Commission for comparison with its registration certificate to verify the horse’s identity.

(b) The Horse Identifier shall report to the Stewards any horse not properly identified or whose registration certificate is not in conformity with these rules.

7 Pa. Code § 305.111 Duties.

The clerk of scales or the assistant clerk of scales shall have the general authority and responsibility to:

(1) Verify the presence of all jockeys in the jockeys’ room at the appointed time;

(2) Verify that all the jockeys have a current jockey’s license issued by the Commission;

(3) Verify the correct weight of each jockey at the time of weighing out and weighing in and report any discrepancies to the Stewards immediately;

(4) Oversee the security of the jockeys’ room including the conduct of the jockeys and their attendants;

(5) Promptly report to the Stewards any infraction of the rules with respect to weight, weighing, riding equipment, safety equipment, riding crops, or conduct;

(6) Record all required data on the scale sheet and submit that data to the horsemen’s bookkeeper at the end of each race day;

(7) Maintain the record of applicable winning races on all apprentice certificates at the race meeting;

(8) Release apprentice jockey certificates, upon the jockey’s departure or upon the conclusion of the race meet; and

(9) Assume the duties of the jockey room custodian in the absence of the employee.

7 Pa. Code § 305.121 Duties of the jockey room custodian.

The jockey room custodian shall be responsible to:

(1) Supervise the conduct of the jockeys and their attendants while they are in the jockey room;

(2) Keep the jockey room clean and safe for all jockeys;

(3) Ensure all jockeys are in the correct colors before leaving the jockey room to prepare for mounting their horses;

(4) Keep a daily film list as dictated by the Stewards and have it displayed in plain view for all jockeys;

(5) Keep a daily program displayed in plain view for the jockeys so they may have ready access to mounts that may become available;

(6) Keep unauthorized persons out of the jockey room;

(7) Maintain segregated facilities for female jockeys and keep unauthorized individuals out of the female jockey area; and

(8) Report to the Stewards any unusual occurrences in the jockey room.

7 Pa. Code § 305.131 General authority and duties.

The Starter shall have complete jurisdiction over the starting gate, the starting of horses and the authority to give orders not in conflict with the rules as may be required to ensure all participants an equal opportunity to a fair start. The decision of the Starter as to the validity of a start shall be final. In performance of the Starter’s duties, the starter may:

(1) Appoint and supervise assistant Starters who have demonstrated they are adequately trained to safely handle horses in the starting gate. In emergency situations, the Starter may appoint qualified individuals to act as substitute assistant Starters;

(2) Ensure that at least one assistant Starter is available for each horse in a race;

(3) Assign the starting gate stall positions to assistant Starters and notify the assistant Starters of their respective stall positions not more than 10 minutes before post time for the race;

(4) Assess the ability of each person applying for a jockey’s license in breaking from the starting gate and working a horse in the company of other horses, and shall make said assessment known to the Stewards; and

(5) Load horses into the gate in any order deemed necessary to ensure a safe and fair start.

7 Pa. Code § 305.132 Use of starting gate.

(a) A flat race shall be started out of a starting gate approved by the Commission. If the Starter or the Starter’s assistant is unable, after reasonable efforts, to place a horse in its assigned position in the gate for a satisfactory start, or if a horse is fractious or unruly, the Starter may order the horse into a different gate position.

(b) If, after reaching the starting post, a horse is so badly injured as to make it impractical or impossible for him to run in the race, the Starter may, in the interest of saving time, excuse that horse, but shall notify the Stewards before the race starts. A horse so excused by the Starter shall be deemed excused by the Stewards.

7 Pa. Code § 305.133 Prohibited conduct.

With respect to an official race, the assistant Starters shall not:

(1) Handle or take charge of any horse in the starting gate without the expressed permission of the Starter;

(2) Impede the start of a race;

(3) Apply a whip or other device, except Steward-approved twitches, to assist in loading a horse into the starting gate;

(4) Slap, boot or otherwise dispatch a horse from the starting gate;

(5) Strike or use abusive language to a jockey; or

(6) Accept or solicit any gratuity, gift or payment of any kind other than his/her regular salary, directly or indirectly, for services in starting a race.

7 Pa. Code § 305.134 Starter’s List.

No horse shall be permitted to start in a race unless approval is given by the Starter. The Starter shall maintain a Starter’s List of all horses which are ineligible to be entered in any race because of poor or inconsistent behavior or performance in the starting gate. The horse shall be refused entry until it has demonstrated to the Starter that it has been satisfactorily schooled in the gate and can be removed from the Starter’s List. Schooling shall be under the direct supervision of the Starter.

7 Pa. Code § 305.135 Report violations.

The Starter and assistant Starter shall immediately report any false starts, impeded starts, unfair starts or any unauthorized activities to the Stewards.

7 Pa. Code § 305.151 Duties of timers.

(a) The timer shall accurately record the time elapsed between the start and finish of each race.

(b) The time shall be recorded from the instant that the first horse leaves the point from which the distance is measured until the first horse reaches the finish line.

(c) At the end of a race, the timer shall post the official running time on the infield totalisator board on instruction by the Stewards.

(d) At a racetrack equipped with an appropriate infield totalisator board, the timer shall post the quarter times (splits) for Thoroughbred races in fractions as a race is being run.

(e) For back-up purposes, the timer shall also use a stopwatch to time all races. In time trials, the timer shall ensure that at least three stopwatches are used by the Stewards or their designees.

(f) The timer shall maintain a written record of fractional and finish times of each race and have same available for inspection by the Stewards or the Commission on request.

7 Pa. Code § 305.152 Duties of clockers.

(a) The clocker shall be present during training hours at each track on association grounds, which is open for training, to identify each horse working out and to accurately record the distances and times of each horse’s workout.

(b) Each day, the clocker shall prepare a list of workouts that describes the name of each horse which worked along with the distance and time of each horse’s workout.

(c) At the conclusion of training hours, the clocker shall deliver a copy of the list of workouts to the Stewards and the racing secretary.

7 Pa. Code § 305.171 Power and duties of patrol Judges.

The patrol Judge, when utilized, is responsible for observing the race and reporting information concerning the race to the Stewards. If the track’s video replay system is deemed adequate, use of patrol Judges is optional.

7 Pa. Code § 305.191 Duties.

The placing Judges shall determine the order of finish in a race as the horses pass the finish line, and with the approval of the Stewards, may display the results on the totalisator board.

7 Pa. Code § 305.192 Photo finish.

(a) In the event the placing Judges or the Stewards request a photo of the finish, the photo finish sign shall be posted on the totalisator board.

(b) Following their review of the photo finish, the placing Judges shall determine the exact order of finish for all horses participating in the race, and shall immediately post the numbers of the first four finishers on the totalisator board.

(c) In the event a photo was requested, the placing Judges shall cause a photographic or digital print of said finish to be produced. The finish photograph or digital print shall, when needed, be used by the placing Judges as an aid in determining the correct order of finish.

(d) Upon determination of the correct order of finish of a race in which the placing Judges have utilized a photographic or digital print to determine the first four finishers, the placing Judges shall cause prints of said photograph or digital print to be displayed publicly on the on-track television monitors and be provided to simulcast outlets.

7 Pa. Code § 305.193 Dead heats.

(a) In the event the placing Judges determine that two or more horses finished the race simultaneously and cannot be separated as to their order of finish, a dead heat shall be declared.

(b) In the event one or more of the first four finishers of a race are involved in a dead heat, the placing Judges shall post the dead heat sign on the totalisator board and cause the numbers of the horse or horses involved to blink on the totalisator board.

7 Pa. Code § 305.201 Qualifications.

(a) The Commission Veterinarian shall:

(1) Be employed by the Department as a Veterinary Medical Field Officer (VMFO) and appointed by the Commission to a racetrack under the jurisdiction of the Commission;

(3) Possess the necessary qualifications and experience to objectively and competently provide the regulatory duties described herein;

(4) Refuse employment or payment, directly or indirectly, from any horse owner or trainer of a horse racing or intending to race in this Commonwealth while employed as the Commission Veterinarian;

(5) Refrain from directly treating or prescribing for any horse under the Commission’s jurisdiction, except in cases of extreme emergency, accident or injury;

(b) Each racetrack under the jurisdiction of the Commission shall have an adequate number of Commission Veterinarians, as determined by the Commission, necessary to perform all the duties and responsibilities, as set forth in these regulations. The Commission shall designate one of the Commission Veterinarians as the Chief Commission Veterinarian at that racetrack facility.

7 Pa. Code § 305.202 Duties and responsibilities of the Commission Veterinarian.

(a) The Commission’s Veterinarian, among other things, shall:

(1) Inform the Stewards that a horse has been deemed unsafe to race, or inhumane to allow to race and shall place that horse on the Veterinarian’s List as set forth in § 305.203 (relating to Veterinarian’s List);

(3) Inspect any horse when there is a question as to the physical condition of the horse regardless of the horse’s entry status;

(4) Be present in the paddock during saddling and on the racetrack during the post parade;

(5) Recommend to the Stewards the scratching of any horse that is, in the opinion of the Commission Veterinarian, injured, ill, or otherwise unable to compete due to an apparent medical or health-related condition;

(6) Inspect any horse which appears in physical distress during the race or at the finish of the race; and shall make a report of the horse and the suspected cause of the distress to the Stewards;

(7) Maintain a continuing health and racing soundness record of each horse so examined;

(8) Be authorized, in an emergency scenario, to humanely destroy any horse deemed to be so seriously injured that it is in the best interests of the horse to so act;

(9) Report to the Commission the names of all horses humanely destroyed or which otherwise expire at the meeting and the reasons therefore;

(10) Maintain the Veterinarian’s List of horses ineligible to race;

(11) Supervise and control the Test Barn and the procedures implemented therein;

(12) Supervise the taking of all specimens, including but not limited to saliva, blood, urine or any other bodily fluid taken from the horse for pre-race or post-race testing according to procedures approved by the Commission;

(13) Maintain the proper administrative safeguards to protect the chain of custody handling of all laboratory specimens to prevent tampering, confusion, or contamination and assure sample integrity;

(14) Have jurisdiction over the practicing licensed veterinarians within the racetrack enclosure for the purpose of these rules;

(15) Cooperate with the racetrack veterinarian, practicing licensed veterinarians and other regulatory agencies to take measures to control communicable or reportable equine diseases, or both.

7 Pa. Code § 305.203 Veterinarian’s List.

The Commission Veterinarian shall maintain a list to be known as the Veterinarian’s List upon which the name of a horse which is considered unfit, unsound or not ready for racing shall be placed. The Veterinarian’s List shall be binding on all licensed racetrack facilities and those participating in racing activities under the jurisdiction of the Commission. The Veterinarian’s List shall be published in a format as required by the Commission. A horse placed on the Veterinarian’s List shall be refused entry until the horse is shown to be fit, sound or ready to race.

This section cited in 7 Pa. Code § 305.202 (relating to duties and responsibilities of the Commission Veterinarian); and 7 Pa. Code § 407.2 (relating to Veterinarian’s List).

7 Pa. Code § 305.221 General authority and duties.

(a) The racetrack track veterinarian may be present at the starting gate and may visually inspect each entrant. If, in the opinion of the racetrack veterinarian, prior to the starting gate dispatching the horses, a horse is not in condition to compete in that race, the racetrack veterinarian shall immediately notify the Stewards or the Commission Veterinarian of the horse’s condition.

(b) The racetrack veterinarian shall be attendant on the Stewards and the racing secretary at scratch time each morning, and shall examine the horse that they request, and make reports to the racing officials as promptly as possible.

(1) Be directly responsible to the Commission Veterinarian;

(2) Be a graduate veterinarian and be licensed to practice in this Commonwealth;

(3) Be present at the starting gate until the horses are dispatched from the gate for the race;

(5) Refrain from directly treating or prescribing for any horse scheduled to participate during his/her term of appointment at any recognized meeting except in cases of emergency, accident or injury;

(6) Be authorized to humanely destroy any horse deemed to be so seriously injured that it is in the best interests of the horse to so act;

(7) Perform any other veterinarian function deemed necessary and appropriate as directed by the Commission Veterinarian, the Commission or the racetrack’s employer.

7 Pa. Code § 305.222 Outriders.

(a) The Outriders shall make every effort to maintain the safety and orderly conduct of training and racing according to the rules, regulations and directives of the Commission, the Stewards and the licensed racing entity management.

(b) The Outriders shall report all unauthorized activities, unusual occurrences or potential rule violations to the Stewards.

(c) The Outriders shall, in cooperation with the Stewards, establish a plan to stop the running of a race should there be a loose horse, removal of starting gate malfunction or in case of any other on-track issue that endangers the safety of the participants and horses.

(d) The Outriders shall oversee and supervise all jockeys, exercise riders, pony persons and trainers when they are on the track. First-time applicants for these positions shall be observed and approved by the Outriders as a condition of licensure.

(e) The Outriders shall enforce the track and Commission regulations concerning the use of approved safety vests and protective helmets while riders are on the racetrack.

7 Pa. Code § 305.231 Entries.

(a) No horse shall be qualified to start in a race unless it has been properly entered and its owner, trainer, or their authorized designee have been licensed by the Commission, and evidence of workers compensation insurance carried by owners and trainers properly filed. A trainer may use the affidavit process to temporarily license an owner for purposes of entering a horse as provided for by the Commission. Overnight entries shall be made and completed 48 hours prior to the morning of the applicable race program.

(b) To compete in a race, a horse must be eligible at the time of starting that race. A horse disqualified in any jurisdiction or placed on the Stewards’ List, Starters’ List or Veterinarians’ List in any jurisdiction is not allowed to be entered or to start in a race without permission of the Stewards. The racing secretary shall be responsible to verify and accurately determine the horse’s eligibility at the time of entry.

7 Pa. Code § 305.232 Procedure.

(a) Entries and nominations shall be made with the racing secretary and shall not be considered until received by the racing secretary, who shall maintain a record of time of receipt of them for a period of 1 year.

(b) An entry shall be in the name of the horse’s licensed owner and made by the owner, trainer or a licensed designee of the owner or trainer.

(d) An entry may initially be made by telephone with the racing secretary but must be immediately confirmed in writing or facsimile machine to the racing secretary.

(e) The person making an entry shall clearly designate the horse so entered.

(f) No alteration may be made in any entry after the closing of entries, but an error may be corrected with permission of the Stewards.

(g) No horse may be entered in more than one race at the same licensed racing facility to be run on the same day on which pari-mutuel wagering is conducted.

(h) Any permitted medication or approved change of equipment must be declared at time of entry.

7 Pa. Code § 305.233 Limitation as to spouses.

No entry in any race shall be accepted for a horse owned wholly or in part by, or trained by, a person whose husband or wife is under license suspension at time of the entry, unless the non-suspended spouse can demonstrate, by horse records, financial documents and other business records that they are duly licensed as a trainer by the Commission and maintain a separate business from the suspended spouse. The Stewards shall review the provided documentation.

7 Pa. Code § 305.234 Coupled entries.

(a) The term ‘‘entry’’ means a horse made eligible to run in a race. When Starters in a race include two or more horses with common ownership, they shall be coupled as an entry. A wager on one horse in the entry shall be a wager on all horses in the entry. If one horse is scratched after betting has begun, the remaining horse shall run as a single betting entry.

(b) Horses owned wholly or in part by the same trainer, person or the spouse of the person shall be coupled and run as an entry.

(c) Starters in a race which include two horses of different ownership trained by the same person, or trained in the same stable shall not be coupled as an entry and shall constitute a separate wagering interest.

(d) No more than two horses having common ties through ownership or training may be entered in an overnight race. Under no circumstances may both horses of a coupled entry start to the exclusion of a single entry. When making a coupled entry, a preference for one of the horses must be made.

(e) The rules in subsections (a)—(d) may be waived by application and demonstration of proper cause to the racing secretary and the Stewards.

7 Pa. Code § 305.235 Nominations.

(a) Any nominator to a stakes race may transfer or declare the nomination prior to closing.

(b) Joint nominations and entries may be made by any one of joint owners of a horse, and each owner shall be jointly and severally liable for all payments due.

(c) Death of a horse, or a mistake in its entry when the horse is eligible, does not release the nominator or transferee from liability for all stakes fees due. No fees paid in connection with a nomination to a stakes race that is run shall be refunded, except as otherwise stated in the conditions of a stakes race.

(d) Death of a nominator to a stakes race shall not render void any subscription, entry or right of entry. All rights, privileges and obligations shall be attached to the legal heirs of the decedent or the successor owner of the horse.

(e) When a horse is sold privately or at public auction or claimed, stakes engagements shall be transferred automatically to its new owner; except when the horse is transferred to a person whose license is suspended or who is otherwise unqualified to race or enter the horse, then the nomination shall be void as of the date of the transfer.

(f) All stakes fees paid toward a stakes race shall be allocated to the winner unless otherwise provided by the conditions for the race. If a stakes race is not run for any reason, all the nomination fees paid shall be refunded.

7 Pa. Code § 305.236 Closings.

(a) Entries for purse races and nominations to stakes races shall close at the time designated by the licensed racing entity in previously published conditions for the races. This time may not be less than 48 hours prior to the time of the running of the races for which entry is being made. No entry, nomination or declaration shall be accepted after the closing time, except that in the event of an emergency or if an overnight race fails to fill, the racing secretary may, with the approval of a Steward, extend the closing time.

(b) Except as otherwise provided in the conditions for a stakes race, the deadline for accepting nominations and declarations is midnight of the day of closing, provided they are received in time for compliance with every other condition of the race.

7 Pa. Code § 305.237 Number of Starters in a race.

The maximum number of Starters in any race shall be limited to the number of starting positions afforded by the association starting gate and its extensions. The number of Starters may be further limited by the number of horses which, in the opinion of the Board of Stewards, after consultation with the horsemen’s group and the jockeys’ association, can be afforded a safe, fair and equal start. The decision of the Stewards is final and not appealable.

7 Pa. Code § 305.238 Split or divided races.

In the event a race is cancelled or declared off, the licensed racing entity may split any overnight race for which post positions have not been drawn. Where an overnight race is split, forming two or more separate races, the racing secretary shall give notice of not less than 15 minutes before the races are closed to grant time for making additional entries to the split races.

7 Pa. Code § 305.239 Post positions.

Post positions for all races shall be determined by lot and shall be publicly drawn in the presence of a Steward or Steward designee.

7 Pa. Code § 305.240 Also-eligible list.

(a) If the number of entries for a race exceeds the number of horses permitted to start, the racing secretary may create and post an also-eligible list.

(b) If any horse is scratched from a race for which an also-eligible list was created, a replacement horse shall be drawn from the also-eligible list into the race in order of preference. If none is preferred, a horse shall be drawn into the race from the also-eligible list by lot.

(c) Any owner or trainer of a horse on the also-eligible list who does not wish to start the horse in the race shall so notify the racing secretary prior to scratch time for the race, thereby forfeiting any preference to which the horse may have been entitled.

(d) A horse which draws into a straightaway race from the also-eligible list shall start from the post position vacated by the scratched horse. In the event more than one horse is scratched, post positions of horses drawing in from the also-eligible list shall be determined by lot.

(e) A horse which draws into a non-straightaway race from the also-eligible list shall start from the outermost post position. In the event more than one horse is scratched, post positions of horses drawing in from the also-eligible list shall be determined by public lot.

7 Pa. Code § 305.241 Preferred list.

The racing secretary shall maintain a list of entered horses eliminated from starting by a surplus of entries, and these horses shall constitute a preferred list and have preference. The preferred list shall be maintained and all rules governing the list shall be the sole responsibility of the racing secretary.

7 Pa. Code § 305.242 Declarations and scratches.

(a) Declaration. A declaration is the act of withdrawing an entered horse from a race prior to the closing of entries. The declaration of a horse before closing shall be made by the owner, trainer or their licensed designee in the form and manner prescribed in these rules.

(b) Scratch. A scratch is the act of withdrawing an entered horse from a contest after the closing of entries. The scratch of a horse after closing shall be made by the owner, trainer or their licensed designee, with permission from the Stewards. No horse may be scratched from an overnight race without the express approval of the Stewards.

(1) A horse may be scratched from a stakes race for any reason at any time up until 45 minutes prior to post time for that race.

(2) A horse which has been scratched, or excused from starting by the Stewards, because of a physical disability or sickness shall not be accepted until the horse has been released from the Veterinarian’s List by the Commission Veterinarian.

