New York Codes, Rules and Regulations (NYCRR)
Title 9 Part 4012
Executive Department
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9 NYCRR 4012.1 - Possession of hypodermic equipment and controlled substances
A matched Register action is not later than the compiled-text reference date.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Jul 15, 2022
- Related Register notice
- SGC-40-20-00001-A · Adopted rule
- Related notice published
- Feb 10, 2021
- Related notice effective date
- Feb 10, 2021
(a)No person other than a commission veterinarian, track veterinarian, a practicing veterinarian licensed by the commission, or a veterinary technician who is licensed by the commission and acting with commission approval at the direction and under the supervision of a licensed veterinarian who is on the same premises, is permitted to have or possess in or upon the premises of a licensed or franchised race track, including premises that the person occupies or has a right to occupy, or is permitted to have or possess in his or her personal property or effects upon such premises, the following:
(1)any equipment that may be used for hypodermic injection or other infusion into a horse or any vial, bottle or cartridge designed and usable for such purposes; or
(2)any controlled substance, listed in schedules I through IV of section 812 of title 21 of the United States Code (Food and Drugs) or any drug that has not been approved for use in the horse by the Federal Food and Drug Administration. Not included in this prohibition are liniments, antiseptics, ointments, leg paints, washes and other products commonly used in the daily care of horses.
(b)Subdivision (a) of this section shall not apply to any person who may have in his or her possession a controlled substance or hypodermic syringe for which he or she has obtained prior written permission from the stewards to possess and use for his or her own personal health pursuant to prescription of a physician.
(c)All bottles and other containers kept in or about any tack room or elsewhere on the premises of a racing association shall bear a label stating plainly the contents thereof, including the name of each active ingredient; provided, however, that this section shall not apply if each container bears either a veterinarian's label or a regular prescription label with a pharmacist's name and address, prescription number and the name of the prescribing veterinarian.
(d)Each track is required to use all reasonable efforts to prevent and detect violations of this section. Each track, the commission and the stewards or their designees shall have the right to enter into or upon the buildings, stables, rooms, motor vehicles or other places within the grounds of such track to examine the same and to inspect and examine the personal property and effects of any person within such places; and every person who has been granted a license by the commission, by accepting such license, does consent to such search, including a personal search, and to the seizure of any drugs or hypodermic syringes, hypodermic needles or other devices; and if the commission shall find that any person has refused to permit any such search or seizure, it may impose such punishment as may be appropriate.
(e)A report shall be made to the Bureau of Narcotics of the Department of the Treasury of the United States of all cases in which it is reported to the commission that narcotics or other controlled substances have been detected in a specimen from any horse. If any veterinarian or physician has been involved in any such case, a similar report shall be made to the New York State Education Department.
9 NYCRR 4012.2 - Drug detection facilities
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Jul 15, 2022
(a)Each track operator shall provide such facilities, appurtenances and equipment for drug detection programs, or other related activities as the commission may specify.
(b)No person shall enter or be present at any time in any enclosure set aside by direction of the commission for the taking and examination of samples from horses except the staff immediately in charge of such work, the commission, the commission’s chair and members, the commission’s staff, the State steward, the custodians of the horse, or such other persons as may be authorized by this Part.
9 NYCRR 4012.3 - Drug detection programs
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Jul 15, 2022
Programs for the detection of the presence of drugs in horses programmed to race shall be conducted at each track unless otherwise ordered by the commission.
(a)Pre-race testing.
(1)Blood or other samples shall be taken from every horse programmed to race, prior to the race in which it is programmed, at a time and in a location specified by the commission or the commission’s representative.
(2)The trainer or the trainer’s representative shall accompany the horse at the prescribed time and to the prescribed location, and shall manage the horse as directed. Willful failure to be present at, or a refusal to allow, the taking of any such sample, or any act or threat to impede or prevent or otherwise interfere therewith shall constitute a violation of this Part and shall subject the person or persons guilty thereof to punishment as may be appropriate.
