9 NYCRR Part 4043 - Executive Department

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Source version current through Jul 15, 2022

All 17 displayed sections in this Part carry the same compiled date. Status and warnings stay on each section.

9 NYCRR 4043.1 - Definitions

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 15, 2022

The terms and words used in this Part shall mean:

(a)Administer means to cause the introduction of a substance into the body of a horse.

(b)Drug means any substance or metabolite of such substance that does not exist naturally in the untreated horse and that can have a pharmacological effect on a horse.

(c)Laboratory means the official racing chemical detection laboratory designated by the commission.

(d)Out-of-competition positive test means a finding by the laboratory that any of the prohibited substances described in section 4043.12 of this Part was present in the sample.

(e)Post-race positive test means a finding by the laboratory that a drug or other substance the use of which is restricted by this Part was present in the sample and was administered at a time or in a manner prohibited by this Part.

(f)Practicing veterinarian means a veterinarian who treats any race horse.

(g)Pre-race positive test means a finding by the laboratory that a drug could be present in the sample.

(h)Sample means any bodily substance, including but not limited to blood or urine taken from a horse at the direction of the commission or commission’s officials for the purposes of analysis. A sample is a pre-race sample when such sample is taken before a race pursuant to the rules governing the pre-race testing program. A sample is a post-race sample when such sample is taken after a horse races pursuant to the rules governing the post-race testing program.

(i)Start of a racing program means the scheduled post-time of the first race of a program containing a race in which the horse is to compete.

9 NYCRR 4043.2 - Restricted use of drugs, medications and other substances

A matched Register action is not later than the compiled-text reference date.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 15, 2022
Related Register notice: SGC-09-21-00014-A · Adopted rule
Related notice published: Sep 8, 2021
Related notice effective date: Oct 8, 2021

Drugs and medications are permitted to be used only in accordance with the following provisions.

(a)The following substances are permitted to be used at any time up to race time:

(1)topical applications (such as antiseptics, ointments, salves, DMSO leg rubs, leg paints and liniments) that may contain antibiotics but do not contain benzocaine, steroids or other drugs; and

(2)antibiotics, vitamins, electrolytes, and other food supplements so long as they are administered orally and so long as they do not contain any other drug or by their nature, exhibit drug-like actions or properties.

(b)Eligibility for the administration of furosemide.

(1)The administration of furosemide is permissible to a horse that has qualified for such use by any of the following means:

(i)the horse has bled visibly during a race or a workout, as determined by the association veterinarian; or

(ii)the horse has bled during a race or workout, as determined by an attending veterinarian based upon such veterinarian’s clinical assessment of the horse, which may or may not include an endoscopic examination after the race or workout; or

(iii)the horse has been qualified by the State veterinarian or a veterinarian employed by the racetrack for the administration of furosemide in another racing jurisdiction; or

(iv)the horse has raced on furosemide in such horse’s last race in a jurisdiction with rules substantially similar to New York State.

(2)If it is determined that a horse has qualified pursuant to paragraph (1) of this subdivision, and the owner or trainer elects to make the horse eligible for the administration of furosemide, the horse shall be placed on a list, to be maintained by the association veterinarian, of horses that have bled and shall not be permitted to race for the following periods of time:

(i)1st time - 10 days after such episode of bleeding;

(ii)2nd time - 30 days after such episode of bleeding;

(iii)3rd time - 90 days after such episode of bleeding; and

(iv)4th time - one year after such episode of bleeding.

Such list shall be made available to the public for inspection.

(3)Eligibility to race on furosemide.

For a horse to be eligible to race on furosemide, the trainer of that horse must file satisfactory documentation of eligibility pursuant to this rule with the association veterinarian on or before time of entry.

(4)Removal from the furosemide list.

A horse, that has been eligible for the administration of furosemide, may be removed from the list, upon authorization from the stewards. The State steward may remove a horse from the list for the limited purpose of allowing the horse to compete in a race whose conditions forbid the administration of furosemide on race day.

(5)Reinstatement to furosemide list.