7 Pa. Code § 305.243 Ineligible horses.

(a) A horse is ineligible to start in a race within this Commonwealth if:

(1) It is not stabled on the grounds of the licensed racing entity or present by the time established by the Commission;

(2) Its breed registration certificate is not on file with the racing secretary or horse identifier (unless the racing secretary has submitted the certificate to the appropriate breed registry for correction). The Stewards may waive these requirements if the information contained on the registration certificate is otherwise available and the horse is otherwise correctly identified to the Stewards’ satisfaction;

(3) It is not fully identified and is tattooed on the inside of the upper lip, is microchipped with a unique microchip (ISO 11784), freeze brand or identified by any other method approved by the appropriate breed registry and the Commission;

(4) It has been fraudulently entered or raced in any jurisdiction under a different name, with an altered registration certificate or altered lip tattoo, microchip ISO 11784, freeze brand or other identification method approved by the appropriate breed registry and the Commission;

(5) It is wholly or partially owned by or is under the direct or indirect training or management of a person who for any reason is ineligible to be licensed to participate in this jurisdiction;

(6) It is wholly or partially owned by or is under the direct or indirect management of the spouse of a person who for any reason is ineligible to be licensed or to participate in this jurisdiction;

(7) The stakes or entrance money for the horse has not been paid, in accordance with the conditions of the race;

(8) Its name appears on the Starter’s List, Stewards’ List or Veterinarian’s List except when an unforeseen administrative issue occurs in removing the horse from the Veterinarian’s List of another racing jurisdiction;

(9) It is a first-time Starter and has not been approved to start by the Starter;

(10) It is owned in whole or in part by an undisclosed person or interest;

(11) It lacks sufficient official published workouts or race past performances;

(12) It has been entered in a stakes race and has subsequently been transferred with its engagements, unless the racing secretary has been notified prior to the start;

(13) It is subject to a lien which has not been approved by the Stewards and filed with the horsemen’s bookkeeper;

(14) It is subject to a lease not filed with the Stewards;

(15) It is not in sound racing condition;

(16) It has had a surgical neurectomy performed on a heel nerve, which has not been approved by the Commission Veterinarian;

(17) It has been trachea tubed to artificially assist breathing;

(18) It has been blocked with alcohol or otherwise drugged or surgically denerved to desensitize the nerves above the ankle;

(19) It has impaired eyesight in both eyes;

(20) It is barred or suspended in any other recognized racing jurisdiction;

(21) It does not meet the eligibility conditions of the race;

(22) Its owner or lessor is in arrears for any stakes fees, except with approval of the racing secretary;

(23) Its owners, lessors or trainer have not completed the licensing or affidavit procedures as required by the Commission;

(24) It is by an unknown sire or out of an unknown mare;

(25) There is no current negative test certificate for Equine Infectious Anemia (Coggins or EIA) attached to its breed registration certificate or proof of a negative test certificate is not otherwise available if the Stewards have waived the requirement of a registration certificate; or

(26) It has shoes (racing plates) which have toe grabs with a height greater than 2 millimeters (0.07874 inches), bends, jars, caulks, stickers or any other traction device on the front hooves while racing or training on all racing surfaces.

This section cited in 7 Pa. Code § 305.254 (relating to timed workouts).

7 Pa. Code § 305.251 Weight allowances.

(a) Weight allowance must be claimed at time of entry and shall not be waived after the posting of entries, except by consent of the Stewards.

(b) A horse shall start with only the allowance of weight to which it is entitled at time of starting, regardless of its allowance at time of entry.

(c) Horses not entitled to the first weight allowance in a race shall not be entitled to any subsequent allowance specified in the conditions.

(d) Claim of weight allowance to which a horse is not entitled shall not disqualify it unless protest is made in writing and lodged with the Stewards at least one hour before post time for that race.

(e) A horse shall not be given a weight allowance for failure to finish second or lower in any race.

(f) No horse shall receive allowance of weight nor be relieved extra weight for having been beaten in one or more races, but this rule shall not prohibit maiden allowances or allowances to horses that have not won a race within a specified period or a race of a specified value.

(g) Except in handicap races which expressly provide otherwise, 2-year-old fillies shall be allowed 3 pounds, and fillies and mares, 3 years old and upward, shall be allowed 5 pounds before September 1 and 3 pounds thereafter in races where competing against male horses.

(h) All allowances are optional and may be waived at the time of entry by the trainer or the trainer’s designee with the permission of the Stewards.

7 Pa. Code § 305.252 Weight penalties.

(a) Weight penalties are obligatory.

(b) Weight allowance, including apprentice allowance, shall be claimed at time of overnight entry.

(d) No horse shall incur a weight penalty or be barred from any race for having been placed second or lower in any race.

(e) Penalties incurred and allowances due in steeplechase or hurdle races shall not apply to races on the flat, and vice versa.

(f) The reports, records and statistics as published by Daily Racing Form, Equibase or other recognized publications shall be considered official in determining eligibility, allowances and penalties, but may be corrected.

(g) For determining weight penalties and allowances for horses that have previously won or placed in Graded or Group races, penalties in the race conditions will only apply to Graded or Group races in Part 1 countries as recognized in the International Catalogue Standards (ICS) book.

7 Pa. Code § 305.253 Scale of weights.

(a) With the exception of apprentice allowances, handicap races, 3-year-old horses entered to run in races against horses 4 years old and upwards, and the allowance provided in subsection (b) of this section, no jockey shall be assigned a weight of less than 118 pounds. For 3-year-old horses entered to run in races against horses 4 years old and upwards from January 1 through August 31, no jockey shall be assigned a weight of less than 116 pounds.

(b) Except in handicaps, fillies 2 years old shall be allowed 3 pounds, and fillies and mares 3 years old and upward shall be allowed 5 pounds before September 1, and 3 pounds thereafter in races where competing against horses of the opposite sex.

(c) A notice shall be included in the daily program that all jockeys will carry approximately 3 pounds more than the published weight to account for safety equipment (vest and helmet) that is not included in required weighing out procedures. Additionally, upon Stewards’ approval, jockeys may weigh in with an additional 3 pounds for inclement weather gear.

7 Pa. Code § 305.254 Timed workouts.

In addition to the provisions of § 305.243 (relating to ineligible horses), a horse which has not started for a period of 45 days or more is ineligible to race until it has completed a timed workout satisfactory to the Stewards. A workout following the entry of a horse shall appear on the official daily racing program or electronically online in Equibase or a similar entity.

7 Pa. Code § 305.255 Identification.

(a) The trainer or exercise rider shall bring each horse scheduled for an official workout to be identified by the clocker or clocker’s assistant immediately prior to the workout.

(b) The horse shall be properly identified by its lip tattoo, unique implanted microchip (ISO 11784), freeze brand or other identification method approved by the breed registry and the Commission immediately prior to participating in an official timed workout.

(c) The trainer or trainer’s designee shall be required to identify the distance the horse is to be worked and the point on the track where the workout will start.

7 Pa. Code § 305.256 Information dissemination

Information regarding a horse’s approved timed workout(s) shall be furnished to the public prior to the start of the race for which the horse has been entered.

7 Pa. Code § 305.257 Restrictions.

A horse shall not be taken onto the track for training or a workout except during hours designated by the licensed racing entity.

7 Pa. Code § 305.271 Racing equipment.

(a) All riding crops are subject to inspection and approval by the Stewards and the clerk of scales.

(1) Riding crops shall have a shaft and a flap and will be allowed in flat racing including training, only as follows:

(i) Maximum weight of 8 ounces;

(ii) Maximum length, including flap of 30 inches;

(iii) Minimum diameter of the shaft of 3/8 inch; and

(iv) Shaft contact area must be smooth, with no protrusions or raised surface, and covered by shock absorbing material that gives a compression factor of at least one-millimeter throughout its circumference.

(2) The flap is the only allowable attachment to the shaft and must meet these specifications:

(i) Length beyond the end of the shaft a maximum of 1 inch;

(ii) Width a minimum of 0.8 inch and a maximum of 1.6 inches;

(iii) No reinforcements or additions beyond the end of the shaft;

(iv) No binding within 7 inches of the end of the shaft; and

(v) Shock absorbing characteristics similar to those the contact area of the shaft.

(b) No bridle shall exceed 2 pounds.

(d) No licensee may add blinkers or cheek pieces to a horse’s equipment or discontinue their use without the prior approval of the Starter, the paddock Judge, and the Stewards. Any request for a change must be stated at entry. Blinkers and cheek pieces may not be utilized at the same time.

(e) No licensee may change any equipment used on a horse since its last race in this Commonwealth without approval of the paddock Judge.

7 Pa. Code § 305.272 Racing numbers.

(a) Each horse shall carry a conspicuous saddle cloth number corresponding to the official number given that horse on the official program.

(b) In the case of a coupled entry that includes more than one horse, each horse in the entry shall carry the same number, with a different distinguishing letter following the number. As an example, two horses in the same entry shall appear in the official program as 1 and 1A.

(c) Each horse in the mutuel field shall carry a separate number or may carry the same number with a distinguishing letter following the number.

7 Pa. Code § 305.273 Jockey and apprentice license.

(a) A jockey or an apprentice jockey who wants to obtain an appropriate license from the Commission shall meet all the licensing and eligibility requirements set forth in Chapter 303 (relating to licensing, duties and responsibilities of Thoroughbred occupational licensees—temporary regulations) of these regulations.

(b) No person under 18 years of age shall be licensed by the Commission as a jockey.

(d) A licensed jockey may not be an owner or trainer of a race horse.

(e) A jockey may not make a bet on any horse other than the one the jockey is riding. The bet placed shall only be to ‘‘win’’ and shall only be placed through the owner or trainer of the horse the jockey is riding.

(f) A jockey may not solicit or accept directly or indirectly anything of value from any person for the performance of his duties other than the applicable jockey’s fee.

(g) A jockey shall not compete in any race against a horse which is trained by the jockey’s spouse or partner.

(h) It shall be unlawful and a violation of these rules for a jockey, an owner, trainer or other person authorized to handle the horse, to be in possession or control of any electrical, mechanical or similar type of stimulating or shocking device. In addition to any penalty imposed by the Stewards, the matter may be referred by the Commission to law enforcement agencies for criminal prosecution.

7 Pa. Code § 305.274 Examination of jockeys by licensed physicians.

Before the beginning of a racing season, a jockey shall pass a physical examination given within the previous 12 months by a licensed physician affirming fitness to participate as a jockey. The Stewards may require that a jockey be reexamined and may refuse to allow the jockey to ride pending successful completion of the physical examination.

7 Pa. Code § 305.275 Requirements for apprentice jockeys.

(a) A person 18 years of age or older who has never been licensed as a jockey in any country may apply to become an apprentice jockey. An applicant with an approved apprentice certificate may be licensed as an apprentice jockey.

(b) A person desiring an apprentice jockey certificate and the privilege of riding races at tracks in this Commonwealth shall provide proof of the following:

(1) Employment on the backside of a race track, including exercising horses on the track.

(2) Attending and reviewing video tapes of races in jockeys’ quarters, as scheduled by the Stewards.

(3) Observing jockeys and horses break from the gate, at the start of races under the supervision of a Starter, for at least three racing days and at least five races per racing day.

(4) Observing horses changing leads at the 1/4, 3/8 and 7/8 poles and observing horses and jockeys approaching the finish line and finishing the race.

(5) Participating in as many schooling races as possible through the cooperation of the racing secretary and informing two or more members of the board of approval of application for apprentice license as soon as the applicant has been notified of acceptance to ride in the schooling race.

(6) Breezing horses from the gate satisfactorily with a whip at least twice in the presence of two or more members of the board of approval.

(7) Riding with competence in two pari-mutuel races without a whip under a temporary apprentice jockey certificate. The applicant will be observed by the board of approval during the races.

This section cited in 7 Pa. Code § 303.32 (relating to apprentice jockeys).

7 Pa. Code § 305.276 Apprentice jockey weight allowances in overnight races.

A certified apprentice jockey may claim the weight allowances set forth in Chapter 303 (relating to licensing, duties and responsibilities of Thoroughbred occupational licensees—temporary regulations) in all overnight races except stakes and handicaps.

This section cited in 7 Pa. Code § 303.32 (relating to apprentice jockeys).

7 Pa. Code § 305.277 Applications for extensions.

If an apprentice jockey is unable to ride for a period of 5 consecutive days or more after the date of the apprentice jockey’s fifth winning mount because of restriction of racing, service in National armed forces, physical disablement or illness, or enrollment and attendance in an institution of secondary or higher education, the Commission may, upon the submission of appropriate documentation, extend the time during which the apprentice weight allowance may be claimed.

This section cited in 7 Pa. Code § 303.32 (relating to apprentice jockeys).

7 Pa. Code § 305.278 Jockey agents.

(a) A jockey may have only one agent. A jockey agent may only handle up to two jockeys and may not make or assist in making of an engagement for a jockey other than those jockeys represented by the agent.

(b) A jockey agent is prohibited from:

(1) Being within the saddling enclosure during racing hours;

(2) Being on the racetrack proper at the conclusion of a race;

(3) Being in or having access to the jockey quarters during racing hours.

(c) No revocation of a jockey agent’s authority is effective until the jockey notifies the Stewards in writing of this revocation.

7 Pa. Code § 305.279 Valet-attendants.

A jockey may not have a valet-attendant other than one provided by the licensed racing entity.

7 Pa. Code § 305.280 Jockey mount fees.

(a) In the absence of a contract or other agreement between jockey representatives, the Commission shall use the following as a guideline for establishing jockey mount fees.

(b) A jockey’s fee shall be considered earned when the jockey is weighed out by the clerk of scales. In the event an owner or trainer elects to remove a jockey from the mount after naming a rider at the time of the draw, the Stewards may require a double jockey fee to be paid.

(c) The fee shall not be considered earned when a jockey(s), of their own free will, take themselves off their mounts, where injury to the horse or rider is not involved. Any conditions or considerations not covered by the above rule shall be at the discretion of the Stewards. All jockey protests must be filed prior to the race.

7 Pa. Code § 305.281 Jockey suspensions and designated races.

(a) For purposes of this subchapter, ‘‘designated race’’ shall mean any stakes race or associated trial in any state as designated by the Stewards.

(b) A jockey suspended for 10 days or less for a riding violation unless otherwise specified in the ruling may continue to exercise horses during training hours and may fulfill riding engagements in designated races, as designated by the Stewards at the beginning of the race meeting.

(d) A jockey who is serving a suspension of 10 race days or less may ride in designated races during the suspension under the following conditions:

(1) The race has been specified as a designated race by the Stewards officiating at the meeting; and

(2) The jockey is named no later than the time set for the close of entries for the designated race.

(e) When a jockey rides in a designated races the Board of Stewards, which originally imposed the suspension will designate the day to serve the additional suspension.

7 Pa. Code § 305.282 Jockey requirements.

(a) Jockeys shall report to the jockeys’ quarters at the time designated by the licensed racing entity. Jockeys shall report their engagements and any overweight to the clerk of scales. Jockeys shall not leave the jockeys’ quarters, except to ride in scheduled races, until all of their riding engagements of the day have been fulfilled, except as approved by the Stewards.

(b) A jockey who has not fulfilled all riding engagements, who desires to leave the jockeys’ quarters, must first receive the permission of the Stewards and must be accompanied by a licensed racing entity security guard.

(c) While in the jockeys’ quarters, jockeys shall have no contact or communication with any person outside the jockeys’ quarters other than Commission personnel and officials, or an owner or trainer for whom the jockey is riding, except with the permission of the Stewards. Any communication permitted by the Stewards may be conducted only in the presence of the clerk of scales or other person designated by the Stewards.

(d) Jockeys shall be weighed out for their respective mounts by the clerk of scales not more than 30 minutes before post time for each race. Only valets employed by the licensed racing entity shall assist jockeys in weighing out.

(e) A jockey must wear a safety vest when riding in any official race. The safety vest shall meet the applicable standards for safety vests as set forth in Chapter 303 (relating to licensing, duties and responsibilities of Thoroughbred occupational licensees—temporary regulations).

7 Pa. Code § 305.283 Weighing out.

(a) A jockey’s weight shall include his/her clothing, boots, saddle and its attachments and any other equipment except the bridle, bit, blinkers, goggles, number cloth and safety equipment including helmet, vest, over-girth, reins and breast collar.

(b) Upon Stewards’ approval, jockeys may be allowed up to 3 pounds more than published weights to account for inclement weather clothing and equipment.

(d) Once jockeys have fulfilled their riding engagements for the day and have left the jockeys’ quarters, they shall not be re-admitted to the jockeys’ quarters until after the entire racing program for that day has been completed, except with permission of the Stewards.

7 Pa. Code § 305.284 Paddock to post.

(a) Each horse shall carry the full weight assigned for that race from the paddock to the starting post, and shall parade past the Stewards’ stand, unless excused by the Stewards. The post parade shall not exceed 12 minutes, unless otherwise ordered by the Stewards. It shall be the duty of the Stewards to ensure that the horses arrive at the starting gate as near to post time as possible.

(b) After the horses enter the track, a jockey may not dismount or entrust the horse to the care of an attendant without the prior consent of the starter, unless, it is necessary to do so because of an accident to the jockey, the horse or the equipment. During any delay during which a jockey is permitted to dismount, all other jockeys may also dismount and their horses may be attended by others. After the horses enter the track, only the jockey, an assistant starter, the Commission Veterinarian, the racing veterinarian or an outrider or pony rider may touch the horse before the start of the race.

(c) If a jockey is injured on the way to the post, the horse shall be returned to the paddock or any other area designated by the Stewards, re-saddled with the appropriate weight and remounted with a replacement jockey.

(d) After passing the Stewards’ stand in parade, the horses may break formation and proceed to the post in any manner unless otherwise directed by the Stewards. Once at the post, the horses shall be started without unnecessary delay.

(e) Horses shall arrive at the starting post in post-position order.

(f) If a horse throws its jockey on the way from the paddock to the post, the horse must be returned to the point where the jockey was thrown, where it shall be remounted and then proceed over the route of the parade to the post. The horse must carry its assigned weight from paddock to post and from post to finish.

(g) If a horse leaves the course while moving from paddock to post, the horse shall be returned to the course at the nearest practical point to that at which it left the course and shall complete its parade to the post from the point at which it left the course unless ordered scratched by the Stewards.

(h) No person shall willfully delay the arrival of a horse at the post.

(i) The starter shall load horses into the starting gate in any order deemed necessary to ensure a safe and fair start as set forth in this chapter. Only the jockey, the racing veterinarian, the starter or an assistant starter shall handle a horse at the post.

7 Pa. Code § 305.285 Post to finish.

(a) In addition to the duties and responsibilities of the starter as set forth in this chapter, the starter is responsible for ensuring that each participant in every race receives a fair and appropriate start. If the Stewards suspect a false start has occurred, they shall post the inquiry sign and may disqualify the horse(s), declare it a non-starter, or take no action.

(b) If, when the starter dispatches the field, any door at the front of the starting gate stalls should not open properly due to a mechanical failure or malfunction or should any action by any starting personnel directly cause a horse to receive an unfair start, the Stewards may declare this horse a non-starter.

(c) If a horse is not in the starting gate stall at the time the field is dispatched by the starter thereby causing it to be left out, the horse shall be declared a non-starter by the Stewards.

(d) Should an accident or malfunction of the starting gate, or other unforeseeable event compromise the fairness of the race or the safety of race participants, the Stewards may declare individual horses to be non-starters, exclude individual horses from all pari-mutuel pools or declare the race a ‘‘no contest.’’

7 Pa. Code § 305.286 Interference, jostling or striking.

(a) A jockey shall not carelessly or intentionally permit the horse the jockey is riding to interfere with, impede or intimidate any other horse in the race.

(b) No jockey shall carelessly or intentionally jostle, strike or touch another jockey or another jockey’s horse or equipment at any time in the race.

(c) No jockey shall unnecessarily or unreasonably cause the horse the jockey is riding to shorten its stride or pull up, so as to give the appearance of having suffered a foul.

7 Pa. Code § 305.287 Maintaining a straight course.

(a) During the running of the race, when the way is clear, a horse may be ridden or taken to any part of the course, but a horse may not cross, weave, or swerve in front of another horse, or otherwise be ridden to either side, so as to interfere with, impede or intimidate any other horse. This conduct shall be considered a foul. The offending horse may be disqualified, if in the opinion of the Stewards, the foul altered the finish of the race, regardless of whether the foul was accidental, willful or the result of careless riding.

(b) If the Stewards determine the foul was intentional, or due to careless riding, the jockey may be held responsible.

(c) In a straightaway race, every horse must maintain position as nearly as possible in the lane in which it starts. If a horse is ridden, drifts or swerves out of its lane in this manner that it interferes with, impedes or intimidates another horse, it is a foul and may result in the disqualification of the offending horse.

7 Pa. Code § 305.288 Disqualification.

(a) If the Stewards determine that a horse shall be disqualified for interference, the Stewards may place the offending horse behind these horses as in their judgment it interfered with, or they may place the offending horse last.

