9 NYCRR Part 4120 - Executive Department

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Source version current through Jul 15, 2022

All 19 displayed sections in this Part carry the same compiled date. Status and warnings stay on each section.

9 NYCRR 4120.1 - 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)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.

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

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

(g)Out-of-competition test means a finding by the laboratory that any of the prohibited substances described in section 4120.17 of this Part was 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 the commission’s officials for the purposes of anaylsis. 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 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 4120.2 - 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, leg rubs, leg paints and liniments) that may contain antibiotics but do not contain benzocaine, DMSO, steroids or other drugs; and

(2)antibiotics, vitamins, electrolytes, and other food supplements so long as they are administered orally and as 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 State veterinarian;

(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 endoscopic examination after the race or workout;

(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 its 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 of horses that have bled, to be maintained by the State veterinarian, 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 State 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 presiding or associate judge.

(5)Reinstatement to furosemide list. After removal from the furosemide list, a horse may be reinstated for the administration of furosemide if the horse again meets the requirements set forth in paragraph (1) of this subdivision and such horse shall not be permitted to race for the specific time period as set forth in subparagraphs (2)(i) through (iv) of this subdivision.

(6)Administration of furosemide. For the purposes of this section, 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 which is not present at least four hours prior to post time or that has not received the administration of furosemide pursuant to this rule shall be ineligible to start.

(c)The following substances may be administered by any means 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)electrolytles, vitamins, and other food supplements and body nutrients not containing procaine 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)[Reserved]

(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 and, except for any formulation of methylprednisolone, non-anabolic steroids, e.g., progesterone, estrogens, chorionic gonadatropin, glucocorticoids, except in joint injections as restricted in subdivision (i) of this section;

(10)hyaluronic acid derivatives;

(11)immuno stimulants;

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

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

(14)no more than one of the following nonsteroidal anti-inflammatory drugs (NSAIDs): diclofenac, flunixin (e.g., Banamine), ketoprofen (e.g., Orudis), naproxen (e.g., Naprosyn, Equiproxen), and phenylbutazone (e.g., Butazolidin). One other such NSAID may be administered within one week of the race in which the horse is to compete, provided that such NSAID is administered at least 96 hours before such race;

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

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

(17)Sarapin;

(18)sulfonamide drugs (e.g., Sulfa); and

(19)biologics (e.g., bacterins, antitoxins except tetanus antitoxin).

(20)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 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)pentoxifylline;

(7)trichloromethiazide; and

(8)vermifuges (worm medicines), except phenothiazine.

They may not be administered by any means within 72 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 72 hours.

(g)The following substances are permitted to be administered by any means 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)clenbuterol, except as provided in subdivision (k) of this section;

(6)detomidine;

(7)dipyrone;

(8)glycopyrrolate;

(9)guaifenesin;

(10)hydroxyzine;

(11)isoxsuprine;

(12)lidocaine;

(13)mepivicaine;

(14)phenytoin;

(15)pyrilamine;

(16)[z]xylazine.

They may not be administered with in 96 hours of the start 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 hours.

(h)A horse may not race for at least 14 days following an administration of firocoxib.

(i)In addition, a horse that has had a joint injected may not race for at least five days following such procedure, and whenever such procedure is performed, the trainer shall notify the stewards of such fact, in writing, before the horse is entered to race.

(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)If a horse has been required to qualify when not showing a current performance within 30 days or more and has not yet raced after qualifying, then such horse may not race for at least 14 days following an administration of clenbuterol.

(l)Clenbuterol shall be administered only under the general supervision of a treating veterinarian and in a manner not exceeding its use for treating respiratory disorders.

(m)A horse may not race after an administration of any formulation of methylprednicolone (e.g., Depo Medrol) unless such horse subsequently tests below the threshold set forth in section 4120.3 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 presiding judge.

(n)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.

9 NYCRR 4120.3 - 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)Butorphanol:

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

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

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

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

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

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

(8)Detomidine:

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

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

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

(10)DMSO 10 mcg/ml in plasma;

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

(12)Flunixin: 20 ng/ml in plasma;

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

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

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

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

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

(18)Mepivacaine:

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

(ii)any hydroxymepivacaine in plasma;

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

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

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

(22)Phenylbutazone: 2 mcg/ml in plasma;

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

(24)Ranitdine: 40 ng/ml in plasma; and

(25)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)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 4120.17(d)(2) of this Part.

9 NYCRR 4120.4 - 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-37-14-00007-A · Adopted rule
Related notice published: Jan 21, 2015
Related notice effective date: Apr 1, 2015

(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 such trainer knows, or might have known 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 such trainer can show by substantial evidence that neither such 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 corticosteroid joint injections to horses trained by them. The record(s) of every corticosteroid 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 purposes of assisting with pre-race veterinary examinations.

9 NYCRR 4120.5 - 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 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 4120.6 - Possession of hypodermic equipment and controlled 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-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 harness 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 judges 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 judges 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. 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 4120.7 - Drug detection facilities

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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)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 other commissioners, the commission’s staff, the judges, the custodians of the horse, or such other persons as may be authorized by this Part.