After removal from the furosemide list, a horse may be reinstated for the administration of furosemide if:

(i)the horse again meets the requirements set forth in paragraph (1) of this subdivision; or

(ii)the State steward at the request of the trainer after the race and without requiring the horse to meet the requirements set forth in paragraph (1) of this subdivision, reinstates a horse to the list following a removal that occurred pursuant to paragraph (4) of this subdivision.

Such horse shall not be permitted to race for the applicable time period set forth in paragraph (2) of this subdivision.

(6)Administration of furosemide.

For the purposes of this subdivision, furosemide shall be administered only in the following manner:

(i)A single intravenous (IV) injection of no less than 150 milligrams (3cc) and no more than 500 milligrams (10cc) may be administered on the grounds of a licensed or franchised racing association or corporation during the time period from 4 to 4½ hours before the scheduled post time of the race in which the horse is to compete.

(ii)The administration shall be made by a veterinarian who is approved by the commission and who does not perform other equine veterinary work for an owner or trainer who participates at such race meeting, except for urgent veterinary care in the capacity of a track veterinarian made available by the racetrack operator.

(7)Ineligibility to start.

Any horse, that is eligible for the administration of furosemide must be present on the grounds of the racing association or corporation no less than four hours prior to scheduled post time of the race in which the horse is scheduled to compete. A horse that is not present at least four hours prior to post time or that has not received the administration of furosemide pursuant to this subdivision shall be ineligible to start.

(c)The following substances may be administered by any means except by joint injection until 24 hours before the scheduled post time of the race in which the horse is to compete:

(1)antibiotics;

(2)sulfa-expectorants (e.g., sulfa-methoxypyridazine);

(3)tetanus antitoxin;

(4)electrolytes, vitamins, and other food supplements and body nutrients not containing perocaine or other drugs;

(5)omeprazole;

(6)cimetidine;

(7)ranatidine;

(8)sucralfate.

They may not be administered by any means within 24 hours of the scheduled post time of the race in which the horse is to compete. In this regard, substances ingested by a horse shall be deemed administered at the time of eating and drinking. It shall be part of the trainer's responsibility to prevent such ingestion within such 24 hours.

(d)Nonsteroidal anti-inflammatory drugs (NSAIDs).

One clinical dose of either flunixin (e.g., Banamine), ketoprofen (e.g., Orudis) or phenylbutazone (e.g., Butazolidin) is permitted to be administered in a single intravenous injection until 48 hours before the scheduled post time of the race in which the horse is to compete.

(e)The following substances are permitted to be administered by any means until 48 hours before the scheduled post time of the race in which the horse is to compete:

(1)aminophylline or theophylline;

(2)arsenic solution (e.g., Fowlers Solution);

(3)aspirin or sodium thiosalicylate;

(4)chymotrypsin (e.g., Kymar);

(5)diuretics (e.g., furosemide [Lasix], except as otherwise provided pursuant to subdivision [b] of this section, thiazide derivatives [e.g., Diuril];

(6)epinephrine (adrenaline);

(7)selenium/vitamin E (e.g., E-Se);

(8)griseofulvin (e.g., Fulvicin);

(9)hormones (e.g., chorionic gonadatropin);

(10)hyaluronic acid derivatives;

(11)immuno stimulants;

(12)iodine injection (e.g., Hypodermin, Harvey's Injectible Blister);

(13)methenamine (e.g., Urotropin);

(14)orgotein (e.g., Palosein);

(15)hydroxychloroquine sulfate (e.g., Rheaform);

(16)sarapin;

(17)sulfonamide drugs (e.g., Sulfa);

(18)biologics (e.g., bacterins, antitoxins except tetanus antitoxin); and

(19)an oral or intervenous administration of dimethyl sulfoxide (i.e., DMSO).

None of these substances may be administered within 48 hours of the scheduled post time of the race in which the horse is to compete. In this regard, substances ingested by a horse shall be deemed administered at the time of eating and drinking. It shall be part of the trainer's responsibility to prevent such ingestion within such 48 hours.