(b) If a horse is disqualified for a foul, any horse or horses in the same race owned or trained by the same interests, whether coupled or uncoupled may also be disqualified.

(d) When a horse is disqualified for interference in a time trial race, for the purposes of qualifying only, it shall receive the time of the horse it is placed behind plus one-hundredth of a second penalty or more exact measurement if photo finish equipment permits and shall be eligible to qualify for the finals or consolations of the race on the basis of the assigned time.

(e) Possession of any electrical or mechanical stimulating or shocking device by a jockey, horse owner, trainer or other person authorized to handle or attend to a horse shall be prima facie evidence of a violation of these rules and is sufficient grounds for the Stewards to scratch or disqualify the horse.

(f) The Stewards may determine that a horse shall be unplaced for the purpose of purse distribution and time trial qualification.

7 Pa. Code § 305.289 Multiple disqualifications.

Should the Stewards determine that there is more than one incident of interference in a race where disqualification is warranted, the Stewards shall deal with the incidents in the order in which the incident occurs during the race from start to finish; except in the case where the same horses are involved in multiple incidents. Once a horse has been disqualified, it should remain placed behind the horse with which it interfered. The Stewards shall make a conscious effort to place and maintain as placed, every and all horses placed behind others for interference.

7 Pa. Code § 305.290 Horses shall be ridden out.

(a) All horses shall be ridden out in every race. A jockey shall not ease up or coast to the finish, without reasonable cause, even if the horse has no apparent chance to win prize money. A jockey shall at all times give a best effort during a race and each horse shall be ridden to win.

(b) A jockey may not intentionally ride wide on the turns, cause the horse to lose ground when there is no reasonable cause for the loss or ride in a manner inconsistent with using the best efforts of the horse.

7 Pa. Code § 305.291 Use of a riding crop.

(a) Although the use of a riding crop is not required, any jockey who uses a riding crop during a race shall do so only in a manner consistent with exerting his/her best efforts to win. In all races where a jockey will ride without a riding crop, an announcement of this fact shall be made over the public-address system.

(b) Other than the riding crop approved by the Stewards, no electrical, mechanical or other device designed to increase or retard the speed of a horse, shall be possessed by a jockey, nor shall any electrical, mechanical device by applied by anyone to a horse at any time on the grounds of the licensed racing entity during the meeting.

(d) The riding crop shall be used during a race for safety, correction and encouragement of the horse in an appropriate, proportionate, and professional manner, taking into account the rules of racing herein. The stimulus provided by the use of the riding crop shall be monitored by the Stewards at all times so as not to compromise the health, safety and welfare of the horse.

(e) Except for extreme safety reasons all riders should comply with the following when using a riding crop:

(1) Initially showing the horse the riding crop or tapping the horse with the riding crop down, giving it time to respond before using it;

(2) Having used the riding crop, giving the horse a chance to respond before using it again;

(i) ‘‘Chance to respond’’ is defined as one of the following actions by a jockey:

(a) Pausing the use of the riding crop on their horse before resuming again;

(b) Pushing on their horse with a rein in each hand, keeping the riding crop in the up or down position;

(d) Moving the riding crop from one hand to the other.

(3) Using the riding crop in rhythm with the horse’s stride.

(f) When deciding whether to review the jockey’s use of the riding crop, Stewards may consider how the jockey has used the riding crop during the course of the entire race, with particular attention to its use in the closing stages, and other relevant factors such as:

(1) The manner in which the riding crop was used;

(2) The purpose for which the riding crop was used;

(3) The distance over which the riding crop was used and whether the number of times it was used was reasonable and necessary; and

(4) Whether the horse was continuing to respond.

7 Pa. Code § 305.292 Review by Stewards.

In the event there is a review by the Stewards, use of the riding crop may be deemed appropriate in the following circumstances:

(1) To keep a horse in contention or to maintain a challenging position prior to what would be considered the closing stages of a race,

(2) To maintain a horse’s focus and concentration,

(3) To correct a horse that is noticeably hanging,

(4) To assure the horse maintains a straight course, or

(5) Where there is only light contact with the horse.

7 Pa. Code § 305.293 Prohibition.

(a) Prohibited use of the riding crop includes but is not limited to striking a horse:

(1) On the head, flanks or on any other part of its body other than the shoulders or hind quarters except when necessary to control a horse;

(2) During the post parade or after the finish of the race except when necessary to control the horse;

(3) Excessively or brutally causing welts or breaks in the skin;

(4) When the horse is clearly out of the race or has obtained its maximum placing;

(5) Persistently even though the horse is showing no response under the riding crop; or

(6) Striking another rider or horse.

(b) After the race, horses will be subject to inspection by a racing or official Veterinarian looking for cuts, welts or bruises in the skin. Any adverse findings shall be reported to the Stewards.

(c) The giving of instructions by any licensee that if obeyed would lead to a violation of this rule may result in disciplinary action also being taken against the licensee who gave these instructions.

7 Pa. Code § 305.294 Horse leaving the racecourse.

If a horse leaves the racecourse during a race, it must turn back and resume the race from the point at which it originally left the course.

7 Pa. Code § 305.295 Order of finish.

(a) The official order of finish shall be decided by the Stewards. The video replay shall be available to assist in the Stewards’ decision.

(b) The nose of the horse shall determine the placement of the horse in relationship to other horses in the race.

7 Pa. Code § 305.296 Returning after the finish.

(a) After a race has been run, the jockey shall ride promptly to the place designated by the Stewards, dismount and report to the clerk of scales to be weighed in. Jockeys shall weigh in with all pieces of equipment with which they weighed out.

(b) If a jockey is prevented from riding to the designated unsaddling area because of an accident or illness to the jockey or the horse, the jockey may walk or be transported to the scales or may be excused from weighing in by the Stewards.

7 Pa. Code § 305.297 Unsaddling.

(a) Only persons authorized by the Stewards may assist the jockey with unsaddling the horse after the race.

(b) No one shall place a covering over a horse before it is unsaddled.

7 Pa. Code § 305.298 Weighing in.

(a) A jockey shall ‘‘weigh in’’ at no less than the same weight at which the jockey weighed out, and if under that weight, and after consideration of mitigating circumstances by the Board of Stewards, the jockey’s mount may be disqualified from any portion of the purse money.

(b) In the event of this disqualification, all moneys wagered on the horse shall be refunded unless the race has been declared official.

(c) A jockey’s weight shall include clothing, boots, saddle and its attachments and any other equipment, except a safety vest and helmet, the bridle, bit, blinkers, number cloth and over-girth, reins and breast collar.

(d) Upon approval of the Stewards, the jockeys may be allowed up to 3 pounds more than published weights to account for specialized inclement weather clothing and equipment.

(e) The post-race weight of jockeys includes any sweat, dirt and mud that have accumulated on the jockey, jockey’s clothing, jockey’s safety equipment and over-girth. This accounts for additional weight, depending on specific equipment, as well as weather, track and racing conditions.

7 Pa. Code § 305.299 Dead heats.

(a) When two horses run a dead heat for first place, all purses or prizes to which first and second horses would have been entitled shall be divided equally between them; and this applies in dividing all purses or prizes whatever the number of horses running a dead heat and whatever places for which the dead heat is run.

(b) In a dead heat for first place, each horse involved shall be deemed a winner and liable to penalty for the amount it shall receive.

(c) When a dead heat is run for second place and an objection is made to the winner of the race, and sustained, the horses which ran a dead heat shall be deemed to have run a dead heat for first place.

(d) If the dividing owners cannot agree as to which of them is to have a cup or other prize which cannot be divided, the question shall be determined by lot by the Stewards.

7 Pa. Code § 305.301 Stewards’ inquiries.

(a) During the running of a race, the Stewards shall take cognizance of foul riding and upon their own motion or other racing official empowered by this chapter to object or complain of an occurrence during the race, shall immediately post an official inquiry and shall make every diligent effort to investigate the objection or complaint.

(b) In determining the extent of disqualification, the Stewards in their discretion may:

(1) Declare null and void a track record set or equaled by a disqualified horse, or any horses coupled with it as an entry;

(2) Affirm the placing Judges’ order of finish and hold the jockey responsible if, in the Stewards’ opinion, the foul riding did not affect the order of finish; or

(3) Disqualify the offending horse and hold the jockey blameless, if in the Stewards’ opinion, the interference to another horse in a race was not the result of an intentional foul or careless riding on the part of a jockey.

(c) No appeal may be taken from the decision of the Stewards not to disqualify a horse as a result of the running of a race.

7 Pa. Code § 305.302 Race objections.

(a) An objection to an incident alleged to have occurred during the running of a race shall be received only when lodged with the clerk of scales, the Stewards or their designees, by the owner, the authorized agent of the owner, the trainer or the jockey of a horse engaged in the same race.

(b) An objection following the running of any race must be filed before the race is declared official by the Stewards, whether all or some riders are required to weigh in, or the use of a ‘‘fast official’’ procedure is permitted. No objection shall be received once the race has been declared official.

(c) The Stewards shall take into account all information provided by race participants and matters occurring during the running of a race; shall determine all objections and inquiries and shall determine the extent of disqualification, if any, of horses in the race. This determination by the Stewards shall be final and binding.

7 Pa. Code § 305.303 Prior objections and protest.

(a) Objections or protests to the participation of a horse entered in any race shall be made to the Stewards in writing, signed by the objector, and filed not later than 60 minutes prior to post time for the first race on the day which the questioned horse is entered. A protest not timely received shall be denied on those grounds. A protest shall set forth the specific reasons for the protest in detail to establish probable cause for the protest and the information provided by the protestor shall be verified and signed in affidavit form. The Stewards may upon their own motion consider an objection until the time as the horse becomes a starter.

(b) An objection or protest to a horse which is entered in a race may be made on, but not limited to, the following grounds or reasons:

(1) A misstatement, error or omission in the entry under which a horse is to run;

(2) The horse which is entered to run is not the horse it is represented to be at the time of entry, or the age was erroneously given;

(3) The horse is not qualified to enter under the conditions specified for the race, or the allowances are improperly claimed or not entitled to the horse, or the weight to be carried is incorrect under the conditions of the race;

(4) The horse is owned in whole or in part, or leased or trained by a person ineligible to participate in racing or otherwise ineligible to own a race horse as provided in these rules or the horse was entered without regard to a lien filed previously with the racing secretary;

(5) The weight carried by a horse was improper, by reason of fraud or willful misconduct.

(c) The Stewards may scratch from the race any horse which is the subject of an objection if they have reasonable cause to believe that the objection is valid.

(d) Notwithstanding any other provision in this section, the time limitation on the filing of protests shall not apply in any case in which fraud or willful misconduct is alleged provided that the Stewards are satisfied that the allegations are bona fide and have been duly verified by affidavit.

(e) The Stewards may order any purse, award or prize for any race withheld from distribution pending the determination of any protest. In the event any purse, award or prize has been distributed to an owner or for a horse which by reason of a protest or other reason is disqualified or determined to be not entitled to this purse, award or prize, the Stewards or the Commission may order this purse, award or prize returned and redistributed to the rightful owner or horse. Any person who fails to comply with an order to return any purse, award or prize erroneously distributed shall be subject to fines and suspension.

7 Pa. Code § 305.401 General provisions.

(a) A person entering a horse in a claiming race warrants that the title to said horse is free and clear of any existing claim or lien, either as security interest mortgage, bill of sale, or lien of any kind; unless before entering the horse, the written consent of the holder of the claim or lien has been filed with the Stewards and the racing secretary and its entry approved by the Stewards. A transfer of ownership arising from a recognized claiming race will terminate any existing prior lease for that horse.

(b) Title to a claimed horse shall be vested in the successful claimant at the time the horse becomes a starter. However, the successful claimant may request on the claim blank or envelope at the time of the claim that the horse be tested for any test as approved by the Commission Veterinarian. Should this test prove positive, it shall be cause for voiding the claim. The expense of the test shall be the responsibility of the successful claimant.

(c) An in-foal filly or mare shall be eligible to be entered into a claiming race upon notice to the racing secretary, the Stewards and the Commission Veterinarian.

(d) The Stewards may set aside and order a claim rescinded for any horse from a claiming race run in this Commonwealth upon a showing that any party to the claim committed a prohibited action, as set forth in § 305.405 (relating to transfer of possession of a claimed horse) of this chapter, or that the owner of the horse at the time of entry in the claiming race failed to comply with any requirement of these rules. Should the Stewards set aside the claim, they may make a further order for the costs of maintenance and care of the horse as they may deem appropriate for the health and safety of the horse.

7 Pa. Code § 305.402 Claiming of horses.

(a) Any horse starting in a claiming race is subject to be claimed for its entered price by any:

(1) Licensed owner;

(2) Licensed authorized agent acting on behalf of an eligible claimant.

(b) Every horse claimed shall race for the account of the original owner, but title to the horse shall be transferred to the claimant at the time the horse becomes a starter as determined by the Stewards. The successful claimant shall become the owner of the horse under the provisions of this chapter.

7 Pa. Code § 305.403 Procedure for claiming.

(a) To make a valid claim for a horse, an eligible person shall:

(1) Have on deposit with the horsemen’s bookkeeper an amount equal to the amount of the claim. Money may not accompany the claim;

(2) Complete a written claim on a form furnished by the licensed racing entity and approved by the Commission;

(3) Identify the horse to be claimed by the spelling of its name on the certificate of registration or as spelled on the official program;

(4) Place the completed claim form inside an envelope furnished by the licensed racing entity and approved by the Commission;

(5) Both forms and envelopes must be filled out completely and must be substantially accurate or the claim may be voided. The Stewards shall, in their sole discretion, determine what is substantially accurate;

(6) Have the envelope deposited in the claim box no later than 10 minutes prior to post time of the race for which the claim is entered.

(b) After a claim has been completely deposited in the claim box, it is irrevocable by the claimant and shall not be withdrawn from the claim box until the time designated by the Stewards.

(c) Officials and employees of the licensed racing entity shall not provide any information as to the filing of claims until after the race has been run, except as is necessary for processing of the claim.

(d) If more than one claim is filed on a horse, the successful claim shall be determined by lot conducted by the Stewards or their representatives.

(e) Notwithstanding any designation of sex or age appearing in the racing program or in any racing publication, the claimant of a horse shall be solely responsible for the determination of the sex or age of any horse claimed.

7 Pa. Code § 305.404 Prohibitions.

(a) A person shall not claim a horse, directly or indirectly, in which the person has a financial or beneficial interest as an owner or trainer.

(b) A person shall not cause another person to claim a horse for purposes of obtaining or retaining an undisclosed financial or beneficial interest in the horse.

(c) A person may not offer or enter into an agreement for purposes of preventing another person from obtaining a horse in a claiming race.

(d) A person shall not claim a horse or enter into any agreement to have a horse claimed, on behalf of an ineligible or undisclosed person.

(e) A person shall not claim more than one horse in a race. No authorized agent shall submit more than one claim for the same horse in a race, even if the authorized agent represents several owners.

(f) A person may not claim from his spouse a horse owned wholly or in part by that spouse.

7 Pa. Code § 305.405 Transfer of possession of a claimed horse.

(a) Upon successful claim, the Stewards or their representative shall issue an authorization of transfer of possession of the horse from the original owner to the successful claimant. Copies of the transfer authorization shall be forwarded to and maintained by the Stewards and the racing secretary. Upon notification by the Stewards, the horsemen’s bookkeeper shall immediately debit the claimant’s account for the claiming price.

(b) A person shall not refuse to deliver a properly claimed horse to the successful claimant as determined by the provisions of this chapter.

(c) Delivery of a claimed horse shall take place in accordance with § 305.407 (relating to subsequent start of a claimed horse).

(d) When a horse is claimed out of a claiming race, the horse’s engagements are transferred, with the horse, to the claimant.

(e) A claimed horse shall not remain in the same stable or under the control or management of its former owner.

(f) If the claimed horse has been approved by the Stewards to run without the registration certificate on file in the racing office, then the registration certificate must be provided to the Stewards for transfer to the new owner before claiming funds will be approved for transfer by the Stewards.

This section cited in 7 Pa. Code § 305.401 (relating to general provisions).

7 Pa. Code § 305.406 Delivery of claimed horse.

(a) In the event a horse dies during a claiming race or is euthanized on the racetrack during a claiming race, any claim made on that horse will be declared void.

(b) In the event that a horse is vanned off the racetrack after a claiming race, that horse will be taken to the detention barn for no longer than 1 hour from post-time of the race. The successful claimant for the horse may declare the claim void at the claimant’s election within 1 hour of post-time of the race, except that the claim may not be declared void if the horse was vanned off the track due solely to heat stroke or bleeding from the nostrils, as determined by the Commission Veterinarian. In the event the successful claimant exercises the claimant’s discretion to declare the claim void, the horse will be returned to the custody of the original owner who entered the horse in the claiming race.

(c) If a horse is placed on the Veterinarian’s List within 1 hour of post-time of the race after having been taken to the test barn under its own power or otherwise without assistance for evaluation by the Commission Veterinarian, the successful claimant may declare the claim null and void at his or her election. Except that, the claim may not be declared null and void if the horse is placed on the Veterinarian’s List due solely to heat stroke or bleeding from the nostrils, as determined by the Commission Veterinarian. In the event the successful claimant exercises his/her discretion to declare the claim void, the horse will be returned to the custody of the original owner who entered the horse in the claiming race.

7 Pa. Code § 305.407 Subsequent start of a claimed horse.

For a period of 20 days after the claim, a claimed horse may not start in a race in which the determining eligibility price is less than 25% more than the price at which it was claimed. The day claimed does not count, but the following calendar day shall be the first day and the horse shall be entitled to enter whenever necessary so that the horse may start on the 21st calendar day following the claim for any claiming price. This section does not apply to starter allowance or starter handicaps.

This section cited in 7 Pa. Code § 305.405 (relating to transfer of possession of a claimed horse).

7 Pa. Code § 305.408 Subsequent sale and transfer of claimed horses.

When a horse is claimed, it may not be sold or transferred to anyone wholly or in part, except in a claiming race, for a period of 30 days from date of claim, nor may it, unless reclaimed, remain in the same stable or under the control or management of its former owner or trainer for a like period, nor may it race elsewhere until the end of the race season in progress or for a period of 60 days, whichever occurs first. The Commission may waive this section upon application and demonstration by the requestor that the waiver is in the best interest of the requestor, the licensed racing entity, and horse racing in general in this Commonwealth.

7 Pa. Code § 305.409 Posting of claiming price.

The claiming price of each horse in a claiming race shall be printed on the program and claims for the horse shall be the amount so designated.

7 Pa. Code § 305.410 Starting in claiming races.

In claiming races not more than two horses in the same interest or under control of the same trainer can start.

7 Pa. Code § 305.411 Foal certificate.

The foal certificate of a claimed horse shall remain in the custody of the racing secretary or his representative until the new owner removes the horse from the track.

7 Pa. Code § 305.412 Cancellation of claiming race results.

If the Stewards, within 24 hours after the running of a race, believe that the lease, sale or entry of a horse was not made in good faith but was made for the purpose of obtaining the privilege of entering a claim, they may disallow the claim and order the return of a horse that may have been delivered and refer the case to the Commission for further action.

Chapter 307 Pennsylvania Breeders’ Fund Program—Temporary Regulations

7 Pa. Code § 307.1 Definitions.

The following words and terms, when used in this part, have the following meanings, unless the context clearly indicates otherwise: Breeder—The owner of the dam at the time of foaling, and indicated this on the certificate of registration issued by the Jockey Club. Fund—The Pennsylvania Breeding Fund as created by section 9336 of the act (relating to Pennsylvania Breeding Fund). The Jockey Club—The breed registry organization for all Thoroughbred horses in North America, having responsibility for maintaining the American Stud Book, which includes all Thoroughbreds foaled in the United States, Canada and Puerto Rico, as well as Thoroughbreds imported into those countries from other countries that maintain similar Thoroughbred registries. Pennsylvania-bred horse—A Thoroughbred horse with respect to which all of the following apply:

(i) The horse was foaled in this Commonwealth.

(ii) The horse is the subject of a current certificate of registration issued by the Jockey Club.

(iii) The horse meets the registration eligibility qualifications for participation in the Fund program as determined by the Pennsylvania Horse Breeders Association.

(iv) The horse is registered with the Pennsylvania Horse Breeders Association in accordance with § 307.3 (relating to records of registration). Pennsylvania sire—A Thoroughbred stallion with respect to which all of the following apply:

(i) The horse regularly stands in this Commonwealth.

(ii) The horse meets the registration eligibility qualifications for participation in the Fund program as determined by the Pennsylvania Horse Breeders Association.

