New York Codes, Rules and Regulations (NYCRR)
Title 9 Part 4045
Executive Department
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9 NYCRR 4045.1 - Earlier source heading: Definitions
Related State Register notice: Adopted rule SGC-15-24-00011-A. Published Jul 10, 2024. Notice effective date: Jul 10, 2024.
Source version current through Jul 10, 2024
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Jul 10, 2024
- 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 4045.2 - General
Source version current through Jul 15, 2022
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-46-15-00007-A · Adopted rule
- Related notice published
- Feb 10, 2016
- Related notice effective date
- Feb 10, 2016
The commission shall suspend the occupational licenses of a habitual or persistent violator of equine drug rules as an additional penalty when there is a precipitating equine drug rule violation. This suspension shall constitute the bare minimum overall penalty enhancement that arises from a previous violation or violations of equine drug rules, wherever committed, and the commission shall continue to apply its own much broader and stricter standards when determining the appropriate penalty for the precipitating and other equine drug rule violations.
9 NYCRR 4045.3 - Points
Source version current through Jul 15, 2022
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-40-18-00006-A · Adopted rule
- Related notice published
- May 15, 2019
- Related notice effective date
- May 15, 2019
(a)When a precipitating equine drug rule violation occurs, the commission shall examine the equine drug rule violation history of the violator and assign a point value to the equine drug rule violations as set forth in this section.
(b)The commission shall assign six points, which shall accumulate with points resulting from other violations committed within a three-year period, for a violation involving a drug or other substance that:
(1)is classified as Penalty Class A in the ARCI Penalty Guidelines; or
(2)is not classified in the ARCI Penalty Guidelines, but has a very high potential to affect race performance and no generally accepted veterinary use in racing horses, subject to any adjustments that apply as set forth in this section.
(c)The commission shall assign four points, which shall accumulate with points resulting from other violations committed within a two-year period, for a violation involving a drug or other substance that:
(1)is classified as Penalty Class B in the ARCI Penalty Guidelines; or
(2)is not classified in the ARCI Penalty Guidelines, but has a high potential to affect race performance; and
(i)has a high potential for abuse; or
(ii)has no generally accepted veterinary use in racing horses, subject to any adjustments that apply as set forth in this section.
(d)The commission shall assign one point, which shall accumulate with points resulting from other violations committed within a one-year period, for a violation involving a drug or other substance that is classified as Penalty Class C in the ARCI Penalty Guidelines, subject to any adjustments that apply as set forth in this section.
(e)When more than one violation described in subdivision (d) of this section is committed within a 365-day period, the commission shall assign an additional penalty of one-half point for each previous violation (e.g., a second such violation within a 365-day period incurs an additional one-half point, a third such violation incurs an additional one point) in addition to the points assessed pursuant to subdivision (d) of this section.
(f)The point values set forth in subdivisions (c) and (d) of this section are reduced by one-half for any drug or other substance that is listed in section 4043.3 of this Title.
(g)No points shall be assigned for a violation involving a drug or other substance that has no effect on the physiology of a racing horse except to improve nutrition or to treat or prevent infections or parasite infestations.
(h)No points shall be assigned for any violations that occurred before January 1, 2014.
(i)If a violation involves more than one drug or substance, then the commission shall assign to such violation not less than the highest point value of any one of the drugs or substances and shall assign additional points for each drug or substance that could have the effect of substantially altering the nature or effect of such drugs or other substances on the horse. No points shall be assessed for more than one non-steroidal anti-inflammatory drug (NSAID) when there has been only an NSAID stacking violation.
(j)If multiple violations involving one drug or substance are committed before a licensee is notified of a positive laboratory test, then the commission may assign lesser points for the violations, although not less than the points for a single violation, when the responsible parties are able to show that the multiple violations occurred as the result of an honest and unavoidable mistake. If such an assessment of lesser points had been made by the jurisdiction in which a predicate equine drug violation occurred, or such jurisdiction had assigned lesser (even zero) points due to environmental contamination, then the commission shall assign such lesser points for the violation.
(k)The commission shall assign point values as of the date of a violation.
(l)Points assigned for an equine drug rule violation are not removed from a licensee’s record when they serve as a basis to suspend a license. Points continue to accumulate for the time periods that are set forth in subdivisions (c), (d) and (e) of this section.