(f)The following substances may be administered by any means except by joint injection until 72 hours before the scheduled post time of the race in which the horse is to compete:

(1)antihistamines;

(2)dantrolene;

(3)ketamine hydrochloride;

(4)methocarbamol (e.g., Robaxin);

(5)pentazocine (e.g., Talwin);

(6)trichloromethiazide; and

(7)vermifuges (worm medicines), except phenothiazine;

None of these substances may be administered within 72 hours of the start the scheduled post time of the race in which the horse is to compete. In this regard, substances ingested by a horse shall be deemed administered at the time of eating and drinking. It shall be part of the trainer's responsibility to prevent such ingestion within such 72 hours.

(g)The following substances are permitted to be administered by any means except by joint injection until 96 hours before the scheduled post time of the race in which the horse is to compete:

(1)acepromazine;

(2)albuterol;

(3)atropine;

(4)butorphanol;

(5)detomidine;

(6)glycopyrrolate;

(7)guaifenesin;

(8)hydroxyzine;

(9)isoxsuprine;

(10)lidocaine;

(11)mepivicaine;

(12)pentoxifylline;

(13)phenytoin;

(14)pyrilamine;

(15)xylazine.

Such substances may be administered within 96 hours of the scheduled post time of the race in which the horse is to compete. In this regard, substances ingested by a horse shall be deemed administered at the time of eating and drinking. It shall be part of the trainer's responsibility to prevent such ingestion within such 96-hour period.

(h)No other drugs or medications (including procaine) may be administered by any means within one week of the scheduled post time of the race in which the horse is to compete. In this regard, substances ingested by a horse shall be deemed administered at the time of eating and drinking. It shall be part of the trainer's responsibility to prevent such ingestion within such one-week period.

(i)In addition, a horse may not race for the following periods of time:

(1)for at least five days following a systemic administration of prednisolone or dexamethasone;

(2)for at least 14 days following a joint injection;

(3)for at least 14 days following an administration of clenbuterol or firocoxib.

In this regard, substances ingested by a horse shall be deemed administered at the time of eating and drinking. It shall be part of the trainer's responsibility to prevent such ingestion within such time periods. The following corticosteroids may be administered only by means of a joint injection: betamethasone, isoflupredone, any formulation of methylprednisolone and any formulation of triamcinolone.

(j)The listing, reference to, or denomination herein of any drug or other substance does not constitute endorsement or recommendation by the commission for the use of such drug.

(k)A horse may not race after an administration of methylprednisolone acetate unless such horse subsequently tests below the threshold set forth in section 4043.3 of this Part for such drug in a test conducted by or for the commission at the sole expense of the trainer of the horse; and is released to race by the stewards.

9 NYCRR 4043.3 - Equine drug thresholds; per se

A matched Register action is not later than the compiled-text reference date.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 15, 2022
Related Register notice: SGC-09-21-00012-A · Adopted rule
Related notice published: Jun 2, 2021
Related notice effective date: Jun 2, 2021

(a)A horse shall have raced in violation of this section if any of the following substances is found, by the laboratory conducting tests for the commission, to be present in a race-day urine or blood sample taken from such horse at a concentration in excess of a threshold listed below. The test result of such laboratory shall include an assessment of the measurement uncertainty and imprecision of the quantitative threshold for the substance.

(1)Acepromazine: 10 ng/ml HEPS in urine;

(2)Albuterol: 1 ng/ml in urine;

(3)Betamethasone: 10 pg/ml in plasma;

(4)Butorphanol:

(i)300 ng/ml of total butorphanol in urine; or

(ii)2 ng/ml of free butorphanol in plasma;

(5)Cetirizine: 6 ng/ml in plasma;

(6)Cimetidine: 400 ng/ml in plasma;

(7)Clenbuterol:

(i)140 pg/ml in urine; or

(ii)any clenbuterol in plasma;

(8)Cobalt: 50 ng/ml in plasma;

(9)Dantrolene: 100 pg/ml of 5-hydroxydantrolene in plasma;

(10)Detomidine:

(i)2ng/ml of any metabolite of detomidine in urine; or

(ii)1 ng/ml of detomidine in plasma;

(11)Dexamethasone: 5 pg/ml in plasma;

(12)Diclofenac: 5 ng/ml in plasma;

(13)DMSO: 10 mcg/ml in plasma;

(14)Firocoxib: 20 ng/ml in plasma;

(15)Flunixin: 5 ng/ml in plasma;