(iii) The horse is registered with the Pennsylvania Horse Breeders Association in accordance with § 307.3 and is so registered each year the stallion stands in Pennsylvania.

7 Pa. Code § 307.2 Eligibility for Pennsylvania-bred races.

To be eligible for preferences in races in which registered Pennsylvania-breds are preferred and to be eligible for entry in races which are restricted by condition to registered Pennsylvania-breds, a horse shall be registered as a Pennsylvania-bred with the Pennsylvania Horse Breeders Association at the time of entry.

7 Pa. Code § 307.3 Records of registration.

Foals and sires eligible for registration shall be registered on official registration forms approved by the Commission and maintained by the Pennsylvania Horse Breeders Association. The registrar shall certify thereon the name and address of the owner, breeder, farm where mare was covered, farm of which this horse was foaled, owner of stallion at time the mare was covered, stallion by which the mare was covered following the birth of the Thoroughbred to be registered, breeder Social Security or tax identification number, Jockey Club registration number, name of foal, color and sex of foal, date of foaling, sire, dam, sire of the dam, signature of the owner, or breeder or authorized representative and the date of application.

(1) The registration record shall be maintained at the headquarters of the Pennsylvania Horse Breeders Association and be open to public inspection during normal business days and hours.

(2) Immediately upon completion and filing of the form, the Pennsylvania Horse Breeders Association shall cause a correct copy of it to be filed with the offices of the Commission in Harrisburg.

This section cited in 7 Pa. Code § 307.1 (relating to definitions).

7 Pa. Code § 307.4 Appeals.

(a) A person having an interest in the matter shall have the right to file objections or exceptions to a registration and to the facts set forth therein within 30 days of the filing of the copy with the Commission. The objections or exceptions shall be delivered in writing to the Pennsylvania Horse Breeders Association (PHBA) and a duplicate copy delivered to the Commission within the 30-day time period. The PHBA shall rule upon the objections or exceptions within the 10 days of the delivery and receipt. An interested party aggrieved by an action taken by the PHBA may appeal to the Commission in the manner and within the time period prescribed for appeals in Chapter 179 (relating to Rules of Administrative Practice and Procedure—temporary regulations) of the Commission. The Commission may hear and determine an appeal de novo in accordance with its regular hearing procedures or the parties may seek an expedited documentary hearing in accordance with Chapter 179 Subchapter C (relating to Commission hearings) of the Commission regulations. The parties may appeal the Commission’s final determination to the Commonwealth Court within 30 days of receipt of the written adjudication. In the absence of a timely appeal to the Commonwealth Court, a registration shall be deemed final and binding and an official record of the Commission for all purposes under the act. Except that, the Commission may, in its discretion, correct an error or inaccuracy that it may find within the records.

(b) The Commission is not an aggrieved party as contemplated by 2 Pa.C.S. § 702 (relating to Administrative Agency Law) and shall be deemed a disinterested party in the registration matter subsequently appealed, by either party, to the Commonwealth Court. In accordance with Pa.R.A.P. 1513(a), as a disinterested party, the Commission shall not be named on the caption or listed as the Respondent on Appellant’s Petition for Review.

7 Pa. Code § 307.5 Purses and awards.

(a) A prize awarded under this section shall be in accordance with the standards for purses at each racing meet as approved by order of the Commission. Each prize shall be advanced to the Horsemen’s Bookkeeper Account as won or earned at each meet by the racing association conducting the meet. The racing association shall maintain a separate ledger of them and shall transmit a certified copy of allowances, prizes and purses made no later than every 10th day of each month of the meets to the Commission. After the Commission has reviewed and approved them, it shall reimburse the racing association for the advances made which the Commission finds proper.

(b) The Pennsylvania Horse Breeders Association shall compile awards earned by breeders, owners of Pennsylvania sires and owners of Pennsylvania-bred horses and maintain a separate ledger of them. Monthly, a certified report of awards earned shall be forwarded to the Commission. After the Commission has reviewed and approved them it will be forwarded to the Department of Treasury for payment to the awardees. In accordance with section 9336(b.1) of the act (relating to Pennsylvania Breeding Fund), awards shall be distributed as follows:

(1) An award of 40% of the purse earned by every registered Pennsylvania-bred Thoroughbred race horse sired by a registered Pennsylvania sire at the time of conception of the registered Pennsylvania-bred Thoroughbred race horse which finishes first, second or third in any race conducted by a licensed racing entity under this chapter shall be paid to the breeder of the registered Pennsylvania-bred Thoroughbred race horse.

(2) An award of 20% of the purse earned by every registered Pennsylvania-bred Thoroughbred race horse sired by a nonregistered sire, which finishes first, second or third in any race conducted by a licensed racing entity under this chapter shall be paid to the breeder of the registered Pennsylvania-bred Thoroughbred race horse.

(3) A single award under paragraphs (1) and (2) may not exceed 1% of the total annual fund money.

(4) An award of 10% of the purse earned by any registered Pennsylvania-bred Thoroughbred race horse which finishes first, second or third in any race conducted by a licensed racing entity under this chapter shall be paid to the owner of the registered Pennsylvania sire which regularly stood in Pennsylvania at the time of conception of the Pennsylvania-bred Thoroughbred race horse. A single award under this paragraph may not exceed 0.5% of the total annual fund money.

(c) A person interested in the awards, allowances, prizes and purses and objecting to calculations or determinations thereof as shown on the records of the racing association, the Pennsylvania Horse Breeders Association and the horsemen’s bookkeeper, shall be responsible for taking written appeals to the Commission in the manner provided for appeals from decisions of the association pertaining to registrations.

(d) The Commission will have the right to review and approve fees and charges imposed by the Pennsylvania Horse Breeders Association for a program. The charge or fee may not be imposed without prior approval by the Commission.

(e) Records, funds and accounts of funds, prizes, purses, allowances and awards under this program shall be maintained separate from other records, funds and accounts and may not become mingled with other matters. The records, funds and accounts shall be kept continuously open for inspection by the Commission.

7 Pa. Code § 307.6 Pennsylvania Horse Breeders Association.

(a) The Commission shall contract with the Pennsylvania Horse Breeders Association as the organization responsible for the registration and records of Pennsylvania-bred Thoroughbred race horses. The Pennsylvania Horse Breeders Association shall advise the Commission when called upon and shall determine the qualifications for Pennsylvania-bred Thoroughbred race horses and Pennsylvania sires.

(b) At the close of each calendar year, the Pennsylvania Horse Breeders Association shall submit to the Commission for its approval an itemized budget of projected expenses for the ensuing year relating to the administration and development of the Pennsylvania Breeding Fund Program. The Commission, on no more than a quarterly basis, shall reimburse from the fund the Pennsylvania Horse Breeders Association for those expenses actually incurred in the administration and development of the Pennsylvania Breeding Fund Program.

Subpart F Foreign Substances, Medications, Drugs and Equine Veterinary Practices

Chapter 401 Prohibited and Unlawful Practices—Temporary Regulations

7 Pa. Code § 401.1 Definitions.

The following words and terms, when used in this part, have the following meanings, unless the context clearly indicates otherwise: Administer or Administration—The introduction of a substance into the body of a horse. Bleeder—A horse which hemorrhages from the respiratory tract during a race or within 1 hour post-race, or during exercise or within 1 hour of the exercise or as specifically set forth in the Commission’s regulations. Bleeder List—A tabulation of bleeders to be maintained by the Commission. Commission Testing Laboratory—The officially accredited laboratory of the Commission designated as the primary laboratory for the detection, confirmation and reporting of primary sample findings. Controlled substance—A substance included in the five classification schedules of the Controlled Substance Act of 1970 (21 U.S.C.A. § § 801—971). Controlled therapeutic medication—A medication approved by the Commission or the Association of Racing Commissioners International (ARCI) for which the regulatory analyte concentration in the samples may not exceed specified regulatory limits approved and published by the Commission. Foreign substances—All prohibited substances except those which exist naturally in the untreated horse at normal physiological concentration. Furosemide—4-chloro-N-(2-furylmethyl)-5-sulfamoylanthranilic acid. Also known as Lasix. Horse—Either Thoroughbred or Standardbred horses registered for racing under the jurisdiction of the Commission and for the purposes of this chapter shall mean stallion, colt, gelding, ridgling, filly or mare. Hypodermic injection—An injection into or under the skin or mucosa, including intradermal injection, subcutaneous injection, submucosal injection, intramuscular injection, intravenous injection, intra-arterial injection, intra-articular injection, intra-bursal injection, intraocular (intra-conjunctival) injection. Overage—A finding certified by the Commission Testing Laboratory that a regulatory analyte from a controlled therapeutic medication is present in the sample in an amount that exceeds the regulatory limit or threshold level. Positive test—A determination by the Standardbred or Thoroughbred Bureau Directors based upon a finding by the Commission Testing Laboratory that a regulatory analyte from a prohibited substance is present in the sample in an amount that exceeds the regulatory limit. Practicing veterinarian—A private veterinary practitioner licensed by the Commission and authorized to practice at a licensed racetrack facility within this Commonwealth. Prohibited substance—Any substance, other than controlled therapeutic medication, or vaccine, equine antihelminthic, antibiotic, equine feed supplement, vitamins and minerals (collectively, ‘‘horse health and husbandry products’’), for which the regulatory analyte concentration in samples may not exceed specified regulatory limits published herein. Race day—The 24-hour period prior to the scheduled post time for the first race. Regulatory analyte—An analyte or substance identified and, where appropriate, quantified in a specified matrix for regulatory purposes. Regulatory limit or Threshold level—The concentration of a specified regulatory analyte that has been defined and published by the Racing Medication and Testing Consortium (RMTC) or ARCI and adopted by the Commission provided that exceeding the specified concentration is deemed either an overage or a positive test. Security area—The area surrounding the security stall delineated by the Commission and controlled by it. Security stall—The stall assigned by the Commission to a horse on the bleeder list, for occupancy as a prerequisite for receiving bleeder medication, sometimes called the detention stall. Split sample laboratory—A duly accredited facility approved by the Commission to test split samples. Test sample—A portion of a biological or bodily substance or fluid, including, but not limited to, tissue, hair, blood or urine obtained from a horse at the direction of the Commission for the purposes of determining the presence or concentration, or both, of regulatory analytes.

7 Pa. Code § 401.2 General provisions.

(a) The purpose of this chapter is to protect the integrity of horse racing, to ensure the health and welfare of the horse and to protect the interests of the betting public and racing participants through the prohibition, strict control and detection of drugs, medications, foreign substances to the untreated horse and the regulation of devices for the administration of those substances. In this context:

(1) A horse participating in a race may not carry in its body a prohibited drug, medication, chemical, substance or any other substance foreign to the untreated horse, except as otherwise provided.

(2) A person acting alone or in concert may not provide, administer, cause to be administered or allow to be administered to a horse, by any means or methods, a foreign substance, a prohibited drug, medication, chemical or other substance, including any restricted medication under this chapter during the 24-hour period prior to the scheduled post time for the race in which the horse is entered, except as otherwise provided.

(3) In addition to the Commission approved Prohibited Substances List and the provisions of Chapter 403 (relating to equine veterinary practices—temporary regulations), the term prohibited substance shall include:

(i) Drugs or medications for which no acceptable threshold concentration has been established;

(ii) Controlled therapeutic medications in excess of established threshold concentrations or administration within the restricted time period, if approved by the Commission, and set forth by the ARCI Controlled Therapeutic Medication Schedule and the Uniform Classification Guidelines of Foreign Substance;

(iii) Substances present in the horse in excess of concentrations at which the substances could occur naturally; and

(iv) Substances foreign to a horse at concentrations that may cause interference with testing procedures.

(b) No person may possess or use a drug, substance, chemical or medication on the premises of a licensed racetrack or other facility under the jurisdiction of the Commission that:

(1) A recognized analytical method has not been developed to detect and confirm the administration of the substance;

(2) Its use may endanger the health and welfare of the horse or endanger the safety of the rider or driver;

(3) Its use may adversely affect the integrity of racing;

(4) No generally-accepted use in equine care exists; or

(5) Has not been approved by the United States Food and Drug Administration (FDA) for use in the United States.

(c) Notwithstanding subsection (b), a person may have in his possession within a race track enclosure a medication or drug for that person’s own use if the person produces a proper and valid prescription. If the medication, drug or chemical substance is prohibited from being dispensed by Federal or State law without a prescription, that person shall possess documentary evidence that a valid prescription for the chemical substance has been issued to him. However, regardless of a valid prescription, a jockey, driver or trainer may not use or be under the influence of a medication, drug or other chemical substance while actively engaged in their respective activities. The possession of a medical marijuana card by a licensee shall not be a defense to the charge of violating the rules of racing for possession of a controlled substance for jockeys, drivers and trainers engaged in their respective occupational duties.

7 Pa. Code § 401.3 Restrictions; prima facie evidence.

(a) General Rule. A horse participating in a race may not carry in its body a prohibited drug, medication, chemical, substance or any other substance foreign to the natural horse, except as provided in § 401.4 (relating to substances of therapeutic value).

(b) The detection and confirmation by the Commission’s Testing Laboratory of a prohibited drug, medication, chemical, substance or any other foreign substance in a test sample of a horse shall be prima facie evidence that the prohibited drug, medication, chemical, substance or other foreign substance was administered to the horse and carried in the body of the horse while participating in a race. This finding shall also be taken as prima facie evidence that the trainer and the trainer’s agents responsible for the care, custody or control of the horse has been negligent in the handling or care of the horse.

(c) The determination by the Standardbred or Thoroughbred Bureau Directors, based upon a finding by the Commission Testing Laboratory of a foreign substance or an approved therapeutic substance above the established level in violation of this chapter, may be declared an overage or positive test and may result in the horse being disqualified from purse money or other awards, except for purposes of pari-mutuel wagering, which shall be in no way affected.

7 Pa. Code § 401.4 Substances of therapeutic value.

(a) A foreign substance of accepted therapeutic value may be administered as prescribed by a veterinarian when test levels and guidelines for its use have been established, adopted and published by the Commission, the RMTC Schedule of Therapeutic Medications, the ARCI, the USTA, or a similar Nationally recognized organization.

(1) The administration of Furosemide shall be permitted for the prophylactic treatment of a confirmed bleeder under the specific provisions set forth in § § 403.14 and 403.15 (relating to Furosemide (Lasix—Thoroughbred); and Furosemide (Lasix—Standardbred)).

This section cited in 7 Pa. Code § 401.3 (relating to restrictions; prima facie evidence).

7 Pa. Code § 401.5 Tubing, dosing or jugging prohibited.

The tubing, dosing or jugging of any horse for any reason within 24 hours prior to its scheduled race is prohibited unless administered for medical emergency purposes by a licensed veterinarian treating the horse. The licensed veterinarian shall comply with the reporting and treatment requirements set forth in these regulations. The horse shall immediately be scratched by the Judges or Stewards. The practice of administration of any substance by means of a naso-gastric tube or dose syringe into a horse’s stomach within 24 hours prior to its scheduled race is considered a violation of these rules and subject to disciplinary action, which may include fine, suspension and revocation of license.

7 Pa. Code § 401.6 Possession of illegal, prohibited substances and devices.

(a) The Commission, its investigative personnel, the Judges and Stewards or other Commission designee personnel shall have the right to enter buildings, stables, rooms or other places within the grounds of a licensed racetrack facility and to examine and inspect those locations and the personal property and effects of a person within these locations.

(b) A person granted a license by the Commission, by accepting his license, consents to the search and seizures of all contraband, including hypodermic syringes, hypodermic needles or other devices and drugs, stimulants or narcotics which could be, used in connection therewith, or appliances (electrical, mechanical or otherwise) other than ordinary racing equipment, of the nature that could affect the speed, performance or racing condition of a horse.

7 Pa. Code § 401.11 Pre-race blood gas testing—Standardbred.

(a) General Rule—The administration or use of alkalinizing agents or similar substances that elevate a horse’s Base Excess (BE) or TCO2 levels above those existing naturally in the untreated horse at normal physiological concentrations is prohibited. To assist in the detection of the prohibited substances in a horse entered to race, the Commission may conduct prerace blood sampling and pre-race testing with the use of an accepted, reliable testing instrument, including but not limited to a blood gas analyzer for measuring BE levels in blood samples.

(b) Unless otherwise permitted by these rules, no foreign substance shall be carried in the body of a horse when the horse is on the grounds of the licensed racetrack. It shall be a violation of this rule for a horse to test above the established BE levels on race day.

(c) The Board of Judges shall determine which horses will be selected for blood gas testing by random lots or by pre-determined selection based on previous elevated levels found in horses from a particular trainer or owner, probable cause or a trainer or owner’s conditional license status.

(1) All horses selected to be tested shall be brought to the designated area for the prerace testing before the horse’s first warm up. The order and number of horses which shall have blood drawn for prerace testing shall be randomly selected by lots by the Presiding Judge or the Judges’ designee.

(2) In accordance with the Commission’s regulations, it is presumed that a horse, when entered to race by an owner or trainer, shall be presented on race day in a sound and healthy condition. It is the sole responsibility of the owner, trainer or groom accompanying the horse to identify any health issues pertaining to the horse and immediately notify the Commission Veterinarian or other Commission personnel prior to the initiation of pre-race testing.

(3) Failure or refusal by a licensee to present a selected horse under his care, custody or control for blood gas analyzer testing, or who refuses in any other way, shall result in an automatic scratch of the horse from the racing program, and any other appropriate disciplinary action in the discretion of the Judges. The Commission Veterinarian shall document the name of the trainer or person who refuses to have blood drawn from the horse and shall file a report with the Commission.

(4) An owner, trainer or groom shall be permitted to observe the testing procedure but may not question, object or otherwise disrupt the testing by the blood gas technician or the Commission Veterinarian.

(d) The Commission shall adopt standard operating procedures documenting the calibration procedures for the blood gas analyzer, sampling procedures, initial testing and retesting procedures, methods used by personnel and positive test notification processes. The documentation related to these procedures shall be made a part of the Commission’s chain of custody documentation and shall be admitted into evidence any subsequent hearings without need for authentication or the presence of individuals preparing those documents.

(e) The Commission Veterinarian shall provide documentation reflecting the tattoo or name of the horse from which the blood was drawn, the date and time the blood was drawn, and any other identifying information the Commission deems necessary and appropriate. The Commission Veterinarian shall be responsible to verify that the blood samples for the specific horse in question were tested in accordance with the Commission’s procedures.

7 Pa. Code § 401.12 Initial testing procedures.

In accordance with the Commission’s procedures, the Commission Veterinarian shall draw a blood sample from the selected horse which shall be tested by the blood gas technician using a blood gas analyzer or similar machine. Should the initial testing indicate an elevated level of BE in the horse, a Commission representative will immediately notify the owner, trainer or groom present of the horse’s elevated levels. The horse’s initial high levels will be duly documented in the control sheet.

7 Pa. Code § 401.13 Retesting procedures.

(a) The Commission Veterinarian or designee shall take the rectal temperature of the horse who had elevated Base Excess (BE) levels. The horse’s temperature will be recorded on the Commission Veterinarian’s control sheet. The Commission Veterinarian shall extract a second blood sample from the horse.

(b) The horse’s second blood sample shall be tested three times utilizing the same procedures and blood gas analyzer machine as the horse’s initial blood sample. If the horse’s three retests still indicate a high BE level, it shall be considered a positive test and the following will occur:

(1) The Commission Veterinarian shall inform the owner, trainer or groom present of the positive test;

(2) The Commission’s investigator shall advise the Board of Judges of the BE positive test; and

(3) The Board of Judges will scratch the horse from the race.

(c) Should any of the three retests fall below the Commission’s established threshold, it shall be considered negative and the horse shall be permitted to race.

7 Pa. Code § 401.14 Base excess prohibited levels.

The prohibited Base Excess (BE) concentrations are as follows: BE level of 10.0 mmol/l (mEq/l) or higher for non-Furosemide (Lasix) treated horses and BE level of 12.0 mmol/l (mEq/l) or higher for Furosemide (Lasix) treated horses. The level of uncertainty will be included before it is considered a violation of these rules. The level of uncertainty is 0.4 mmol/l (mEq/l) and a positive test report must include this level of uncertainty. A horse must show a BE level of 10.4 mmol/l (mEq/l) or higher for a non-Furosemide (Lasix) treated horse and a BE level of 12.4 mmol/l (mEq/l) or higher for a Furosemide (Lasix) treated horse in order for a violation to be reported under this rule.