(3)Blood samples will be taken by the State veterinarian or, under the State veterinarian’s supervision, by a graduate veterinarian.
(4)A horse shall not race if it has not been tested in accordance with the provisions of this section.
(5)Whenever a laboratory test indicates the presence of a drug, restricted substance, or a foreign substance the identity of which cannot be established in a sample taken from a horse, the stewards shall scratch the horse and take such further action as they deem necessary.
(6)Unless specifically permitted in writing by the state steward, a horse, once the pre-race test sample is taken, shall not be transported from the grounds except to be transported to the racecourse where it is scheduled to race if such racecourse is not part of the grounds where the test sample is taken.
(b)Post-race testing.
(1)The winner and at least one other horse designated by the stewards shall be sent to the testing facility immediately after each race.
(2)Blood, urine, and such other samples as may be required shall be attempted to be taken from the designated horse at a time and in an enclosure specified by the commission or the commission’s representative, until such horse is released by the State veterinarian.
(3)The trainer or the trainer’s representative shall accompany the horse at the prescribed time and to the prescribed location, and shall manage the horse as directed. Willful failure to be present at, or a refusal to cooperate in the taking of any such sample, or any act or threat to impede or prevent or otherwise interfere therewith shall subject the guilty person or persons to such punishment as may be appropriate.
(4)Blood samples will be taken by the State veterinarian or, under State veterinarian’s supervision, by a graduate veterinarian. Urine samples shall be gathered by a commission inspector.
(5)Where deemed necessary to obtaining a urine sample by the State veterinarian, a horse may be permitted to return to the horse’s stable prior to release if accompanied by a commission inspector.
(c)
(1)The stewards may require at any time that any horse be sent to the testing enclosure for the taking of such specimens of blood, urine or other materials as shall be directed, as well as for an examination for “sponging” and such other examination as shall be directed.
(2)The State veterinarian may also, when so directed by the stewards, require the taking of any or all of the foregoing specimens from any horse stabled at a track during a meeting.
(d)The stewards, State veterinarian or their designees may take, for analysis, samples of any medicine or other materials that may be found in stables or elsewhere on race tracks or in the possession of any person connected with racing.
(e)Requalification of a horse.
A horse that has tested positive for the presence of a drug, whether pre-race or post-race, shall qualify in a workout satisfactory to the stewards, and thereafter test negative for drugs before that horse starts and runs in any subsequent race.
9 NYCRR 4012.4 - Records of veterinarian
A matched Register action is not later than the compiled-text reference date.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Jul 15, 2022
- Related Register notice
- SGC-40-20-00001-A · Adopted rule
- Related notice published
- Feb 10, 2021
- Related notice effective date
- Feb 10, 2021
(a)Every licensed practicing veterinarian shall keep a written record of his or her practice concerning horses participating at pari-mutuel thoroughbred race meets in this State, whether performed at a licensed or franchised track or elsewhere, which shall disclose:
(1)the name of the horse treated;
(2)the nature of the horse's ailment;
(3)the type of treatment prescribed and performed for the horse; and
(4)the date and time of such treatment.
(b)Every such veterinarian shall produce such written records when requested by an official of the commission. In addition, the veterinarian shall instruct the trainer of the necessity to submit the report required by section 4043.4(b) of this Subchapter relating to corticosteroid joint injections.
(c)Before a licensed veterinarian administers or prescribes any drug or restricted substance for a horse, such veterinarian shall ascertain by reasonable inquiry whether the horse has been entered to race at any track, and if the horse has been entered such veterinarian shall not administer or prescribe any drug or restricted substance within the time or manner restricted by this Chapter. If the horse has not been entered to race, but the administration is of a drug that is not permitted to be administered within 72 hours of a racing program, or longer, the veterinarian shall so inform the trainer of that fact and of the time applicable. If, however, an emergency exists involving the life or health of the horse, he may proceed to treat or prescribe for the horse but shall report the matter as promptly as practicable to the commission veterinarian or stewards at the pertinent track.