(16)Furosemide: 100 ng/ml in plasma and a specific gravity of urine less than 1.010;

(17)Glycopyrrolate: 3 pg/ml in plasma;

(18)Guaifenesin: 12 ng/ml in plasma;

(19)Isoflupredone: 100 pg/ml in plasma;

(20)Ketoprofen: 2 ng/ml in plasma;

(21)Lidocaine: 20 pg/ml of total 3-hydroxylidocaine in plasma;

(22)Mepivacaine:

(i)10 ng/ml of total hydroxymepivacaine in urine; or

(ii)any hydroxymepivacaine in plasma;

(23)Methocarbamol: 1 ng/ml in plasma;

(24)Methylprednisolone: 100 pg/ml in plasma;

(25)Omeprazole: 10 ng/ml of omeprazole sulfide in plasma;

(26)Phenylbutazone: 0.3 mcg/ml in plasma;

(27)Prednisolone: 1 ng/ml in plasma;

(28)Procaine penicillin: 25 ng/ml of procaine in plasma;

(29)Ranitidine: 40 ng/ml in plasma;

(30)Triamcinolone acetonide: 100 pg/ml in plasma; and

(31)Xylazine: 200 pg/ml in plasma.

(b)A laboratory finding that a horse has not exceeded a threshold set forth in this section shall not constitute a defense to a violation of any other section of this Subchapter.

(c)Special provisions.

(1)Cobalt. A person who is found responsible for a violation of this section for the substance cobalt, when the detected concentration of cobalt exceeds 300 ng/ml in plasma, shall incur the same penalty described in section 4043.12(b)(2) of this Part.

(2)Corticosteroid joint injection. It shall not be a violation of this section for the drug betamethasone, isoflupredone or triamcinolone acetonide when:

(i)the laboratory positive resulted from an administration that was recorded in the contemporaneous veterinary records of the horse, reported to the commission in compliance with section 4043.4(b) of this Part before the horse raced, and administered to the horse in compliance with section 4043.2(i) of this Part at least seven days before the race; and

(ii)the commission had not previously issued a warning to the trainer that the commission laboratory reported finding such substance, in a urine or blood sample collected from any horse trained by such trainer, at a concentration in excess of the threshold set forth in subdivision (a) of this section.

9 NYCRR 4043.4 - Trainer's responsibility

A matched Register action is not later than the compiled-text reference date.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 15, 2022
Related Register notice: SGC-35-20-00010-A · Adopted rule
Related notice published: Dec 16, 2020
Related notice effective date: Dec 16, 2020

(a)A trainer shall be responsible at all times for the condition of all horses trained by him or her. No trainer shall start or permit a horse in his or her custody, care or control to be started if the trainer knows, or might have known or have cause to believe, that the horse has received any drug or other restricted substance that could result in a positive test. The trainer shall be held responsible for any positive test unless the trainer can show by substantial evidence that neither the trainer nor any employee nor agent was responsible for the administration of the drug or other restricted substance. Every trainer must guard each horse trained by him or her in such manner and for such period of time prior to racing the horse so as to prevent any person, whether or not employed by or connected with the owner or trainer, from administering any drug or other restricted substance to such horse contrary to this Part.

(b)Trainers shall maintain accurate records of all joint injections to horses trained by them. The record(s) of every joint injection shall be submitted, in a form and manner approved by the commission, by the trainer to the commission within 48 hours of the treatment. The trainer may delegate this responsibility to the treating veterinarian, who shall make these reports when so designated. The reports shall be accessible to the examining veterinarian for the purpose of assisting with pre-race veterinary examinations.

(c)Trainers shall maintain an accurate record of every drug (except ones classified by the Association of Racing Commissioners International, Inc. as a class 5 substance and that are not injected) administration that is implemented by the trainer and is not recorded in detail in practicing veterinary records. This includes without limitation drugs that a veterinarian has dispensed for administration by or at the direction of the trainer, but does not include drugs administered directly by the veterinarian or administrations the trainer verifies are recorded in detail in veterinary records. Such trainer’s records shall detail the name of the horse, the drug, the dose, the route of administration and the date and time (e.g., morning, breakfast) of administration and shall be kept in a form approved by the commission for a minimum of six months. Such records shall be available for inspection by the commission.