7 Pa. Code § 401.15 Alternate TCO2 protocol and levels.

(a) The Commission may establish an alternate protocol to determine the levels of total carbon dioxide (TCO2) in a horse using the same methods and procedures as the Base Excess testing, except that the horse’s second blood sample may be obtained, sealed and secured and stored in the same manner as post-racing samples. The second blood sample taken from a horse with a positive Base Excess may be forwarded to the Commission Testing Laboratory and subjected to post-race testing in accordance with the Commission’s regulations.

(b) Standardbred TCO2 levels: A blood serum or plasma TCO2 level shall not exceed 37.0 millimoles per liter in a non-Furosemide (non-Lasix) horse and not to exceed 39 mmol/L for a Furosemide (Lasix) horse.

7 Pa. Code § 401.16 Base excess penalties.

The Commission may establish and publish a list of penalties against an owner or trainer for positives tests of the Base Excess or TCO2 levels, if applicable, as previously set forth.

7 Pa. Code § 401.17 Total carbon dioxide testing for stakes races—Thoroughbred.

(a) For Thoroughbred stakes races or other races as directed by the Commission, the Commission may establish procedures and protocols for the testing, detection and confirmation of an alkalizing substance which could alter the blood serum, plasma pH or concentration of bicarbonates or carbon dioxide in a horse. The use of any foreign substance within 24 hours prior to post time of the race in which the horse is entered is strictly prohibited.

(b) The Commission may utilize either pre-race sampling or post-race sampling and post-race testing procedures of blood samples from a horse to determine the total carbon dioxide concentration in the blood serum or plasma of the horse.

(c) Thoroughbred TCO2 levels: A blood serum or plasma TCO2 level shall not exceed 37.0 millimoles per liter in a non-Furosemide (non-Lasix) horse and not to exceed 39 mmol/L for a Furosemide (Lasix) horse.

7 Pa. Code § 401.21 Refusal to submit to test.

No owner, trainer or any other person having the care, custody or control of a horse, whether entered in a race or not, whether the horse participated in the race or not, may refuse to produce a horse for testing, if requested by the Judges or Stewards during the race meeting. This refusal by the horse’s owner, trainer or other person having care, custody or control, shall be deemed a violation of these rules and subject the licensee to a penalty. The horse entered in the race shall be scratched by the Judges or Stewards.

7 Pa. Code § 401.22 Test barn.

(a) A licensed racing entity shall provide and at all times maintain in good condition a designated test barn on the racetrack grounds which shall be considered a secured location.

(b) The test barn shall be of an appropriate size and sufficient to accommodate the safe stabling of horses temporarily detained for the taking of biologic samples and shall be structurally designed and constructed to prevent entry by unauthorized persons.

(c) The test barn shall be deemed a restricted area and under the internal supervision and control of the Commission Veterinarian. No access to individuals other than Commission personnel shall be permitted without permission of the Commission Veterinarian.

(d) Notwithstanding subsection (c), the owner, trainer or the trainer’s representative, whose horse is in the test barn for sampling, may be present to witness the Commission’s sampling process. Those individuals shall properly display their current Commission identification/license badge, and clearly identify the horse they are accompanying. The Commission Veterinarian or the racetrack security may properly exclude any person or licensee that does not have a legitimate reason for being in the test barn area.

(e) The absence of the owner, trainer or trainer representative shall not invalidate the procedures followed in taking the sample, nor shall the absence be the grounds for objection to Commission action based on a laboratory report resulting from the test of a sample taken in the absence of the owner, trainer or their representative.

(f) Stable equipment other than that necessary for washing or cooling out a horse shall not be permitted in the test barn. Buckets and water shall be furnished by the Commission.

7 Pa. Code § 401.23 Reporting to the test barn.

(a) The official winning horse and any other horse which participated in the race, as determined by Judges, Stewards or the Commission shall be selected to have blood, urine or other biological samples taken in accordance with the guidelines and procedures established by the Commission.

(b) Random or for cause testing may be required by the Judges or Stewards or the Commission at any time based upon reasonable suspicion of unlawful or violative conduct.

(c) Unless otherwise directed by the Judges or Stewards or the Commission Veterinarian, a horse that is selected for testing must be taken directly to the test barn and shall remain there until released by the Commission Veterinarian.

7 Pa. Code § 401.24 Primary sample collection.

(a) The collection of blood, urine or other biological samples shall be done in accordance with the Commission’s established procedures or other National guidelines or procedures approved by the Commission. In every event, ‘‘primary’’ and ‘‘split’’ portions of a sample shall always be taken at the same time and shall be of the same substance.

(b) Any combination or sufficient quantity of blood, urine or other biological samples, as determined by the Commission Veterinarian or the Commission, may be used by the Commission testing laboratory for purposes of testing for prohibited substances under this chapter. The election by the Commission testing laboratory to use one form of biological sample shall not be a basis to challenge the detection and confirmation of a prohibited substance in the tested horse.

(c) The Commission shall approve and provide the urine containers, blood sample receptacles and all other materials, plastic bags, evidentiary security/evidence tape and equipment necessary to properly identify, seal, secure and store the samples from the selected horses.

(d) The samples taken from a horse by the Commission Veterinarian or the Commission’s test barn staff shall be collected in the appropriate number of containers and shall be designated as the primary and split samples. At least two blood samples for each horse shall be collected in sample receptacles approved by the Commission. These samples shall be sealed with tamper-proof tape and bear the specific identification tracking number associated with that horse and its samples.

(e) The Commission Veterinarian and testing barn staff shall create and properly maintain records of the sampling, evidentiary sealing and storing of the primary and split samples which shall be made a part of the Commission’s chain of custody documentation for administrative hearing purposes.

(f) Once collected, sealed and documented, all primary samples shall be placed into locked refrigerators designated for storage of biological samples under the supervision of the Commission Veterinarian or the Commission’s designee, to be safeguarded until the primary samples are packaged and shipped to the Commission testing laboratory for chemical analysis.

(g) At all times during the sampling, testing and administrative process, the Commission shall be considered the owner of the primary sample.

This section cited in 7 Pa. Code § 401.25 (relating to storage of split samples).

7 Pa. Code § 401.25 Storage of split samples.

(a) In accordance with § 401.24 (relating to primary sample collection) the blood, urine or other biological samples previously taken and designated as split samples shall be stored and maintained in a locked freezer in the test barn until an owner or trainer requests that the split samples be tested in accordance with the Commission’s procedures.

(b) The freezer for storage of split samples shall be opened only for depositing or removing split samples, review of inventory or for checking the condition of the split samples. A log shall be maintained by the Commission Veterinarian or the Commission investigators and an entry shall be made each time the split sample freezer is opened to indicate the following:

(1) Persons in attendance;

(2) The purpose for opening the freezer;

(3) Identification of split samples deposited or removed;

(4) The date and time the freezer was opened or when was closed;

(5) Verification that the lock was secured prior to and after opening of the freezer; and

(6) Evidence of a malfunction, if any, of the split sample freezer.

(d) If the results of the split sample testing do not substantially confirm the findings by the Commission testing laboratory of the primary sample, the Commission will not consider the sample to constitute a prima facie violation of this chapter and no penalty will be imposed.

(e) If the Standardbred or Thoroughbred Bureau Directors declare a positive test based upon the reported findings of the Commission testing laboratory, it shall be considered to be a prima facie violation of the applicable provisions of this chapter and written and dated notification of the positive test shall be made to the trainer of record for the tested horse. The trainer shall be solely responsible to notify the owner of the horse of the positive test.

(f) Within 48 hours after receiving written notification of the positive test, the owner or trainer of the horse in question may request that the split sample be tested. The Commission may provide a form for a request which must be signed and dated by the owner or trainer. Failure by either the owner or trainer to make a timely request within 48 hours of notice of the positive shall constitute a waiver of the right to have the split sample tested. The findings of the primary sample by the Commission testing laboratory shall be deemed conclusive at any subsequent hearing.

(g) Upon application by the trainer or owner of the horse in question, the split portion of the sample taken shall be tested by a duly accredited laboratory designated and approved by the Commission under the minimum standards set forth in § 401.29 (relating to split sample testing laboratory minimum standards).

(h) If the Commission is unable to secure the services of a specific laboratory with the proper accreditation or testing methods to test the split portion of a sample, the Commission will have the option of having the split sample retested at the laboratory which tested the original sample. The owner and trainer affected will be notified by the Commission.

(i) If an act of God, power failure, accident, strike or other action prevents a retest from being made which is beyond the control of the Commission, the results of the primary official test shall be accepted as prima facie evidence.

7 Pa. Code § 401.26 Packaging and shipping of split samples.

(a) The Commission or its investigative staff shall be responsible for the packaging and shipping of the split sample and shall coordinate the time and location for the packaging of the split sample at the test barn with the owner, trainer or representative. The owner or trainer requesting testing of a split sample shall be responsible for the cost of the testing, including the cost of shipping.

(b) Failure of the owner, trainer or a designee to appear at the time and place designated by the Commission representative in connection with packaging and shipping the split sample shall constitute a waiver of any right to challenge Commission’s procedures.

(c) Prior to opening the split sample freezer or refrigerator, the Commission’s representative shall provide the split sample verification form or split sample packaging form or any other similar form approved by the Commission. The forms shall be completed fully during the retrieval, packaging and shipment of the split sample and shall contain the following information:

(1) The date and time the sample is removed from the split sample freezer;

(2) The sample number;

(3) The address where the split sample is to be sent; and,

(4) A check from the owner or trainer made payable to the split sample laboratory with the appropriate testing fee.

(d) The Commission representative shall remove the split sample from the freezer and shall package it in accordance with the packaging procedures directed by the Commission. All necessary Commission chain of custody forms shall be signed by the owner, trainer or other representative, if present, and the Commission representative to confirm the proper packaging of the split sample for shipment. The exterior of the package shall be secured and sealed to prevent tampering with the package.

(e) The owner, trainer or representative, if present, may inspect the package containing the split sample immediately prior to transfer to the delivery carrier to verify that the package is intact and has not been tampered with.

(f) Prior to shipment of the split sample, the Commission’s representative shall confirm:

(1) That the split sample laboratory has agreed to provide the testing requested;

(2) That the split sample laboratory has agreed to send results to the Commission; and

(3) That arrangements for payment satisfactory to the split sample laboratory have been made.

7 Pa. Code § 401.27 Frozen samples.

(a) The Commission from time to time may direct the Commission Testing Laboratory to retain and preserve by freezing samples for future analysis or research purposes.

(b) After 1 year from the date of sampling, the Commission may grant permission, at the request of the Commission Testing Laboratory, to properly dispose of primary samples which were determined to contain no prohibited substances or in the case of samples which were determined as positive, after all administrative appeals have been exhausted.

(c) The distribution of purse money prior to the issuance of a final laboratory report shall not be considered a finding that no prohibited drug, medication, substance or metabolic derivative has been administered to a horse.

7 Pa. Code § 401.28 Commission Testing Laboratory minimum standards.

(a) The purpose of the Commission Testing Laboratory is to analyze biologic samples for the presence in race horses of any drugs, medications, foreign substances or other substances including permitted medications in excess of the maximum allowable levels and to reports those findings to the Standardbred and Thoroughbred Horse Racing Bureau Directors.

(b) The Commission Testing Laboratory shall at all times continue to meet and maintain the minimum competency standards as set forth by National and International accrediting bodies such as the American Association of Laboratory Accreditation (A2LA) and the RMTC or other similar accrediting bodies under the globally recognized ISO/IEC 17025 General Requirements for the Competence of Testing and Calibration Laboratories.

7 Pa. Code § 401.29 Split sample testing laboratory minimum standards.

(a) The designated split sample testing laboratory (Split Lab) conducting split post-race sample analysis must, at a minimum, demonstrate technical competence in the field of chemical testing and laboratory quality management be meeting similar accreditation standards and testing standards as the Commission Testing Laboratory.

(b) The Commission shall provide a list of approved split sample laboratories for use.

This section cited in 7 Pa. Code § 401.25 (relating to storage of split samples).

7 Pa. Code § 401.41 Determination of positive test results.

(a) If the Standardbred or Thoroughbred Bureau Directors declare a positive test based upon the reported findings of the Commission testing laboratory, and if applicable, the confirmation by the split sample laboratory, it shall be considered a possible violation of the provisions of this chapter. The Bureau Directors shall authorize and direct Commission investigators to immediately conduct an investigation of the matters relating to the positive finding. Medication and drug violations shall be investigated and reviewed on a case by case basis.

(b) The results of biological sample testing and analysis prepared by the Commission Testing Laboratory shall be deemed prima facie correct and all steps undertaken in the collection, preservation, handling and testing thereof shall be presumed correct in the absence of affirmative proof to the contrary.

(c) The Board of Judges or Board of Stewards shall thereafter schedule and conduct a hearing consistent with the provisions set forth in Chapter 179 (relating to Rules of Administrative Practice and Procedure—temporary regulations) of the Commission’s regulations to determine whether a violation of the Commission’s regulations has occurred. In addition to the penalty provisions contained in the act and the Commission’s regulations, the Judges and Stewards may consider the specific drug classification level of the violation and the appropriate penalty categories as set forth in the Uniform Classification Guidelines of Foreign Substances established by the ARCI and set forth in § § 401.42 and 401.43 (relating to uniform classification guidelines for foreign substances; and positive test penalty categories).

(d) Prior to issuing the medication violation ruling, the Judges and Stewards, may also consult with the Commission Veterinarian to determine if the violation was a result of the administration of a therapeutic medication as documented in a veterinarian’s Medication Report Form (treatment sheets) received under § 403.4 (relating to treatments sheets or veterinarian medication report forms) and may also consult with the Commission’s Testing Laboratory director to determine the seriousness of the laboratory finding or the medication violation penalties.

(e) For purposes of determining mitigating or aggravating circumstances, the Judges and Stewards may consider the following factors:

(1) The past record of the trainer, veterinarian and owner in drug cases;

(2) The potential of the drugs to influence a horse’s racing performance;

(3) The legal availability of the drug;

(4) Whether there is reason to believe the responsible party knew of the administration of the drug or intentionally administered the drug;

(5) The steps taken by the trainer to safeguard the horse;

(6) The probability of environmental contamination or inadvertent exposure due to human drug use;

(7) The purse of the race;

(8) Whether the drug found was one for which the horse was receiving a treatment as determined by the Medication Report Form;

(9) Whether there was any suspicious betting pattern in the race; and

(10) Whether the licensed trainer was acting on the advice of a licensed veterinarian.

(f) As a result of the investigation, the Judges or Stewards may determine that mitigating circumstances exist for which a lesser or no penalty is appropriate for the licensee or that aggravating factors exist, which may increase the penalty beyond the minimum.

(g) Whenever there is a positive result of a post-race test the purse may be redistributed.

7 Pa. Code § 401.42 Uniform classification guidelines for foreign substances.

The Commission adopts the following outline which describes the types of medications, drugs and substances placed in each classification. This list shall be publicly posted on the Commission’s web site, in the offices of the Commission Veterinarian and in the office of the racing secretary.

(1) Class 1:

Opiates, opium derivatives, synthetic opioids, psychoactive drugs, amphetamines, all United States Drug Enforcement Agency Schedule I drugs and many Schedule II drugs. Also found in this class are drugs that are potent stimulants of the central nervous system. Drugs in this class have no generally accepted medical use in the racing horse and their pharmacologic potential for altering the performance of a racing horse is very high.

(2) Class 2:

Drugs placed in this classification have a high potential for affecting the outcome of a race. Most are not generally accepted as therapeutic agents in the racing horse. Many are products intended to alter consciousness or the psychic state of humans and have no approved or indicated use in the horse. Some, such as injectable local anesthetics, have legitimate use in equine medicine, but should not be found in a racing horse. The following groups of drugs placed are in this class:

(i) Opiate partial agonists or agonist-antagonists;

(ii) Non-opiate psychotropic drugs. These drugs may have stimulant, depressant, analgesic or neuroleptic effects;

(iii) Miscellaneous drugs which might have a stimulant effect on the central nervous system (CNS);

(iv) Drugs with prominent CNS depressant action;

(v) Antidepressant and antipsychotic drugs, with or without prominent CNS stimulatory or depressant effects;

(vi) Muscle blocking drugs that have a direct neuromuscular blocking action;

(vii) Local anesthetics that have a reasonable potential for use as nerve blocking agents (except procaine); and

(viii) Snake venoms and other biologic substances, which may be used as nerve blocking agents.

(3) Class 3:

Drugs placed in this classification may or may not have an accepted therapeutic use in the horse. Many are drugs that affect the cardiovascular, pulmonary and autonomic nervous systems. They all have the potential of affecting the performance of a racing horse. The following groups of drugs are placed in this class:

(i) Drugs affecting the autonomic nervous system that do not have prominent CNS effects, but which do have prominent cardiovascular or respiratory system effects. Bronchodilators are included in this class;

(ii) A local anesthetic that has nerve blocking potential but also has a high potential for producing urine residue levels from a method of use not related to the anesthetic effect of the drug (procaine);

(iii) Miscellaneous drugs with mild sedative action, such as the sleep-inducing antihistamines;

(iv) Primary vasodilating/hypotensive agents;

(v) Potent diuretics affecting renal function and body fluid composition; and

(vi) Anabolic and/or androgenic steroids and other drugs.

(4) Class 4:

Drugs in this classification comprise primarily therapeutic medications routinely used in racing horses. These may influence performance, but generally have a more limited ability to do so. Groups of drugs assigned to this category include the following:

(i) Non-opiate drugs that have a mild central analgesic effect;

(ii) Drugs affecting the autonomic nervous system that do not have prominent CNS, cardiovascular or respiratory effects:

(A) Drugs used solely as topical vasoconstrictors or decongestants;

(B) Drugs used as gastrointestinal antispasmodics;

(D) Drugs with a major effect on CNS vasculature or smooth muscle of visceral organs;

(E) Antihistamines which do not have a significant CNS depressant effect (This does not include H1 blocking agents, which are listed in Class 5);

(iii) Antihistamines that do not have a significant CNS depressant effect. (This does not include H2 blocking agents, which are in Class 5).

(iv) Mineralocorticoid drugs;

(v) Skeletal muscle relaxants;

(vi) Anti-inflammatory drugs. These drugs may reduce pain as a consequence of their anti-inflammatory action.

(A) Non-Steroidal Anti-Inflammatory Drugs (NSAIDs);

(B) Corticosteroids (glucocorticoids); and

(vii) Less potent diuretics;

(viii) Cardiac glycosides and antiarrhythmic agents.

(A) Cardiac glycosides;

(B) Antiarrhythmic agents (exclusive of lidocaine, bretylium and propranolol); and

(ix) Topical Anesthetics—agents not available in injectable formulations;

(x) Antidiarrheal drugs;

(xi) Miscellaneous drugs.

(A) Expectorants with little or no other pharmacologic action;

(B) Stomachics; and

(5) Class 5:

Drugs in this classification are therapeutic medications for which concentration limits have been established by the racing jurisdictions as well as certain miscellaneous agents. Included specifically are agents that have very localized actions only, such as anti-ulcer drugs and certain antiallergenic drugs. The anticoagulant drugs are also included.

This section cited in 7 Pa. Code § 401.41 (relating to determination of positive test results).

7 Pa. Code § 401.43 Positive test penalty categories.

(a) To maintain consistency of drug medication penalties with surrounding racing jurisdictions, in accordance with section 9312(6) of the act (relating to additional powers of commission), the Commission shall adopt and publish in the Pennsylvania Bulletin the most recent version of the ‘‘Penalty Categories’’ set forth in the Uniform Classification Guidelines of Foreign Substances as established by ARCI. The penalty categories ‘‘A’’, ‘‘B’’, ‘‘C’’ and ‘‘D’’ and their related schedules for trainers and owners shall also contain provisions for the number of offenses committed which shall determine the level of penalty assessed.

(b) The Commission, Bureau Directors, Judges or the Stewards may use the penalty ‘‘categories’’ and medication guidelines schedule as a starting place in the penalty stage of the deliberations for a violation of the Commission’s medication and foreign substance rules.

(c) In issuing penalties against individuals found guilty of medication and drug violations, a regulatory distinction may be made between the detection of therapeutic medications used routinely to treat racehorses and those drugs that have no reason to be found at any concentration in the test sample on race day.

(d) If a licensed veterinarian is administering or prescribing a drug not listed in the ARCI Uniform Classification Guidelines for Foreign Substances, the identity of the drug shall be forwarded to the Commission Testing Laboratory for classification.

(e) A drug or metabolite thereof found to be present in a pre-race or post-race sample which is not classified in the most current ARCI Uniform Classification Guidelines for Foreign Substances shall be deemed Class 1 drug and the trainer and/or owner shall be subject to those penalties as set forth in schedule ‘‘A.’’

(f) The recommended penalty for a violation involving a drug that carries a Category ‘‘D’’ penalty is a written warning to the trainer and owner. Multiple violations may result in fines or suspensions, or both.