(d)The attending veterinarian or veterinary technician shall complete and submit daily a form prescribed by the commission that contains the name of each horse entered to race on that day and treated by the attending veterinarian, or a veterinary technician acting at the direction and under the supervision of a licensed veterinarian who is on the same premises, with furosemide. The form shall also contain the following information:
(1)name of the track;
(2)name of the trainer;
(3)description of the horse;
(4)tattoo number; and
(5)the dose, route and time of administration.
The form must be signed by the attending veterinarian (and by the veterinary technician, if any) and filed at a location designated by the commission.
9 NYCRR 4012.5 - Out-of-competition testing
A matched Register action is not later than the compiled-text reference date.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Jul 15, 2022
- Related Register notice
- SGC-35-20-00014-A · Adopted rule
- Related notice published
- Dec 16, 2020
- Related notice effective date
- Dec 16, 2020
(a)Out-of-competition testing authorized.
The commission may at a reasonable time on any date take blood, urine or other biologic samples (e.g., hair) from a horse to enhance the ability of the commission to enforce the commission’s equine drug and anti-doping rules (e.g., the prohibitions of section 4043.12 of this Title). The commission shall own such samples. 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. 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 such rule.
(b)Horses eligible to be tested.
Any horse that has been engaging in activities related to competing in pari-mutuel horse racing in New York may be tested. This includes without limitation any horses that are training outside the jurisdiction to participate in racing in New York and all horses that are training in New York, but excludes weanlings, yearlings and horses no longer engaged in horse racing (e.g., retired broodmares).
(1)A horse is presumed eligible for out-of-competition testing if such horse:
(i)is on the grounds at a racetrack or training center under the jurisdiction of the commission;
(ii)is under the care or control of a trainer licensed by the commission;
(iii)is owned by an owner licensed by the commission;
(iv)is entered or nominated to race at a premises licensed by the commission;
(v)has raced within the previous 12 months at a premises licensed by the commission; or
(vi)is nominated to a program based on racing in New York, including without limitation breeders’ awards, the thoroughbred breeding and development fund and thoroughbred stakes races.
(2)Such presumptions are conclusive in the absence of evidence that a horse is not engaged in activities related to competing in horse racing in New York State.
(c)Selection of horses to be tested.
(1)Horses shall be selected for sampling by a commission veterinarian, executive director, director of horse racing and pari-mutuel wagering, equine medical director or steward, or a designee of any of the foregoing.
(2)Horses may be selected to be tested at random, for cause or as otherwise determined in the discretion of the commission.
(3)Collectors shall for suspicionless collections of samples abide by a plan that has been approved by a supervisor not in the field and that identifies specific horses or provides neutral and objective criteria to follow in the field to determine which horses to sample. Such a supervisor may consider input from persons in the field during the operation of the plan and select additional horses to be sampled.
(d)Cooperation with the commission.
(1)Licensees of the commission are required to cooperate and comply fully with the provisions of this rule.
(2)Persons who apply for and are granted a trainer or owner license shall be deemed to have given their consent for access at such premises as their horse may be found for the purpose of commission representatives collecting out-of-competition samples. Licensees shall take any steps necessary to authorize access by commission representatives at such premises.
(3)No other person shall knowingly interfere with or obstruct a sampling.
(e)General procedure for collecting samples.
(1)Samples shall be taken under the supervision and direction of a person who is employed or designated by the commission. All blood samples shall be collected by a veterinarian licensed in the jurisdiction where the sample is collected or by a veterinary technician who is acting under appropriate supervision of the veterinarian.
(2)Upon request of a representative of the commission, the trainer, owner or the specified designee of the trainer or owner shall provide the location of their horses eligible for out-of-competition testing.
(3)The commission need not provide advance notice before arriving at any location to collect samples, whether such location is controlled by a commission licensee or not.