9 NYCRR 4043.5 - Disqualification

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 15, 2022

A horse, in respect to which there has been any violation of the prohibitions contained in this Part or Part 4012 of this Subchapter, or from which a sample has resulted in a positive test, may be disqualified from the race and from any share of the purse in the race and such share shall be redistributed among the remaining horses in the race entitled to same. Nothing contained herein shall in any way affect the pari-mutuel distribution which shall be deemed final and unappealable upon the declaring of the race “official” by the judges at the conclusion of the race.

9 NYCRR 4043.6 - Erythropoietin and darbepoetin

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 15, 2022

(a)A finding by the laboratory that the antibody of erythropoietin or darbepoetin was present in the sample taken from a horse shall establish that the horse is unfit to race in any subsequent race, subject to the provisions of subdivision (b) of this section.

(b)Any horse that has been the subject of a finding by the laboratory that the antibody of erythropoietin or darbepoetin was present in the sample taken from that horse shall not be entered or allowed to race in any subsequent race until the horse has tested negative for the antibodies of erythropoietin or darbepoetin in a test conducted by the laboratory.

(c)Notwithstanding any inconsistent provision of this Part, a horse shall not be subject to disqualification from the race and from any share of the purse in the race, and the trainer of the horse shall not be subject to application of trainer's responsibility based upon the finding by the laboratory that the antibody of erythropoietin or darbepoetin was present in the sample taken from that horse.

9 NYCRR 4043.7 - Reserpine and fluphenazine

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 15, 2022

(a)Notwithstanding any inconsistent provision of this Part, a finding by the laboratory that the drug reserpine or the drug fluphenazine was present in the sample taken from a horse shall result in the disqualification of the horse from the race and from any share of the purse in the race.

(b)The trainer of a horse that has been the subject of a finding by the laboratory that the drug reserpine or the drug fluphenazine was present in the sample taken from that horse shall not be subject to application of trainer's responsibility based solely upon the finding by the laboratory that the drug reserpine or the drug fluphenazine was present in the sample.

9 NYCRR 4043.8 - TCO2 blood gas testing program

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 15, 2022

(a)The commission may obtain pre-race blood samples from horses for subsequent testing for total carbon dioxide level (TCO2). The commission may also obtain post-race blood samples from horses for subsequent testing for TCO2, after a minimum one-hour standing at rest period for the horse after such horse’s race. It shall be a violation of this section where the horse's TCO2 level equals or exceeds 37 millimoles per liter or, for horses administered furosemide pursuant to section 4043.2(b)(6) of this Part during the four hours before the blood sample was taken, 39 millimoles per liter.

(b)It shall be an affirmative defense that the horse's physiologically natural TCO2 level was not exceeded. To demonstrate natural TCO2, such horse’s owner or trainer must make a written request to the stewards, within three calendar days of receiving notice of the horse's TCO2 test result, that the horse be held in guarded quarantine for this purpose. The racetrack operator shall make available a three-day guarded quarantine for a time determined by the State steward, at the sole expense of the requesting party, where blood samples shall be periodically taken for subsequent testing by the commission. If the owner or trainer properly arranges with the commission in advance, then samples shall also be taken and sent for independent testing at another laboratory at the sole expense of the requesting party. During quarantine the horse shall not race, but it may be exercised and trained at prescribed times that do not interfere with monitoring, sampling, and testing the horse. After the quarantine, the State steward shall determine whether the horse's TCO2 level was physiologically natural for it. The State steward may also require, at least 45 days later, that the horse re-establish such horse’s natural TCO2 level with another guarded quarantine to be made available at the sole expense of the racetrack operator.

(c)Any guarded quarantine provided by the racetrack operator shall ensure that, at a minimum:

(1)such horse shall be under direct surveillance by at least one guard at all times;

(2)access to the horse shall be restricted to licensed persons who are directly affiliated with such horse, track stewards, or employees of the New York State Gaming Commission, all of whom shall provide their respective track identification badge or commission-issued photo identification card prior to entry;

(3)a written or electronic log of all persons who have had access to the horse shall be maintained by the guard, indicating the name and license number or track identification badge number of the person, the date and time of the visit (including time in and out of the restricted area), the nature and purpose of the visit, a description of any and all equipment, paraphernalia, tack, medications, or feed brought to the horse, and all activity observed by the guard during the visit; and

(4)the racetrack operator shall maintain such written or electronic logs of guarded quarantine activity for a minimum period of 90 days after the conclusion of the applicable guarded quarantine period.