(g) A licensee of the Commission, including practicing veterinarians, found to be responsible for the improper or intentional administration of any drug resulting in a positive test may, after proper notice and hearing, be subject to the same penalties set forth for the licensed trainer.

This section cited in 7 Pa. Code § 401.41 (relating to determination of positive test results).

7 Pa. Code § 401.44 Criminal or administrative licensing referrals.

(a) In addition to any penalties issued by the Judges, Stewards or the Commission, a veterinarian found to be involved in the administration of any drug carrying the penalty category of ‘‘A’’ shall be referred to the State Board of Veterinary Medicine for consideration of further disciplinary action or license revocation.

(b) In accordance with the provisions of the act, a person believed to have committed acts in violation of Pennsylvania criminal statutes may be referred to the appropriate law enforcement agency. Administrative action taken by the Judges, Stewards or the Commission shall not prohibit a prosecution for criminal acts committed, nor shall a criminal prosecution preclude the administrative action by the Judges, Stewards or the Commission.

(c) Procedures shall be established to ensure that a licensed trainer is not able to benefit financially during the period for which the individual has been suspended. This shall include ensuring that horses are not transferred to licensed family members or employees of the suspended person.

7 Pa. Code § 401.45 Responsibility of a trainer.

As fully set forth in Chapters 205 and 305 (relating to rules of Standardbred racing—temporary regulations; and rules of Thoroughbred racing—temporary regulations), a trainer shall be responsible for the condition of the horses in the care, custody or control of the trainer regardless of the trainer’s physical location.

7 Pa. Code § 401.46 Control of horse, presumption of knowledge.

Whenever the chemical analysis test described in this chapter discloses the presence of a drug, stimulant, depressant or foreign substance or therapeutic medications above the established levels, it shall be presumed that the same was administered by the person having the care, custody or control of the horse and that the administering was done with the intent to affect the speed or condition of the horse and the result of the race in which it participated.

7 Pa. Code § 401.47 Persons found guilty of administration of drugs.

A person found guilty by the Commission of participation in or knowledge that a narcotic, stimulant or similar illegal drug has been administered to a horse shall be summarily ruled off from all tracks in this Commonwealth and upon notice and hearing, the occupational license may be revoked.

7 Pa. Code § 401.51 Multiple medication violation points.

(a) A trainer, who receives a penalty for a medication violation based upon a horse testing positive for a Class 1—5 medication with a Category A—C penalty, as provided in the most recent version of the ARCI Uniform Classification Guidelines for Foreign Substances, or similar state regulatory guidelines, shall be assigned additional multiple medication violation (MMV) enhanced points as follows:

1 Points for NSAID violations only apply when the primary threshold of the NSAID is exceeded. Points are not to be separately assigned for a stacking violation.

(1) If the Standardbred or Thoroughbred Horse Racing Bureau Directors, or Judges and Stewards determine that the violation is due to environmental contamination, they may assign lesser or no points against the trainer based upon the specific facts of the case.

(b) The points assigned to a medication violation ruling by the Judges or Stewards shall be included in the trainer’s Commission licensing records and forwarded to the ARCI official database or any other similar recordkeeping entity. MMV points shall be recorded consistent with subsection (a) including when appropriate, a designation that points have been suspended for the medication violation. Points assigned by the Judges’ or Stewards’ rulings shall reflect, in the case of multiple positive tests as described in subsection (d), whether they constitute a single violation. The Judges’ or Stewards’ rulings shall be posted on the Commission’s official web site and the official database of the ARCI or other record keeping entity.

(1) If an appeal is pending, that fact shall be noted in the ruling.

(2) No enhancement points shall be applied until a final adjudication of the enforcement of any violation.

(c) A trainer’s cumulative points for violations in all racing jurisdictions shall be maintained by the Commission, ARCI or other recordkeeping entities. Once all appeals are waived or exhausted, the points shall immediately become part of the trainer’s official Commission records, ARCI or other recordkeeping entity’s records and shall be considered by the Commission in its determination to subject the trainer to the mandatory enhanced penalties by the Judges or Stewards as provided in this regulation.

(d) Multiple positive tests for the same medication incurred by a trainer prior to delivery of official notice by the Commission may be treated as a single violation. In the case of a positive test indicating multiple substances found in a single post-race sample, the Judges or Stewards may treat each substance found as an individual violation for which points will be assigned, depending upon the facts and circumstances of the case.

(e) The official database shall be used to advise the Judges, Stewards or Commission of the trainer’s record of past violations and the cumulative MMV points. Nothing in this administrative regulation shall be construed to confer upon a licensed trainer the right to appeal a violation for which all remedies have been exhausted or for which the appeal time has expired as provided by applicable law.

(f) The Judges or Stewards shall consider all points for violations in all racing jurisdictions as contained in the trainer’s official record when determining whether the mandatory enhancements provided in this regulation shall be imposed.

7 Pa. Code § 401.52 Enhancement points.

(a) In addition to the penalty for the underlying offense, the following enhancements shall be imposed upon a licensed trainer based upon the cumulative points contained in his/her official ARCI record:

(b) MMV penalties are not a substitute for the current penalty system and are intended to be an additional uniform penalty when the licensee:

(i) Has had more than one medication violation for the relevant time period; and

(ii) Exceeds the permissible number of points.

(c) The Stewards and Commission shall consider aggravating and mitigating circumstances, including the trainer’s prior record for medication violations, when determining the appropriate penalty for the underlying offense. The MMV point system is intended to be a separate and additional penalty for a pattern of violations.

(d) The suspension periods as provided in subsection (a) shall run consecutively to any suspension imposed by the Judges or Stewards for the underlying offense.

(e) The Judges’ or Stewards’ ruling shall distinguish between the penalty for the underlying offense and any enhancement penalty based upon the Judges’ or Stewards’ review of the trainer’s cumulative points and regulatory record, which may be considered an aggravating factor in a case.

7 Pa. Code § 401.53 Expiration of points.

(a) Points shall expire as follows:

(b) In the case of a medication violation that results in a suspension, any points assessed expire on the anniversary date of the date the suspension is completed.

7 Pa. Code § 401.61 Possession of hypodermic needles, syringes and injectable substances.

No person, except a Commission Veterinarian, racetrack veterinarian or veterinarian licensed by the Commission, may possess or use a hypodermic needle, hypodermic syringe capable of accepting a needle and injectable substances of any kind, type or description on the licensed racetrack grounds, in that person’s custody, control or possession. If a person has a medical condition which makes it necessary to have a syringe while on the grounds of a racetrack, that person must request permission of the Judges or Stewards in writing, furnish a letter form a licensed physician explaining the necessity of the syringe and must comply with any conditions or restrictions set by the Judges or Stewards. Violations of this rule will subject the violator to a fine, suspension or both.

7 Pa. Code § 401.62 Mistreatment of horses.

A licensee or other person under the jurisdiction of the Commission may not alone or in concert with another person permit an animal under his control to be subjected to a form of cruelty, mistreatment, neglect or abuse or abandon, or to injure, maim or kill or administer a noxious or harmful substance to or deprive an animal of necessary care, sustenance, shelter or veterinary care.

Chapter 403 Equine Veterinary Practices—Temporary Regulations

7 Pa. Code § 403.1 General purpose.

To expressly set forth the professional duties, ethical obligations and procedures to be used by licensed equine veterinarians to ensure the health, safety and welfare of racehorses and to properly safeguard the integrity of racing, the interests of the general public and the participants in racing. In addition to the licensing requirements under Chapter 185 (relating to occupational licenses—temporary regulations) and § § 303.71—303.73 (relating to practicing veterinarians) of the Commission’s regulations, practicing veterinarians shall comply with the following provisions and requirements of this chapter and with their professional duties and ethical obligations under their veterinary license.

7 Pa. Code § 403.2 Role of practicing veterinarians.

(a) Veterinarians licensed by the Commission and practicing at any licensed racing facility under the jurisdiction of the Commission are under the authority of the Commission Veterinarian and the Board of Judges or Board of Stewards at that facility or other location.

(b) The following limitations apply to drug treatments of horses that are engaged in racing activities, including training, related to competing in pari-mutuel racing in this Commonwealth:

(1) No drug or other substance may be administered except in the context of a valid veterinarian-client-patient relationship between the attending veterinarian, the horse owner (who may be represented by the trainer or other agent) and the horse.

(2) The owner is not required by this subdivision to follow the veterinarian’s instructions, but no drug may be administered without a veterinarian having examined the horse and provided the treatment recommendation. This relationship requires the following:

(i) The veterinarian, with the consent of the owner, has accepted responsibility for making medical judgments about the health of the horse;

(ii) The veterinarian has sufficient knowledge of the horse to make a preliminary diagnosis of the medical condition of the horse;

(iii) The veterinarian has performed an examination of the horse and is acquainted with the keeping and care of the horse;

(iv) The veterinarian is available to evaluate and oversee treatment outcomes, or has made appropriate arrangements for continuing care and treatment;

(v) The relationship is maintained by veterinary visits as needed;

(vi) The veterinarian’s judgment is independent and not dictated by the trainer or owner of the horse; and,

(vii) The veterinarian maintains appropriate, substantial and pertinent records reflecting the treatment of the horses as previously set forth.

(c) No prescription drug or medication may be administered except as prescribed by an attending veterinarian and who shall provide copies of the prescriptions or orders to the Commission at all reasonable times.

(d) The trainer and veterinarian are both equally responsible to ensure compliance with these limitations on drug treatments of horses, except the medical judgment to recommend a drug treatment or to prescribe a drug is the responsibility of the veterinarian and the decision to proceed with a drug treatment that has been so recommended is the responsibility of the horse owner (who may be represented by the trainer or other agent).

7 Pa. Code § 403.3 Treatment restrictions.

(a) Only licensed owners or trainers shall be permitted to authorize veterinary medical treatment of horses under the veterinarian’s care, custody and control at a racetrack, licensed facility or other location under the jurisdiction of the commission.

(b) Except as otherwise provided by this subsection, no person other than a veterinarian licensed to practice veterinary medicine in this jurisdiction and licensed by the Commission may administer a prescription or controlled medication, drug, chemical or other substance (including any medication, drug, chemical or other substance by injection) to a horse at any racetrack, facility or other location under the jurisdiction of the Commission.

(c) This subsection does not apply to the administration of the following substances except in approved quantitative levels, if any, present in post-race samples or as they may interfere with post-race testing:

(1) A recognized non-injectable nutritional supplement or other substance approved by the official veterinarian;

(2) A non-injectable substance on the direction or by prescription of a licensed veterinarian; or

(3) A non-injectable non-prescription medication or substance.

(d) No person, other than a veterinarian licensed by the Commission, shall use, transport or be in the care, control, custody or constructive possession of a hypodermic needle, syringe capable of accepting a needle or injectable substances of any kind on the licensed racetrack or grounds. The discovery of a hypodermic needle, syringe or injectable substance in shared locations such as tack rooms, lockers, stalls or stables shall be sufficient grounds for imposition of penalty on all licensees who use or control the previously listed locations. At all licensed racetracks or other locations under the jurisdiction of the Commission, veterinarians may use only a one-time (one-use) disposable syringe and needle and shall properly dispose of both into an appropriate container provided by the licensed racing entity or in a manner approved by the Commission.

(1) Except that, if a person has a medical condition which makes it necessary to have a syringe at any location under the jurisdiction of the Commission, that person must furnish a letter from a licensed physician explaining the need for the person to possess a syringe and must comply with any conditions and restrictions set by the Judges or Stewards or the Commission.

(e) Practicing veterinarians shall not have contact with an entered horse within 24 hours before the scheduled post time of the race in which the horse is scheduled to compete except for the administration of Furosemide under the guidelines set forth in § 403.14 (relating to Furosemide (Lasix—Thoroughbred)) unless approved by the Commission Veterinarian. Any unauthorized contact may result in the horse being scratched from the race in which it was scheduled to compete and may result in further disciplinary action by the Stewards.

7 Pa. Code § 403.4 Treatment sheets or veterinarian medication report forms.

(a) Every veterinarian who treats a racehorse at any racetrack or other location under the jurisdiction of the Commission shall maintain an accurate and complete written log of treatment activities on a Medication Report Form or Treatment Sheet and report the treatment to the Commission office, the Stewards or Judges at the racetrack where the horse is entered to run or as otherwise specified by the Commission. The Treatment Sheet shall contain the following:

(1) The name of the horse treated;

(2) List of all medications, drugs, substances, or procedures administered or prescribed to the horse;

(3) The name of the trainer of the horse;

(4) The date and time of treatment;

(5) Indicate the route of administration on all meds and specific amounts administered; must list all oral medications left with trainers and indicate the horse’s need for these oral medications;

(6) For all intra-articular injections, identify the exact location, body part, limb or joint on the horse of the injection and specific dosage amounts;

(7) Indicate whether the horse is entered to run; and

(8) Any other information that may be requested by the Commission veterinarian.

(b) The Medication Report Form or Treatment Sheet shall be signed and attested to by the practicing veterinarian under the penalties of 18 Pa.C.S. § 4904 (relating to unsworn falsification to authorities), and may subject the practicing veterinarian to other administrative penalties as set forth in subsections (c)—(e).

(c) The Medication Report Form or Treatment Sheet must be filed by the treating veterinarian with the Commission office within 24 hours after treatment. The report/treatment sheet shall be deemed confidential and its contents shall not be disclosed to others, except:

(1) To the horse’s owner or trainer of record at the time of treatment;

(2) To the Commission, or its designees in the course and scope of an investigation or in an administrative proceeding before the Stewards/Judges or the Commission; or

(3) To law enforcement officials conducting a criminal investigation relating to the treatment of horses.

(d) Failure of any practicing veterinarian to adhere to the previously listed provisions or to properly and timely provide the Medication Reports or Treatment Sheets to the Commission or its designee shall subject the practicing veterinarian to all applicable penalties, including fines or suspensions, as set forth in the act and the Commission’s regulations.

(e) In addition to the above administrative penalties, the Commission, in its sole discretion, may refer any violation of subsections (a)—(d) by a licensed practicing veterinarian to the State Board of Veterinary Medicine or to criminal law enforcement entities for any action they may deem necessary and appropriate.

This section cited in 7 Pa. Code § 401.41 (relating to determination of positive test results).

7 Pa. Code § 403.5 Prohibited substances and methods.

(a) The substances and methods listed in the Commission’s Prohibited Substances List in § 403.9 (relating to prohibited substances list) may not be used at any place or time and may not be possessed on the premises of a licensed racetrack, licensed facility or other location under the jurisdiction of the Commission, except as a restricted therapeutic use. As the Prohibited Substances List is amended, the Commission shall publish the most recent version of the list in the Pennsylvania Bulletin and on its web site.

(b) Restricted Therapeutic Use. A limited number of medications on the Prohibited Substance List shall be exempted when the administration occurs in compliance with the Required Conditions for Restricted Therapeutic Use chart set forth in § 403.11 (relating to restricted therapeutic use requirements chart):

(1) Report When Sampled means the administration of the substance must be reported to the Commission when the horse is next sampled, if the horse is sampled within 24 hours after the administration;

(2) Pre-File Treatment Plan means a treatment plan for the substance which must be filed by the time of administration in a manner approved by the Commission;

(3) Written Approval from Commission means the Commission has granted written approval of a written treatment plan before the administration of the substance;

(4) Emergency Use (report) means the substance had to be administered due to an acute emergency involving the life or health of the horse, provided the emergency use is reported to the Commission as soon as practicable after the treatment occurs;

(5) Prescribed by Veterinarian means the substance has been prescribed by an attending veterinarian, in compliance with this chapter and recorded in the veterinary records in the manner required by the Commission;

(6) Report Treatment means the treatment must be reported to the Commission by the trainer at the time of administration to provide the Commission with information for the Veterinarian’s List. The trainer may delegate this responsibility to the treating veterinarian, who shall make the report to the Commission when so designated; and

(7) Other Limitations means additional requirements that apply, such as a substance may be used in only fillies or mares or a horse that is administered a substance shall be reported immediately to the Commission and placed on the Veterinarian’s List for a specific minimum period of time.

7 Pa. Code § 403.6 Blood doping substances or agents prohibited.

(a) The possession or use, or both, of the following substances or of blood doping agents, including but not limited to those listed as follows, on the racetrack premises or other facility under the jurisdiction of the Commission is expressly forbidden:

(1) Aminoimidazole carboxamide ribonucleotide (AICAR);

(2) Darbepoetin;

(3) Equine Growth Hormone;

(4) Erythropoietin;

(5) Hemopure®;

(6) Myo-Inositol Trispyprophosphate (ITPP);

(7) Oxyglobin®;

(8) Thymosin beta;

(9) Venoms or derivatives thereof; and

(10) Thymosin beta.

(b) No person shall at any time administer any other doping agent to a horse, except under a valid therapeutic, evidence-based treatment plan.

(c) Other doping agent means a substance that is not listed in the Commission’s Prohibited Substances List, has a pharmacologic potential to materially alter the performance of a horse, has no generally accepted medical use in the horse when treated, and is:

(1) Capable at any time of causing an action or effect, or both, within one or more of the blood, cardiovascular, digestive, endocrine, immune, musculoskeletal, nervous, reproductive, respiratory or urinary mammalian body systems; including but not limited to endocrine secretions and their synthetic counterparts, masking agents, oxygen carriers and agents that directly or indirectly affect or manipulate gene expression; but

(2) Not a substance that is considered to have no effect on the physiology of a horse except to improve nutrition or treat or prevent infections or parasite infestations.

(d) The Commission may from time to time publish advisory warnings in the Pennsylvania Bulletin that certain substances or administrations may constitute a violation of this rule.

(e) Therapeutic, evidence-based treatment plan means a planned course of treatment written and prescribed by an attending veterinarian before the horse is treated that:

(1) Describes the medical need of the horse for the treatment, the evidence-based scientific or clinical justification for using the doping agent, and a determination that recognized therapeutic alternates do not exist; and

(2) Complies with this chapter, meets the standards of veterinary practice within this Commonwealth and is developed in good faith to treat a medical need of the horse.

(f) These plans shall not authorize the possession of a doping agent or substance on the premises of a licensed racetrack or other racing facility under the jurisdiction of the Commission.

7 Pa. Code § 403.7 Extracorporeal shock wave therapy or radial pulse wave therapy.

(a) The use of Extracorporeal Shock Wave Therapy or Radial Pulse Wave Therapy (‘‘shock wave therapy’’) or other acoustic wave high energy, high amplitude devices, therapies, treatments or similar mechanisms, devices or treatments shall not be permitted unless the following conditions are satisfied:

(1) Only licensed veterinarians are permitted to use the prereferenced types of Extracorporeal shock wave devices or perform therapies and treatments on a horse as previously defined;

(2) Only licensed veterinarians are permitted to possess or use any instrument used to administer or deliver shock wave therapy on the licensed racetrack grounds or other facility under the jurisdiction of the Commission;

(3) All shock wave therapy machines or devises, whether in operating condition or not, must be registered with and approved by the Commission or its designee before the machine is brought to or possessed on any racetrack or other facility under the jurisdiction of the Commission;

(4) All shock wave therapy machines must be reported and registered within 24 hours prior to treatment on the prescribed form to the Commission veterinarian.

(5) All shock wave therapy machines must be used at a previously-disclosed location that is approved by the Commission. Commission investigative staff shall be granted access to any location housing a registered shock wave therapy machine of any type.

(b) Shock wave therapy cannot be administered to any horse entered in a race. If a horse is entered, shock wave therapy cannot be administered until that horse has been scratched from the race. If shock wave therapy is administered to a horse entered in a race, but which has not been scratched, both the trainer and veterinarian shall be in violation of this section.

(c) Any horse treated with shock wave therapy shall, within 24 hours of the treatment, be placed on the Veterinarian’s List and added to a list of ineligible horses. This list shall be kept in the race secretary’s office and accessible to the jockeys, drivers, trainers or their agents during normal business hours and be made available to other regulatory jurisdictions.

(d) No horse treated with shock wave therapy shall be permitted to qualify, breeze or race for a minimum of 10 days following treatment with the day one beginning on the day the therapy was administered.

(e) Within 24 hours of administering shock wave therapy, the treating veterinarian shall submit a written report/treatment sheet detailing the treatment information and horse and trainer’s name to the Commission Veterinarian.

(f) Any owner, trainer, veterinarian or other person who performs, participates in the use, treatment or administration of shock wave therapy or who is in the possession or control of an unregistered shock wave therapy machine in violation of this section shall be considered to have committed a violation of the rules of racing and is subject to the penalties and fines set forth in section 9325 (relating to power of commission to impose fines) of the act, the applicable penalty matrix as adopted and published by the Commission or under the ARCI Class A Penalty provisions.