9 NYCRR 4045.4 - Administrative action
Source version current through Jul 15, 2022
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-40-18-00006-A · Adopted rule
- Related notice published
- May 15, 2019
- Related notice effective date
- May 15, 2019
The commission shall take the following administrative action after a final adjudication of the commission establishes that a licensee has committed a precipitating equine drug rule violation in New York:
(a)The commission shall calculate the points applicable to such licensee to determine whether to take any further administrative action pursuant to this Part.
(1)A licensee may be mailed a letter advising such licensee of the status of the equine drug violation record of such licensee and any possible future action that may be taken in the event of such licensee’s accumulation of additional points.
(2)Although point values shall be assigned as of the date of each violation, the commission shall not initiate a suspension pursuant to this Part until after the final adjudication of an equine drug rule violation for which points are assigned pursuant to this Part.
(3)When a precipitating equine drug rule violation results in the licensee having accumulated five or more points based on final adjudications of equine drug rule violations, the commission shall find that a licensee is a habitual or persistent equine drug rule violator.
(b)The Director of the Division of Horse Racing and Pari-Mutuel Wagering shall suspend the occupational licenses of a habitual or persistent equine drug rule violator, at a minimum, as follows:
(1)if the licensee has accumulated 5 to 5.5 points as a result of equine drug rule violations, a suspension of 15 days;
(2)if the licensee has accumulated 6 to 8.5 points as a result of equine drug rule violations, a suspension of 30 days;
(3)if the licensee has accumulated 9 to 10.5 points as a result of equine drug rule violations, a suspension of 90 days; and
(4)if the licensee has accumulated 11 or more points as a result of equine drug rule violations, a suspension of 180 days.
(c)Such license suspensions shall in no way affect any administration action taken under any other provision of this Subchapter, including the imposition of a penalty for the precipitating or other equine drug rule violation in New York.
(d)The Director of the Division of Horse Racing and Pari-Mutuel Wagering, on behalf of the commission, may proportionately reduce such suspension, however, when convinced by clear and convincing evidence that the commission had already enhanced, based on one or more of the predicate equine drug rule violations, the penalty imposed on the licensee for the precipitating equine drug rule violation. The director may also impose a suspension before there has been a final adjudication of one or more of the predicate equine drug violations, when points assessed for matters that have been finally adjudicated suffice to impose a suspension pursuant to this Part; the balance of any suspension shall be imposed upon additional final adjudications.
(e)The State Steward may, when authorized by the Director of the Division of Horse Racing and Pari-Mutuel Wagering, add the habitual or persistent equine drug rule violator suspension when issuing a ruling upon a precipitating equine drug rule violation.
9 NYCRR 4045.5 - Start of suspension
Source version current through Jul 15, 2022
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-46-15-00007-A · Adopted rule
- Related notice published
- Feb 10, 2016
- Related notice effective date
- Feb 10, 2016
A habitual or persistent equine drug rule violator suspension shall not take effect until the commission has notified the licensee in writing of the suspension; and
(a)the licensee waives in writing the right to an adjudicatory hearing;
(b)the licensee does not, within 10 days, make a written application for an adjudicatory hearing before the commission; or
(c)an administrative stay for the adjudicatory hearing has expired and no further stay has been granted to the licensee.
9 NYCRR 4045.6 - Adjudicatory hearing
Source version current through Jul 15, 2022
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-46-15-00007-A · Adopted rule
- Related notice published
- Feb 10, 2016
- Related notice effective date
- Feb 10, 2016
(a)A habitual or persistent equine drug rule violator may, within 10 days of service upon such violator of a notice of a suspension imposed by this Part, file a written application for an adjudicatory hearing before the commission. A request that is not filed within 10 days shall be null and void and the licensee shall have waived any right to an adjudicatory hearing.
(b)If a licensee requests an adjudicatory hearing for a suspension imposed pursuant to this Part, the commission shall issue an administrative stay of the habitual or persistent equine drug rule violator suspension. Such stay shall be for 45 days from the date of service on the licensee of the notice of the suspension. The licensee may request, on motion with reasonable notice to the secretary of the commission, filed in writing, an extension of such stay for good cause shown that the licensee has not been able to participate in an evidentiary hearing within such period of time. The director of the Division of Horse Racing and Pari-Mutuel Wagering shall decide such motion on behalf of the commission, and the decision of such director shall be final. Upon the completion of the evidentiary hearing, another administrative stay of the suspension shall be issued until such time as the commissioners have taken final agency action.
(c)The adjudicatory hearing shall be conducted pursuant to Part 4550 of this Chapter.