(d)The penalty for violations of this section shall be not less than:

(1)for a first violation, a 60-day license suspension and $1,000 fine;

(2)for a second violation, a 75-day license suspension and $2,500 fine; and

(3)for additional violations, a one-year suspension and $5,000 fine together with a referral to the commission for further action including a possible license revocation.

Where independent evidence shows that the horse was treated within 24 hours of such horse’s race by means not permitted by section 4043.2 of this Part, however, every license suspension shall be for at least two years. Every suspension shall include denial of the privileges of the grounds.

(e)For a violation of this section, a horse shall be disqualified, any purse monies shall be forfeited and redistributed pursuant to section 4043.5 of this Part, the horse shall be subject to pre-race detention and shall be ineligible to race until it tests in compliance with this rule and tests negative for drugs.

9 NYCRR 4043.9 - Pre-race detention

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 15, 2022

(a)A horse that tests in violation of section 4043.8 of this Part shall be subject to pre-race detention, without regard to whether the horse is transferred to a new owner or trainer, for a period of six months and then until it tests in compliance with section 4043.8 of this Part and tests negative for drugs. If during the detention period a horse again tests in violation of section 4043.8 of this Part, then the detention period shall be extended as the stewards shall deem appropriate. The racetrack operator sponsoring the race shall make such pre-race detention available, at the sole expense of the trainer, for at least six hours before the start of the race program and as required by the stewards. Where a claimed horse is found to be in violation of section 4043.8 of this Part, the costs of a pre-race detention shall be the responsibility of the party requesting detention. A buyer who was not aware of its pre-race detention requirement for testing positive may void the purchase of a horse, provided it is done within 10 days after receiving notice of the horse’s pre-race detention requirement.

(b)Each owner who is using a trainer at the time the trainer commits a repeat violation of section 4043.8 of this Part shall be required for four months to subject in pre-race detention all horses that were under the care or control of this trainer and any replacements of them. The pre-race detention requirement shall not continue to apply to a horse that is sold during the detention period to a third party in a good-faith, arms-length transaction. The pre-race detention requirement shall not apply unless the trainer's earlier violation happened within the past 12 months and the State steward made a ruling on the earlier TCO2 violation at least 10 days before the trainer’s repeat violation. The racetrack operator sponsoring the race shall make such pre-race detention available, at the sole expense of the trainer, for at least six hours before the start of the race program and as required by the stewards.

(c)If during a detention period a trainer violates section 4043.8 of this Part, then the detention period shall be extended for such time as the stewards deem appropriate.

9 NYCRR 4043.10 - TCO2 testing: punishment for failure to cooperate

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 15, 2022

It shall be a violation of section 4042.1(f) of this Article for any person subject to the jurisdiction of the commission to fail to cooperate with blood gas testing.

9 NYCRR 4043.11 - Use and disposal of hypodermic syringes and needles

A matched Register action is not later than the compiled-text reference date.

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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

To ensure drug testing accuracy, all hypodermic syringes and needles may be used only once by a track or practicing veterinarian or veterinary technician. The collection, security and disposal of the used syringes and needles are the responsibility of a track or practicing veterinarian or veterinary technician.

9 NYCRR 4043.12 - Earlier source heading: Prohibited substances and methods

Related State Register notice: Adopted rule SGC-15-24-00011-A. Published Jul 10, 2024. Notice effective date: Jul 10, 2024.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 15, 2022
Related Register notice: SGC-15-24-00011-A · Adopted rule
Related notice published: Jul 10, 2024
Related notice effective date: Jul 10, 2024

Current section text is not available here.