(1) Penalties assessed against an owner, trainer, veterinarian or other person for violation of this section shall be individually assessed against each violator.

(2) A person directing another to violate this section shall be subject to the same penalties as the offender.

7 Pa. Code § 403.8 Nasogastric tube.

The use of a nasogastric tube (a tube longer than 6 inches) for the administration of any substance within 24 hours prior to the post time of the race in which the horse is entered is prohibited, unless performed by a licensed practicing veterinarian and properly logged in a medical report/treatment sheet in accordance with this chapter.

7 Pa. Code § 403.9 Prohibited substances list.

(a) All substances in the following categories of drugs shall be strictly prohibited, unless otherwise exempted by the Commission in accordance with the provisions of this chapter: non-approved substances; anabolic agents/steroids; growth hormones; hormone and metabolic modulators; diuretics and other masking agents. The Prohibited Substance List is a comprehensive list of those prohibited substances. Since the Prohibited Substance List, as established by the ARCI is subject to frequent review, amendment or modification, the Commission shall annually notify the regulated community and publish the Prohibited Substance List in the Pennsylvania Bulletin and on its web site.

(b) In accordance with section 9312(6) (relating to additional powers of commission) of the act, the Commission is authorized to adopt National standards relating to prohibited substances, uniform drug thresholds or penalties, which includes the Prohibited Substance List, as established or amended by other racing jurisdictions or commission-recognized National regulatory racing organizations, such as ARCI or the USTA.

This section cited in 7 Pa. Code § 403.5 (relating to prohibited substances and methods).

7 Pa. Code § 403.10 Prohibited manipulation of blood and blood components.

(a) The following conduct or manipulation is expressly prohibited:

(1) The administration or reintroduction of any quantity of autologous, allogenic (homologous) or heterologous blood or red blood cell products of any origin into the circulatory system.

(2) Artificially enhancing the uptake, transport or delivery of oxygen, including, but not limited to, perfluorochemicals, efaproxiral (RSR13) and modified hemoglobin products (for example hemoglobin-based blood substitutes, microencapsulated hemoglobin products), excluding supplemental oxygen.

(3) Any form of intravascular manipulation of the blood or blood components by physical or chemical means.

(b) The chemical and physical manipulation, tampering or attempt to tamper, to alter the integrity and validity of samples collected by the Commission, is prohibited. These methods include but are not limited to urine substitution or adulteration (for example, proteases).

(c) Gene doping or any similar conduct with the potential to enhance the horse’s performance, is prohibited, including the transfer of polymers of nucleic acids or nucleic acid analogues or the use of normal or genetically modified hematopoietic cells.

7 Pa. Code § 403.11 Restricted therapeutic use requirements chart.

(a) The Commission hereby adopts the ARCI Restricted Therapeutic Use Requirements Chart (Chart) which is intended to provide the treating veterinarian with specific conditions and approvals for the therapeutic use of what are normally restricted or prohibited substances. The Chart identifies the particular prohibited substance and whether the veterinarian must prefile the treatment plan with the Commission and which substances require written approval from the Commission. The Chart provides for instances of emergency use of prohibited substances as prescribed by the treating veterinarian.

(b) In accordance with section 9312(6) (relating to additional powers of commission) of the act, the Commission is authorized to adopt National standards relating to prohibited substances, uniform drug thresholds or penalties, which includes the Chart, as established or amended by other racing jurisdictions or Commission-recognized National regulatory racing organizations, such as ARCI or the USTA. The Commission shall provide notice to the regulated community and publish the Chart in the Pennsylvania Bulletin and on the Commission’s web site.

This section cited in 7 Pa. Code § 403.5 (relating to prohibited substances and methods).

7 Pa. Code § 403.12 Medical labeling.

(a) While on racetrack grounds and facilities, no person shall have or be in possession of a drug, medication, chemical, foreign substance or other substance that is prohibited in a horse on a race day, unless the product is labeled in accordance with this subsection. Possession shall be deemed to include any location in and upon the racetrack grounds which that person occupies or has the right to occupy or is in that person’s personal property or effects or in any vehicle in that person’s care, custody or control.

(b) All allowable medications must have a prescription label which is securely attached to the medication container and clearly ascribed to show the following:

(1) Name, address and telephone number of the pharmacy or veterinarian dispensing the medication;

(2) Prescription number when dispensed by a pharmacy if required by law;

(3) Date prescription filled;

(4) Name of the prescribing veterinarian;

(5) Name of the horse for whom the medication is prescribed or dispensed;

(6) Name of the trainer or owner of the horse for whom the product was dispensed;

(7) Dose, dosage, route of administration, and duration of treatment of the prescribed product (instructions for use);

(8) Name, active ingredient, quantity prescribed, expiration date (if applicable), beyond use date (if applicable), and lot number (if applicable); and

(9) Cautionary statements (if any), and if applicable, withdrawal time.

(d) Any medication that has a label that is missing, illegible, tampered with or altered, or in any other way does not comply with this section shall be considered a violation of these rules.

(e) A licensee who voluntarily surrenders any non-compliant medication shall not be considered to be in violation of the medication rules described in this section. A surrender shall not be deemed voluntary after a licensee has been advised or it is apparent that an investigatory search has begun.

(f) Licensed practicing veterinarians shall be exempt from this section.

This section cited in 7 Pa. Code § 403.18 (relating to compounded medications on racetrack grounds).

7 Pa. Code § 403.13 Non-steroidal anti-inflammatory drugs.

The use of Non-Steroidal Anti-Inflammatory drugs (NSAID) shall be governed by the following conditions:

(a) NSAIDs included in the Commission’s annually approved Controlled Therapeutic Medication List are not to be used in a manner inconsistent with the restrictions contained therein. NSAIDs not included on the Commission’s Controlled Therapeutic Medication List are not to be present in a racing horse biological test sample at the laboratory concentration of detection.

(b) The presence of more than one NSAID may constitute a NSAID stacking violation consistent with the following restrictions:

(1) A Class 1 NSAID Stacking Violation (Penalty Class B) occurs when:

(i) Two Non-Steroidal Anti-Inflammatory drugs are found at individual levels determined to exceed the following restrictions:

(a) Diclofenac—5 nanograms per milliliter of plasma or serum;

(b) Firocoxib—20 nanograms per milliliter of plasma or serum;

(d) Ketoprofen—2 nanograms per milliliter of plasma or serum;

(e) Phenylbutazone—2 micrograms per milliliter of plasma or serum; or

(f) All other Non-Steroidal Anti-Inflammatory drugs—laboratory concentration of detection.

(ii) Three or more Non-Steroidal Anti-Inflammatory drugs are found at individual levels determined to exceed the following restrictions:

(a) Diclofenac—5 nanograms per milliliter of plasma or serum;

(b) Firocoxib—20 nanograms per milliliter of plasma or serum;

(d) Ketoprofen—1 nanograms per milliliter of plasma or serum;

(e) Phenylbutazone—0.3 micrograms per milliliter of plasma or serum; or

(f) All other Non-Steroidal Anti-Inflammatory drugs—laboratory concentration of detection.

(2) A Class 2 NSAID Stacking Violation (Penalty Class C) occurs when:

(i) Any one substance noted in subsection (b)(1) is found in excess of the restrictions contained therein in combination with any one of the following substances at levels below the restrictions so noted but in excess of the following levels:

(a) Flunixin—3 nanograms per milliliter of plasma or serum;

(b) Ketoprofen—1 nanogram per milliliter of plasma or serum; or

(3) A Class 3 NSAID Stacking Violation (Penalty Class C, fines only) occurs when:

(i) Any combination of two of the following Non-Steroidal Anti-Inflammatory drugs are found at or below the restrictions in subsection (b)(1)(i), but in excess of the noted restrictions:

(a) Flunixin—3 nanograms per milliliter of plasma or serum;

(b) Ketoprofen—1 nanogram per milliliter of plasma or serum; or

(c) Any horse to which a NSAID has been administered shall be subject to having a blood or urine samples, or both, taken at the direction of the Commission Veterinarian to determine the quantitative NSAID levels or the presence of other drugs, or both, which may be present in the blood or urine samples.

7 Pa. Code § 403.14 Furosemide (Lasix—Thoroughbred).

(a) The Commission recognizes that the diuretic Furosemide (Lasix) is helpful in the management of Exercise Induced Pulmonary Hemorrhage (EIPH). In regulating the race-day use of Furosemide (Lasix), the Commission has placed strict controls on the dose, route and time the medication is administered. All of these measures are designed to provide a thorough regulation of Furosemide (Lasix) and prevent the misuse of the drug.

(b) A horse is eligible to race with Furosemide (Lasix) if at least one of the following occurs:

(1) The horse is on the Commission’s Furosemide (Lasix) list and has complied with the provisions of subsection (c);

(2) The horse is on the Commission’s Bleeder List and has complied with the provisions of subsection (d);

(3) The trainer provides the Commission Veterinarian or the designee with evidence that the horse in on the Furosemide (Lasix) list or the Bleeder List in another jurisdiction. Acceptable evidence shall be a Furosemide or bleeder certificate approved by that jurisdiction’s official veterinarian.

(4) The trainer provides the Commission Veterinarian or the designee with evidence that the horse has been running consistently, up to the last start, with Furosemide (Lasix) in other racing jurisdictions as shown on official past performance records from Equibase or Racing Form.

(c) Furosemide (Lasix) list—Furosemide (Lasix) shall be administered to a horse that is entered to race only after the Commission Veterinarian has placed the horse on the Furosemide (Lasix) list. To be placed on the Furosemide (Lasix) list the following process shall be followed:

(1) After the horse’s licensed trainer and licensed veterinarian determine that it would be in the horse’s best interests to race with Furosemide, the trainer or licensed veterinarian shall notify the Commission Veterinarian or designee using the prescribed form, requesting that the horse be placed on the Furosemide (Lasix) list.

(2) The form must be received by the official veterinarian or his/her designee by the proper time deadlines to ensure public notification.

(3) A horse placed on the official Furosemide (Lasix) list must remain on that list unless the licensed trainer and licensed veterinarian submit a written request to remove the horse from the list. The request must be made to the Commission Veterinarian or designee, on the proper form, no later than the time of entry.

(4) After a horse has been removed from the Furosemide (Lasix) list, the horse may not be placed back on the list for a period of 60 calendar days unless it is determined to be detrimental to the welfare of the horse, in consultation with the official veterinarian. If a horse is removed from the official Furosemide (Lasix) list a second time in a 365-day period, the horse may not be placed back on the list for a period of 90 calendar days.

(d) Bleeder List—To obtain approval for the administration of Furosemide (Lasix), the horse shall be placed on a bleeder list which shall be maintained by the Commission Veterinarian. An up-to-date Bleeder List shall be maintained and posted in the racing secretary’s office by the Commission. Only the following horses shall be placed on the Bleeder List:

(1) External evidence of exercised induced pulmonary hemorrhage from one or both nostrils during or after a race or workout, as observed by a Commission’s Veterinarian;

(2) Internal evidence of exercised induced pulmonary hemorrhage by means of endoscopy reported by a licensed practicing veterinarian on a Commission approved form.

(3) A confirmed bleeder, regardless of age, shall be placed on the Bleeder List and be ineligible to race for the following time periods:

(i) First incident—14 days;

(ii) Second incident within 365-day period—30 days;

(iii) Third incident within 365-day period—180 days;

(iv) Fourth incident within 365-day period—barred for racing lifetime.

(4) Once a horse is place on the bleeder list, it must continue to race with Furosemide (Lasix) unless the removal from the list is approved by the Commission Veterinarian. The horse may be removed from the bleeder list upon written request of the trainer, if the horse’s performance is negatively affected by the use of Furosemide (Lasix) or if the horse has an adverse physiological reaction to Furosemide (Lasix).

(i) Prior to removal, the horse must perform a workout, without bleeding, to the satisfaction of the Commission Veterinarian. The Commission Veterinarian may witness an endoscopic examination of the horse to confirm that the horse has not bled.

(ii) Once removed from the bleeder list, a Thoroughbred horse shall be ineligible to participate in a race for a minimum of 30 days. Prior to starting in a race, a horse must participate without Furosemide (Lasix) in official workout without bleeding, to the satisfaction of the Commission Veterinarian.

(e) Furosemide (Lasix) shall be the only authorized bleeder medication and shall only be administered on the licensed racetrack grounds.

(1) The use of Furosemide (Lasix) shall be permitted under the following circumstances on association grounds where a detention barn is utilized:

(i) Furosemide (Lasix) shall be administered by the official veterinarian, the racing veterinarian or a properly appointed designee no less than 4 hours prior to post time for the race for which the horse is entered;

(ii) Any veterinarian participating in the administration process must be prohibited from working as private veterinarians on the race track or with participating licensees;

(iii) A horse qualified for Furosemide (Lasix) administration must be brought to the detention barn within time to comply with the 4-hour administration requirement.

(iv) The dose administered shall not exceed 500 mg. nor be less than 150 mg.

(v) Furosemide (Lasix) shall be administered by a single, intravenous injection.

(2) After treatment, the horse shall be required by the Commission to remain in the detention barn in the care, custody and control of its trainer or the trainer’s designated representative under association or Commission security supervision, or both, until called to the saddling paddock.

(3) The use of Furosemide (Lasix) shall be permitted under the following circumstances on association grounds where a detention barn is not utilized:

(i) Furosemide (Lasix) shall be administered by the official veterinarian, the racing veterinarian or his/her designee no less than 4 hours prior to post time for the race for which the horse is entered.

(ii) Any veterinarian participating in the administration process must be prohibited from working as private veterinarians or technicians on the race track on or with participating licensees;

(iii) The Furosemide (Lasix) dosage administered shall not exceed 500 mg., nor be less than 150 mg.

(iv) Furosemide (Lasix) shall be administered by a single, intravenous injection.

(v) After treatment, the horse shall be required by the Commission to remain in the proximity of its stall in the care, custody and control of its trainer or the trainer’s designated representative under general association and/or Commission security surveillance until called to the saddling paddock.

(f) In the event a horse listed on the Furosemide (Lasix) list races without Furosemide (Lasix), the horse shall be disqualified and any purse money earned by the horse redistributed. The Stewards may impose a fine, suspension, or both, upon the trainer or veterinarian.

(g) Test results must show a detectable concentration of the drug in the post-race serum, plasma or urine sample.

(1) The specific gravity of post-race urine samples may be measured to ensure that samples are sufficiently concentrated for proper chemical analysis. The specific gravity shall not be below 1.010. If the specific gravity of the urine is found to be below 1.010 or if a urine sample is unavailable for testing, quantitation of Furosemide in serum or plasma shall be performed;

(2) Quantitation of Furosemide (Lasix) in serum or plasma shall be performed when the specific gravity of the corresponding urine sample is not measured or if measured below 1.010. Concentrations may not exceed 100 nanograms of Furosemide (Lasix) per milliliter of serum or plasma.

(h) The practicing veterinarian shall be responsible for administering the proper Furosemide (Lasix) medication and dose at the proper time to the proper horse and providing the Commission or its staff, upon request, with any necessary documentation related to the horses under the veterinarian’s care relating to Furosemide (Lasix).

This section cited in 7 Pa. Code § 401.4 (relating to substances of therapeutic value); and 7 Pa. Code § 403.3 (relating to treatment restrictions).

7 Pa. Code § 403.15 Furosemide (Lasix—Standardbred).

(a) The Commission recognizes that the diuretic Furosemide (Lasix) is helpful in the management of Exercise Induced Pulmonary Hemorrhage (EIPH) in the Standardbred horse. Accordingly, 2-year-old harness horses or older shall be eligible for bleeder medication as set forth below. In regulating the race-day use of Furosemide (Lasix), the Commission has placed strict controls on the dose, route and time the medication is administered. All of these measures are designed to provide a thorough regulation of Furosemide (Lasix) and prevent the misuse of the drug.

(b) A horse is eligible to race with Furosemide (Lasix) if at least one of the following occurs:

(1) The horse is on the Commission’s bleeder’s list and the Judge’s list in accordance with the following provisions;

(2) The trainer provides the Commission Veterinarian or the designee with evidence that the horse in on the Furosemide (Lasix) list or the bleeder list in another jurisdiction. Acceptable evidence shall be a Furosemide (Lasix) or bleeder certificate approved by that jurisdiction’s official veterinarian.

(3) The trainer provides the Commission Veterinarian or the designee with evidence that the horse has been running consistently, up to the last start, with Furosemide (Lasix) in other racing jurisdictions as shown on official past performance records from the USTA, Equibase or the Racing Form.

(1) Blood visualized or noted in one of the nostrils (no endoscopic exam required), if:

(i) During a race or qualifier;

(ii) Immediate post-race or post exercise on track;

(iii) Post-race or post exercise in paddock or stable area, or both, within a reasonable time;

(iv) After training at a horse facility and confirmed by a licensed veterinarian within this Commonwealth.

(2) Endoscopic examination may be requested by the owner or trainer who believes his or her horse is a bleeder. The endoscopic examination must be done by a licensed veterinarian within this Commonwealth and at the owner’s/trainer’s expense. This examination shall take place within a reasonable length of time at:

(i) Post race in paddock.

(ii) Post training exercise in paddock.

(iii) Post training at a horse facility.

(d) Any owner or trainer that intends to race a horse within the Furosemide (Lasix) Program (Program) is required to submit the proper certificate completed by a licensed veterinarian within this Commonwealth no later than the time of entry to the Judges. This information shall be entered into the USTA database.

(e) Once a horse is certified as a ‘‘bleeder’’ that horse may not race for a period of 6 days beginning the day after the examination was performed.

(f) Test results must show a detectable concentration of the drug in the post-race serum, plasma or urine sample or it will be considered a positive.

(g) Once on the Program the horse must stay on the Program for a minimum on 45 days within this Commonwealth.

(h) If after the 45 days the owner/trainer want to remove said horse from the Program, a licensed veterinarian, must perform an endoscopic examination after a qualifying race to confirm no evidence of bleeding and a blood sample must be pulled and tested to confirm Furosemide (Lasix) was not administered. The owner/trainer must then submit the proper forms to the Judges prior to entry to remove the said horse from the Program.

(i) If a horse bleeds through regardless of Furosemide (Lasix) administration, then the horse shall be placed on the Judges’ List:

(1) First time 30 days;

(2) Second time 60 days;

(3) Third time barred for life.

(j) Out-of-State entries. At the time of entry of a horse, it is the sole responsibility of the horse’s owner/trainer to provide the racing secretary, the Judges and Commission Veterinarian with the horse’s bleeder medication status on the entry form, including the first time bleeder certificate when coming from out of this Commonwealth.

(k) Furosemide (Lasix) shall be administered by a licensed veterinarian under the supervision of the Commission representative no less than 2cc’s (100mg) nor more than 10cc’s (500mg). Horses must arrive in the paddock no less than 4 hours prior to their scheduled post time to receive their Furosemide (Lasix) medication. A 30-minute grace period will be granted but the trainer may be subject to a fine. No horse shall receive Furosemide (Lasix) medication after the 30-minute grace period.

(l) All associations shall provide a secure retention facility for the administration of the Program. The trainer, or his/her authorized representative with a valid license, shall remain with the horse from the time of its arrival in the retention facility until the horse is removed after receiving Furosemide (Lasix) or scratched. During the horse’s time in the retention facility the trainer or authorized person shall provide assistance when required by the licensed veterinarian who is administering the Furosemide (Lasix) medication.

(m) Late for Furosemide (Lasix): Trainers not presenting horses who are on the Program within the required time frame shall be subject to a fine of $250 and having their horse scratched from the race.

(n) Test results must show a detectable concentration of the drug in the post-race serum, plasma or urine sample.

(o) The practicing veterinarian shall be responsible for administering the proper Furosemide (Lasix) medication and dose at the proper time to the proper horse and providing the Commission or its staff, upon request, with any necessary documentation related to the horses under the veterinarian’s care relating to Furosemide (Lasix).

This section cited in 7 Pa. Code § 401.4 (relating to substances of therapeutic value).

7 Pa. Code § 403.16 Environmental contaminants and substances of human use.

(a) Environmental contaminants are either endogenous to the horse or can arise from plants traditionally grazed or harvested as equine feed or are present in equine feed because of contamination during the cultivation, processing, treatment, storage or transportation phases.

(b) Substances of human use and addiction may be found in the horse due to its close association with humans.

(c) If probative and substantial evidence is presented to the Bureau Directors prior to a hearing or presented to the Judges or Stewards during a hearing which indicates that a positive test may have been a result of environmental contamination, including inadvertent exposure due to human drug use, or dietary intake, or is endogenous to the horse, those factors may be considered in mitigation of any disciplinary action taken against the affected trainer.