(4)The trainer, owner or the specified designee of the trainer or owner shall cooperate with the person who takes samples for the commission, which cooperation shall include, without limitation:
(i)assisting in the immediate location and identification of the horse;
(ii)making the horse available as soon as practical upon arrival of the person who is responsible for collecting the samples;
(iii)providing a stall or other safe location to collect the samples;
(iv)assisting the person who is collecting samples in properly procuring the samples; and
(v)witnessing the taking of samples, including sealing of sample collection containers.
(5)The management and employees of a licensed racetrack or training facility at which a horse may be located shall cooperate fully with a person 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 such premises.
(6)The commission, if requested and in its sole discretion, may permit the trainer, owner or the specified designee of the trainer or owner to present a horse that is located in New York State, but not at a racetrack or training center licensed by the commission, to be sampled at a time and location designated by the commission.
(f)Procedure for collecting samples from horses located outside New York State.
(1)The commission may arrange for the sampling of an out-of-state horse by the racing commission or other designated person in the jurisdiction where the horse is located. Such racing commission or other designated person shall follow the relevant provisions of this rule, including paragraph (e)(1) of this section.
(2)The test results shall be made available for regulatory use to each jurisdiction that has participated in the process of collecting any out-of-competition sample, subject to any restrictions on public disclosure of test results that apply to the commission that selected the horse for sampling.
(3)The commission, if requested and in its sole discretion, may permit the trainer or owner instead to transport the horse into New York State for sampling at a time and place designated by the commission.
(g)Additional procedures.
(1)The person who takes samples for the commission shall provide identification and disclose the purpose of the sampling to the trainer or designated attendant of the horse.
(2)A written protocol for the collection of samples shall be made generally available.
(3)An owner or trainer does not consent to a search of the premises by making a horse that is not located at a licensed racetrack available for sampling.
(4)If the trainer or other custodian of a selected horse refuses or declines to make the horse available for sampling and the managing owner has previously provided the commission with a means for the commission to give immediate notification to the managing owner in such situation, then the commission shall attempt to notify the managing owner and the eligibility of the horse shall be preserved if the managing owner is able to make the horse available for immediate sampling. The commission is not required to make repeated attempts to notify the managing owner.
(5)The chain-of-custody record for the sample shall be maintained and made available to the trainer, owner or the designee of the trainer or owner when an adjudicatory proceeding results from an out-of-competition test.
(h)Analysis of collected samples.
(1)The commission may have out-of-competition samples tested to produce information that may enhance the ability of the commission to enforce the commission’s equine drug and anti-doping rules.
(2)The rules and procedures for post-race testing shall apply to out-of-competition testing.
(3)The commission may use any remaining sample for research and investigation.
(i)Penalties for non-cooperation.
(1)Willful failure to make a horse available for sampling or other willfully deceptive acts or interference in the sampling process shall carry a minimum penalty of a one-year license suspension and be referred to the commission for further action.
(2)A selected horse that is not made available for out-of-competition sampling shall be placed on the steward’s list. The horse shall remain on the steward’s list for a minimum of 180 days unless the owner can establish extraordinary mitigating circumstances.
(3)A selected horse that is presumed eligible for out-of-competition testing shall be placed on the steward’s list and be ineligible to race in New York State for 180 days if the horse is not sampled upon the trainer, owner or the designee of the trainer or owner asserting that the horse is not engaged in activities related to competing in horse racing in New York State. This restriction shall not apply if the trainer, owner or the designee of the trainer or owner instead permits voluntarily an immediate collection of such samples from the horse, which shall not constitute a waiver of asserting that the commission lacks jurisdiction over the horse.
9 NYCRR 4012.6 - Earlier source heading: [Repealed]
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Jul 15, 2022
Current section text is not available here.
9 NYCRR 4012.7 - Earlier source heading: 4012.7 to 4012.9 [Repealed]
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Jul 15, 2022
Current section text is not available here.
9 NYCRR 4012.10 - Earlier source heading: 4012.10 to 4012.12 [Repealed]
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Jul 15, 2022
Current section text is not available here.