9 NYCRR 4043.13 - Other prohibitions

A matched Register action is not later than the compiled-text reference date.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 15, 2022
Related Register notice: SGC-01-19-00002-A · Adopted rule
Related notice published: May 15, 2019
Related notice effective date: May 15, 2019

No person shall, attempt to, or cause, solicit, request, or conspire with another or others to:

(a)use or possess any electrical device, “joint,” “battery,” electric prod, or any other electrical equipment or any mechanical or other appliance not generally accepted as regular racing equipment that can be used to stimulate, depress, goad, spur, retard or condition a horse during a race or during training. The use of ultrasonic, diathermy or other electro/medical equipment is permissible until 24 hours before the scheduled post time of the race in which the horse is to compete, and whirlpool until racetime. However, the stewards may bar the possession or use of any specific equipment;

(b)freeze or ice or apply medicated packs to a horse's leg or legs within the paddock area;

(c)after a race, administer any substance except water to a horse designated for testing before the horse has been released by the State veterinarian; or

(d)administer a mixture of bicarbonate of soda and sugar in any of their forms in any manner to a horse within 24 hours of a racing program at which such horse is programmed to race. It shall be the trainer's responsibility to prevent such administration.

9 NYCRR 4043.14 - Restrictions on shock or pulse wave therapy

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 15, 2022

The use of extracorporeal shock wave therapy, radial pulse wave therapy or similar treatments shall not be permitted unless the following conditions are met:

(a)The use of extracorporeal shock wave therapy, radial pulse wave therapy or similar treatments within the State:

(1)is limited to veterinarians licensed to practice by the commission; and

(2)may only be performed with machines that are:

(i)registered with and approved for use by the commission; and

(ii)used at a pre-disclosed location that is approved by the commission.

(b)Any extracorporeal shock wave therapy, radial pulse wave therapy or similar machine, whether in operating condition or not, must be registered with and approved by the commission before such machine is brought to or possessed on the grounds of a licensed race track.

(c)Trainers shall report all extracorporeal shock wave therapy, radial pulse wave therapy or similar treatments that are administered to horses trained by them, in a form and manner approved by the commission, no later than the day after the treatment. The trainer may delegate this responsibility to the treating veterinarian, who shall make these reports when so designated. A horse that is so treated shall be added to a list of ineligible horses. Such list shall be kept in the race office and be made accessible to jockeys and their agents during normal business hours. The commission may share information from such list with other racing jurisdictions.

(d)A horse that receives any such treatment is not permitted to race or breeze for a minimum of 10 days following treatment.

(e)A horse that receives any such treatment without full compliance with this section and any similar rules in any other jurisdiction in which the horse was treated shall be placed on the stewards’ list.

(f)Any person who violates this section may be subjected to a fine, exclusion from all New York racetracks, and the suspension or revocation of any occupational license held by such person.

9 NYCRR 4043.15 - Anabolic steroids

A matched Register action is not later than the compiled-text reference date.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 15, 2022
Related Register notice: SGC-52-15-00007-A · Adopted rule
Related notice published: Mar 16, 2016
Related notice effective date: Mar 16, 2016

(a)Anabolic steroids shall not be administered except as permitted by subdivision (d) of this section. A violation of this section may be established by a finding by the laboratory conducting tests for the commission that an anabolic steroid was present in a blood sample taken from such horse, except for the following substances at concentrations that are less than these thresholds:

(1)Boldenone: All horses may have less than 100 pg/ml (including free boldenone and boldenone liberated from its conjugates) in plasma.

(2)Nandrolone:

(i)female horses and geldings may have less than 100 pg/ml in plasma; and

(ii)intact male horses may have less than 500 pg/ml in plasma.

(3)Testosterone:

(i)female horses and geldings may have less than 100 pg/ml in plasma; and

(ii)intact male horses may have less than 2,000 pg/ml in plasma.

(4)In addition, no anabolic steroid shall be administered by injection into a joint at any time.

(b)Any other anabolic steroids are prohibited to be administered.

(c)Post-race plasma samples collected from intact males must be identified to the laboratory.

(d)Any horse to which an anabolic steroid that is listed in subdivision (a) of this section has been administered in order to assist in the recovery from an illness or injury may be placed on the veterinarian's list in order to monitor the concentration of the drug. Once the concentration is below the designated plasma threshold the horse is eligible to be removed from the list.