7 Pa. Code § 403.17 Androgenic-anabolic steroid (AAS).

(a) As set forth in the Commission’s regulations, no Androgenic-anabolic steroid (AAS) shall be permitted in test samples collected from racing horses except for endogenous concentrations of the naturally occurring substances boldenone, nandrolone and testosterone at concentrations less than the approved thresholds.

(b) Concentrations of these AAS shall not exceed the following free (that is, not conjugated) steroid concentrations in plasma or serum:

(1) Boldenone—A confirmatory threshold not greater than 25 picograms/milliliter for all horses, regardless of sex;

(2) Nandrolone—A confirmatory threshold not greater than 25 picograms/milliliter for fillies, mares and geldings; male horses other than geldings shall be tested for Nandrolone in urine;

(3) Testosterone—A confirmatory threshold not greater than 100 picograms/milliliter for fillies, mares and gelding.

(c) Total concentrations of these AAS shall not exceed the following total concentrations in urine after hydrolysis of conjugates:

(1) Boldenone—A confirmatory threshold not greater than 1 nanogram/milliliter for fillies, mares and geldings; a confirmatory threshold not greater than 15 nanograms/milliliter in male horses other than geldings;

(2) Nandrolone—A confirmatory threshold not greater than 1 nanogram/milliliter for fillies, mares and geldings; a confirmatory threshold not greater than 45 nanograms/milliliter (as 5-estrane-3ß,17-diol) of urine in male horses other than geldings;

(3) Testosterone—A confirmatory threshold of not greater than 55 nanograms/milliliter of urine in fillies and mares (unless in foal); a confirmatory threshold of not less than 20 nanograms/milliliter in geldings.

(d) All other AAS are expressly prohibited in racing horses.

(e) The sex of the horse must be identified to the Commission’s testing laboratory on all pre-race and post-race samples designated for anabolic steroid testing.

(f) If an anabolic steroid has been administered to a horse to assist in its recovery from illness or injury, that horse shall be placed on the Veterinarian’s List to monitor the concentration of the drug or metabolite in urine or blood. After the concentration has fallen below the designated threshold for the administrated AAS, the horse shall be eligible to be removed from the list.

7 Pa. Code § 403.18 Compounded medications on racetrack grounds.

(a) The possession or use of any drug, substance, or medication on the licensed racetrack grounds which has not been approved by the appropriate Federal agency (for example, the United States Food and Drug Administration) for use in humans or animals is forbidden without prior approval from the Commission or its designee.

(b) It is a violation of this regulation to possess, use, or distribute a compounded medication on licensed racetrack grounds if there is an FDA approved equivalent of that substance available for purchase. A difference in available formulations or concentrations does not alleviate the need to use FDA approved products.

(c) It is a violation of this regulation to possess, use or distribute a compounded medication on licensed racetrack grounds made from bulk substances, if an FDA approved equivalent is available for purchase.

(d) Combining two or more substances with pharmacologic effect constitutes the development of a new drug and is prohibited. This may only be done in accordance with state and local laws and must contain FDA approved medications, if available.

(e) Compounded veterinary drugs. Veterinary drugs shall be compounded in accordance with all applicable state and Federal laws. Compounded medication shall be dispensed only by prescription issued by a licensed veterinarian to meet the medical needs of a specific horse and for use only in that specific horse.

(f) All compounded medications must be labeled in accordance with § 403.12 (relating to medical labeling).

(g) Possession of an improperly labeled product by any person on the licensed racetrack grounds is considered a violation of this section and may subject the person to a penalty.

Chapter 405 Out-of-Competition Testing Program—Temporary Regulations

7 Pa. Code § 405.1 General purpose.

The purpose of this chapter is to ensure the health, safety and welfare of racehorses and to properly safeguard the integrity of racing, the interests of the general public and the participants in racing by testing racehorses for performance enhancing substances that may not otherwise be detected with post-race testing and to deter the illegal use of these substances.

7 Pa. Code § 405.2 Out-of-competition testing authorization.

(a) Under the statutory authority set forth in act, the Commission may, at any reasonable time, on any reasonable date draw blood, urine or other biologic samples as authorized by Commission rules from a horse to enhance the ability of the Commission to enforce its medication and anti-doping rules. All these samples shall be the property of the Commission.

(b) This rule authorizes only the collection and testing of samples and does not independently make impermissible the administration to or presence in any horse of any drug or other substance.

(c) A race day prohibition or restriction of a substance by a Commission rule is not applicable to an out-of-competition test unless there is an attempt to race the horse in a manner that violates this rule.

7 Pa. Code § 405.3 Horses eligible to be tested.

(a) Any horse that has engaged in racing activities, including training and competing in horse racing in this Commonwealth is eligible to be selected for random testing, as set forth below. This shall include, without limitation, any horse which is located, stabled or trained outside of this Commonwealth in preparation to participate in racing within this Commonwealth.

(b) A horse is presumed eligible for out-of-competition testing if:

(1) It is on the grounds of a racetrack or horse facility within this Commonwealth. If the trainer of record or a designee of the selected horse is not available, the trainer will be given 24 hours to produce the specified horses at the designated racetrack or location for samples to be taken.

(2) It is under the care or control of a trainer licensed by the Commission;

(3) It is owned by an individual owner or ownership group or partnership duly licensed by the Commission;

(4) It is entered or nominated to race at a racetrack or other facility licensed by the Commission;

(5) It has raced within the previous 12 months at a racetrack or other facility licensed by the Commission; or

(6) It is nominated to a program based on racing in this jurisdiction, including a Thoroughbred breeder’s award race, or Standardbred sire stakes race.

(c) The presumption of eligibility to be tested, as previously set forth, is conclusive in the absence of evidence that the horse is not engaged in racing activities relating to competing in horse racing within this Commonwealth.

This section cited in 7 Pa. Code § 405.9 (relating to penalties for non-cooperation or positive tests).

7 Pa. Code § 405.4 Selection of horses to be tested.

Horses shall be selected for random sampling by the breed specific Bureau Director, or a designee of the Bureau Director. Selection of horses to be sampled and tested may be based upon any of the following:

(1) Reasonable suspicion or probable cause based upon gathered intelligence or investigation;

(2) The seizure of illegal medication, drugs or paraphernalia in the custody, control or possession of the horse’s owner, trainer or groom;

(3) An enumerated ‘‘condition’’ of licensure;

(4) Past medication or drug violations;

(5) Documented changes in the horses performances; or

(6) Horses entered in Stakes Races in Pennsylvania.

7 Pa. Code § 405.5 General procedures for collecting samples.

(a) Upon request, the Commission Veterinarian, Commission investigators and any other person designated to take samples for the Commission shall provide proper identification and disclose the purpose of the sampling to the owner, trainer or designated attendant of the horse.

(b) All samples shall be collected by and under the supervision and direction of a Commission Veterinarian or other persons duly employed or designated by the Commission. Samples taken outside of this Commonwealth may be taken by a regulatory veterinarian employed by the racing jurisdiction of the state where the sample is collected, or by a veterinary technician who is acting under appropriate supervision of the regulatory veterinarian.

(c) The Commission need not provide advanced notice before arriving at any racing facility or other location, whether or not licensed by the Commission, to collect samples.

(d) Upon request by a representative of the Commission, the trainer, owner or their specified designee shall immediately provide information regarding the exact location of their horses which are eligible for out-of-competition testing.

(e) If a representative of the Commission has previously sought and received permission from a managing owner of a facility at which a selected horse is located, no trainer or other custodian of a selected horse may refuse or decline the sampling of the selected horse. The Commission may attempt but is not required to contact the managing owner of the facility again to secure the immediate sampling of the selected horse.

(f) The trainer, owner, or their specified designee shall cooperate fully with the Commission’s representative collecting the out-of-competition samples for the Commission. Full cooperation by the trainer, owner, or specified designee shall include:

(1) Assisting in the immediate location and identification of the horses;

(2) Making the horse available as soon as practical upon arrival of the person who is responsible for collecting the samples;

(3) Providing a stall or other safe location to collect the samples;

(4) Assisting the person who is collecting samples in properly procuring the samples; and

(5) Witnessing the taking of samples including sealing of sample collection containers.

(g) The management and employees of a licensed racetrack or horse facility at which a horse may be located shall cooperate fully with the Commission representative who is authorized to take samples. The person who collects samples for the Commission may require that the collection be done at a specified location on the premises.

(h) The Commission, in its sole discretion, and upon request, may permit the trainer, owner, or their specified designee to present a selected horse, which is located in this Commonwealth ia, but not at a licensed racetrack or horse facility licensed by the Commission, to be sampled at an alternate time and location designated by the Commission.

This section cited in 7 Pa. Code § 405.8 (relating to cooperation with the Commission).

7 Pa. Code § 405.6 Procedures for collecting samples from horses located outside the jurisdiction.

The Commission may arrange for the sampling of an out-of-state horse by requesting that the selected horse be brought to a designated racetrack or other location in this Commonwealth within 24 hours of the request. Failure to abide by this request will result in a scratch of the selected horse and the horse being placed on the Stewards’ or Judges’ list for 90 days and may further subject the owner, trainer or other specified designee of record to a penalty under § 405.9(a) (relating to penalties for non-cooperation or positive tests).

7 Pa. Code § 405.7 Analysis and use of collected samples.

(a) The Commission may have out-of-competition samples tested to produce information which may enhance or assist the ability of the Commission to enforce its existing racing medication and anti-doping regulations.

(b) Existing post-race split sample rules and procedures shall apply to out-of-competition testing, except that the split sample shall be retained at the licensed racetrack.

7 Pa. Code § 405.8 Cooperation with the Commission.

(a) Licensees of the Commission are required to cooperate and comply fully with the provisions of this chapter as set forth more specifically in § 405.5(f) (relating to general procedures for collecting samples).

(b) Any duly licensed person, including an owner, trainer or groom shall be deemed to have given specific permission and consent for Commission representatives to collect out-of-competition samples from their horses regardless of the horse’s physical location, whether stabled on the grounds or shipped into a licensed racetrack. Licensees shall take any steps necessary to authorize access by Commission representatives into the premises.

7 Pa. Code § 405.9 Penalties for non-cooperation or positive tests.

(a) Failure or refusal to make a horse available for sampling or other intentionally deceptive acts or interference during the sampling process shall carry a minimum penalty of a 180-day suspension, plus a $5,000 fine and referral to the Commission for other action deemed appropriate. In addition to the foregoing, a horse entered in to race, but not sampled due to the licensee’s non-cooperation, may also be scratched.

(b) A selected horse, which is not made available for out-of-competition sampling, shall be placed on the Steward’s or Judge’s list and shall remain on the list for a minimum of 90 days and must test negative per the out-of-competition testing requirements before it may be removed from the list.

(c) A selected horse, which is presumed eligible for out-of-competition testing, as set forth in § 405.3(c) (relating to horses eligible to be tested), shall be placed on the Steward’s or Judge’s list and shall be ineligible to race in this Commonwealth for 180 days if the owner, trainer or their designee fails to provide evidence that the horse is not engaged in racing activities related to competing in racing within this Commonwealth. This restriction shall not apply if the trainer, owner or their designee permits the immediate collection of the samples from the horse.

(d) A trainer with a positive test for Anabolic Steroids shall be fined $5,000 and suspended for a period of 180 days. In addition, trainer shall also forfeit any purse money earned.

(e) A trainer with a positive test for blood doping agents shall be $10,000 and suspended for a period of 2 years. In addition, trainer shall also forfeit any purse money earned.

(f) All horses that test positive for Anabolic Steroids or blood doping agents shall be placed on the Steward’s or Judges’ List for a minimum of 90 days. A horse must provide a negative test sample to be removed from the Steward’s or Judge’s list.

This section cited in 7 Pa. Code § 405.6 (relating to procedures for collecting samples from horses located outside the jurisdiction).

Chapter 407 Physical Inspection of Horses—Temporary Regulations

7 Pa. Code § 407.1 Assessment of racing soundness and condition.

(a) Every horse entered to participate in an official race shall be subjected to a veterinary inspection prior to starting in the race for which it is entered. The inspection shall be conducted by the Commission Veterinarian or the Commission Veterinarian’s designee at a location determined by the Commission or the Commission Veterinarian.

(b) The trainer of each horse or a representative of the trainer must present the horse for inspection as required by the examining veterinarian. Horses presented for examination must have bandages removed and the legs must be clean. Prior to examination horses shall not be placed in ice nor shall any device or substance be applied to the horse which may impede veterinary clinical assessment.

(1) Proper identification of each horse inspected;

(2) Observation of each horse in motion;

(3) Manual palpation and passive flexion of both forelimbs;

(4) Visual inspection of the entire horse and assessment of overall condition;

(5) Clinical observation in the paddock and saddling area, during the parade to post and at the starting gate, during the running of the race, and following the race until the horse has exited the race track; and

(6) Any other inspection deemed necessary by the Commission veterinarian and the Commission Veterinarian designee.

(d) The Commission Veterinarian and the Commission Veterinarian designee shall maintain a permanent continuing health and racing soundness record of each horse inspected. This record shall be provided to the Commission upon request. If the record contains confidential or personal identification information, that information may be redacted prior to public review.

(e) The Commission or the Commission Veterinarian designee shall be are authorized access to any and all horses housed or present at the licensed racetrack facility and grounds regardless of the horse’s entry status.

(f) If, prior to starting, a horse is determined to be unfit for competition, or if the Commission Veterinarian is unable to make a determination of racing soundness, the Commission Veterinarian will recommend to the Stewards the horse be scratched. Horses scratched upon the recommendation of the Commission Veterinarian shall be placed on the Veterinarian’s List.

7 Pa. Code § 407.2 Veterinarian’s List.

(a) As set forth in § 305.203 (relating to Veterinarian’s List) of the Commission’s regulations, the Commission Veterinarian shall maintain the Veterinarian’s List of all horses which are determined to be unfit to compete in a race due to illness, unsoundness, injury, infirmity, heat exhaustion, positive test or overage, administration of a medication invoking a mandatory stand down time, administration of shock wave therapy or any other assessment or determination by the Commission Veterinarian that the horse is unfit to race.

(b) Horses so listed are ineligible to start in a race in any jurisdiction until released by the Commission Veterinarian, except when there is an unforeseen administrative issue in releasing the horse from the Veterinarian’s List of another racing jurisdiction.

(c) A horse placed on the Veterinarian’s List for being unfit to compete in a race due to illness, physical distress, unsoundness, injury, infirmity, heat exhaustion, or any other assessment of determination by the Commission Veterinarian may be removed from the Veterinarian’s List when in the opinion of the Commission Veterinarian, the condition which resulted in the horse’s placement on the list is resolved and the horse’s status is returned to racing soundness.

(d) Horses participating in a qualifying race or working to be released from the Veterinarian’s List are to be subjected to a post-exercise biologic sample collection for laboratory confirmation of compliance at the expense of the current owner.

(e) Horses having generated a positive drug finding on a biological sample collected under the Commission’s regulations shall not be released from the Veterinarian’s List until it generates a negative test.

7 Pa. Code § 407.3 Postmortem examination and necropsy.

(a) A horse that dies or is euthanized, whether in training or in competition, while present on the licensed racetrack facility under the jurisdiction of the Commission, shall undergo a postmortem examination (necropsy) at a laboratory approved by the Commission to determine, where possible, the injury or sickness which resulted in euthanasia or natural death. Within 24 hours of the horse’s death or euthanization, the Commission Veterinarian shall notify the Director of the respective bureau in writing.

(b) A horse that dies or is euthanized while present on the licensed racetrack facility, but not during training or competition, may undergo a necropsy at the discretion of the Commission Veterinarian based upon available information at the time.

(c) The Commission Veterinarian, in coordination with the racetrack veterinarian, the racing secretary and the owner or trainer of the horse, shall take physical possession of the horse upon its death for postmortem examination. All shoes and equipment on the horse’s legs shall be left on the horse.

(d) The Commission Veterinarian or the racetrack veterinarian shall collect blood, urine, bodily fluids, or other biologic specimens immediately, if possible before euthanization. The Commission may submit the blood, urine, bodily fluids, or other biologic specimens collected from the horse to its testing laboratory for toxicological analysis. The presence of a prohibited substance in a specimen collected from the horse may constitute a violation. The collection of the biologic samples post-euthanization shall not invalidate the findings by the testing laboratory of a prohibited substance.

(e) To maintain control of the evidentiary chain of custody, the necropsy report of the deceased horse or other documentary findings and results shall remain in the Commission’s sole control and possession. All licensees shall be required to comply with postmortem examination requirements as a condition of licensure.

(f) The Commission may direct that an investigation be conducted based upon the results of the necropsy or the testing laboratory findings. These investigatory documents and findings are not deemed public records for purposes of the act of February 14, 2008 (P.L. 6, No. 3), known as the Right-to-Know Law (65 P.S. § § 67.101—67.3104).

7 Pa. Code § 407.4 General purpose.

(a) While there are attendant risks associated with live Standardbred and Thoroughbred racing, the Commission fully understands that the fatality of any racing horse represents a tragic loss for the horse owners, trainers and caretakers and can impact the health and safety of jockeys and drivers as well. The Commission’s top priority is to protect the welfare of the human and equine athlete and reduce equine fatalities within this Commonwealth by establishing a Horse Mortality Review Board (Mortality Board). The Commission believes that meetings of the Mortality Boards should be educational in nature but should emphasize everyone’s collective responsibility to protect the safety and welfare of the participating horse, drivers and jockeys.

(b) To that end, the objective of each Mortality Board shall be to conduct a methodical review of information which is intended to identify practical and relevant intervention procedures, protocols and recommendations designed to potentially reduce the occurrence of racing fatalities.

7 Pa. Code § 407.5 Creation of Horse Mortality Review Board.

(a) In addition to the licensing provisions of Chapter 181 (relating to licensed racing entities—temporary regulations), the Commission hereby directs that each Thoroughbred and Standardbred licensed racing entity within this Commonwealth shall create a Horse Mortality Review Board (Mortality Board) to be located at each racetrack facility to be approved by the Commission.

(b) Each Mortality Board shall include, at least, the following individuals:

(1) Racetrack Vice-President, General Manager or similar level management person (Chair);

(2) A Commission Steward or Judge of the applicable racetrack;

(3) A Commission Veterinarian;

(4) A representative of the applicable horsemen’s organization;

(5) A jockey or driver representative;

(6) Trainer and assistant trainer (if applicable) of the fatally-injured horse;

(7) Attending veterinarian of the fatally-injured horse;

(8) Racetrack superintendent; and

(9) Any other individual deemed necessary and appropriate by the Mortality Board.

(c) The goal of the Mortality Board shall be to gather information regarding the catastrophic event and to have an open communication between all the previously listed individuals regarding issues which may have led to the incident and to ultimately arrive, if possible, at conclusions and recommendations to the appropriate entity or person, in particular and where possible to the general racing industry.

7 Pa. Code § 407.6 Meeting procedures.

(a) The Horse Mortality Review Board (Mortality Board) shall meet to discuss and interview individuals related to each catastrophic horse injury occurring at that racetrack facility. If no catastrophic injury has occurred, then the Mortality Board shall meet at least quarterly throughout the year.

(b) Either shortly prior to or during the Mortality Board meeting, the following documents, information or procedures, or both, shall be reviewed:

(1) The video of race, if applicable;

(2) The attending or treating veterinarian’s records for the fatally-injured horse for a 30-day period prior to the horse’s catastrophic injury;

(3) The past performance records to determine the horse’s exercise history warranted increased pre-race scrutiny;

(4) The Incompass or E-Track, or similar racing database records to determine whether the horse had previously been on a Steward’s or Veterinarian’s List;

(5) The pre-race examination findings;

(6) Risk factors that may apply to the fatally injured horse;

(7) The Death Certificate and the Commission Investigative Report and Necropsy Report, if available;

(8) Any findings or results of blood or urine tests conducted by the Commission’s Testing Laboratory;

(9) The trainer’s and veterinarian’s treatment log/sheets.

7 Pa. Code § 407.7 Standardized questions.

The Commission, in conjunction with the approved and established Horse Mortality Review Board (Mortality Board), shall develop a set of standardized questions to assist in identify factors which might predispose a horse to suffer catastrophic injuries. The standardized questions may be amended from time to time by the Mortality Board with the approval of the Commission.

7 Pa. Code § 407.8 Report and recommendations.

At the conclusion of each Horse Mortality Review Board (Mortality Board) meeting regarding a catastrophic horse injury, the Mortality Board shall prepare a report with conclusions and recommendations regarding the incident and shall provide a copy to all individuals on the Mortality Board and the Commission’s Bureau Directors.