(e)A violation of this section shall be considered a positive test within the meaning of this Part.

9 NYCRR 4043.16 - No drug administrations without appropriate veterinary approval

A matched Register action is not later than the compiled-text reference date.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 15, 2022
Related Register notice: SGC-19-18-00004-A · Adopted rule
Related notice published: Aug 1, 2018
Related notice effective date: Aug 1, 2018

The limitations set forth in this section apply to drug treatments of horses engaged in activities, including training, related to competing in pari-mutuel racing in New York. 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 the jurisdiction.

(a)No drug may be administered except in the context of a valid veterinarian-client-patient relationship between an attending veterinarian, the horse owner (who may be represented by the trainer or other agent) and the horse. 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. Such relationship requires the following:

(1)the veterinarian, with the consent of the owner, has accepted responsibility for making medical judgments about the health of the horse;

(2)the veterinarian has sufficient knowledge of the horse to make a preliminary diagnosis of the medical condition of the horse;

(3)the veterinarian has performed an examination of the horse and is acquainted with the keeping and care of the horse;

(4)the veterinarian is available to evaluate and oversee treatment outcomes, or has made appropriate arrangements for continuing care and treatment;

(5)the relationship is maintained by veterinary visits as needed; and

(6)the veterinary judgments of the veterinarian are independent and are not dictated by the trainer or owner of the horse.

(b)No prescription drug may be administered except as prescribed by an attending veterinarian.

(c)The trainer and veterinarian are both responsible to ensure compliance with these limitations on drug treatments of horses, except that 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).

9 NYCRR 4043.17 - Exercise induced pulmonary hemorrhage (EIPH)

A matched Register action is not later than the compiled-text reference date.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 15, 2022
Related Register notice: SGC-35-20-00007-A · Adopted rule
Related notice published: Dec 16, 2020
Related notice effective date: Dec 16, 2020

(a)Ineligibility to race after epistaxis.

A horse that has demonstrated external evidence or bled visibly from its nostrils (epistaxis) because of exercise induced pulmonary hemorrhage (EIPH) shall be placed on the steward’s list of horses that are ineligible to race. The horse may not race until cleared to race by a veterinarian designated by the commission and for the following minimum period of time after such bleeding:

(1)1st epistaxis—15 days;

(2)2nd epistaxis—30 days;

(3)3rd epistaxis—90 days, and if the third time was within 365 days, then exclusion for a minimum of 180 days;

(4)4th epistaxis—one year, and if the fourth time was within 365 days, then permanent exclusion from racing.

(b)Recording episodes of EIPH.

Trainers shall maintain accurate records of every EIPH episode that is serious, meaning epistaxis or grade four as described in paragraph (d)(4) of this section, whether observed as visible bleeding or by endoscopic examination. The trainer may delegate this responsibility to the treating veterinarian, who shall make such records of a serious EIPH episode when so designated. Such records shall be retained for a minimum of four years unless reported to the commission in a form and manner approved by the commission or provided to the next trainer of the horse. Each succeeding trainer of the horse shall retain any such record of an EIPH episode that occurred in the previous four years.

(c)Disclosure to subsequent owners.

Previous serious EIPH episodes shall be disclosed to the next owner or trainer of a horse within 48 hours of a request for such information, unless the commission has provided such information to the next owner or trainer of the horse.

(d)Required endoscopic examinations.

A horse that experiences a serious EIPH episode must have, at the conclusion of the horse’s next workout or race, an endoscopic examination performed by a qualified veterinarian, who shall make a record of findings and rate the degree of pulmonary hemorrhage on the scale set forth in this paragraph, with a zero for no blood:

(1)one (1/4)—a trace or thin line of blood on the floor of the trachea;

(2)two (2/4)—a wide stripe of blood on the floor of the trachea or multiple streams of blood covering less than 1/3 of the trachea;

(3)three (3/4)—multiple distinct streams of blood covering more than 1/3 of the trachea;

(4)four (4/4)—multiple streams of blood covering 90 percent or more of the trachea with pooling at the thoracic inlet; or

(5)epistaxis—blood is evident in a nostril of the horse.

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