9 NYCRR 4120.8 - Drug detection programs

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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 the horse 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 section 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 judges shall scratch the horse and take such further action as they deem necessary.

(6)Unless specifically permitted in writing by the presiding judge, 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 judges 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 commission 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 person or persons guilty thereof to such punishment as may be appropriate.

(4)Blood samples will be taken by the commission veterinarian or, under the commission 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 commission veterinarian, a horse may be permitted to return to such horse’s stable prior to release if accompanied by a commission inspector.

(c)

(1)The judges 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 commission veterinarian may also, when so directed by the judges, require the taking of any or all of the foregoing specimens from any horse stabled at a track during a meeting.

(d)The judges, commission veterinarians 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.

9 NYCRR 4120.9 - Records of veterinarian

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

(a)Every licensed practicing veterinarian shall keep a written record of his or her practice concerning horses participating at pari-mutuel harness race meets in this State whether performed at a licensed harness 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 4120.2(i) of this Part relating to joint aspiration.

(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 in a 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 the fact and of the time applicable. If, however, an emergency exists involving the life or health of the horse, the veterinarian may proceed to treat or prescribe for the horse but shall report the matter as promptly as practicable to the commission veterinarian or judges 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 4120.10 - Erythropoietin and darbepoetin

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 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. Such horse shall be placed on the steward's list.

(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 4120.11 - Reserpine and fluphenazine

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)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 4120.12 - 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-P · Proposed rule
Related notice published: Dec 30, 2015

(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 4120.13 - TCO2 blood gas testing

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 4120.2(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 judges, 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 presiding judge, not to exceed 72 hours, 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 presiding judge shall determine whether the horse's TCO2 level was physiologically natural for it. The presiding judge 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, judges, or employees of the 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 rule 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 its race by means not permitted by section 4120.2 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 rule, a horse shall be disqualified, any purse monies shall be forfeited and redistributed pursuant to section 4120.5 of this Part, and the horse shall be subject to pre-race detention, and shall be ineligible to race until its tests in compliance with this rule and tests negative for drugs.

9 NYCRR 4120.14 - Pre-race detention

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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 judges. 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 judges made a ruling on the earlier TCO2 violation at least 10 days before the trainer’s repeat violation.

(c)If during a detention period a trainer violates section 4120.13 of this Part, then the detention period shall be extended for such time as the judges deem appropriate.

9 NYCRR 4120.15 - TCO2 testing: punishment for failure to cooperate

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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 4119.7 of this Subchapter for any person subject to the jurisdiction of the commission to fail to cooperate with blood gas testing.

9 NYCRR 4120.16 - Earlier source heading: [Repealed]

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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 4120.17 - Out-of-competition testing

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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)Out-of-competition collection of samples.

(1)The commission may at a reasonable time on any date take a blood, urine or other biologic sample from a horse that is on a nomination list or under the care or control of a trainer or owner who is licensed by the commission, in order to enhance the ability of the commission laboratory to detect or confirm the impermissible administration of a drug or other substance to the horse.

(2)Horses to be tested may be selected at random, for cause or as determined by a commission judge or executive official.

(3)A selected horse that is not made available for sampling is ineligible to race for 180 days, unless the commission determines that circumstances unavoidably prevented the owner and trainer from making the horse available for sampling.

(4)If a selected horse is not involved in activities related to racing in New York, then the trainer or owner may represent this to the commission and the commission will not sample the horse. If the trainer makes such a representation and the managing owner has previously provided the commission with a means for the commission to give immediate telephonic notification to the managing owner that the trainer made such a representation, then the commission shall transmit such notification to 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.

(b)Sampling procedure.

(1)Samples shall be taken under the supervision and direction of a person who is employed or designated by the commission and is qualified to safeguard the health and safety of the horse. A veterinarian shall collect all blood samples.

(2)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.

(3)The owner, trainer and/or their designees shall cooperate with the person who takes samples for the commission by immediately assisting in the location and identification of the horse, making the horse available at a stall or other safe location to collect the samples, and witnessing the taking of the samples.

(4)The commission, if requested and in its sole discretion, may permit the owner or trainer to present an off-track horse for sampling at a time and licensed racetrack designated by the commission.

(5)An owner or trainer does not consent to a search of the premises by making a horse available for sampling at an off-track location.

(6)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 and the test results shall be available to the jurisdiction in which the horse is located for its regulatory use. The commission, if requested and in its sole discretion, may permit the owner or trainer instead to present the horse for sampling in New York State at a time and place designated by the commission.

(7)A commission judge or executive official may require any horse of a licensed trainer or owner to be brought promptly to a racetrack under the jurisdiction of the commission for out-of-competition testing when:

(i)the commission has reasonable grounds to believe that the horse might have been impermissibly administered a drug or other substance;

(ii)the commission has no other practical means to collect such samples without reducing the ability of the commission laboratory to detect or confirm the impermissible administration of a drug or other substance to a horse; and

(iii)the horse is stabled out-of-state but within a radius not greater than 100 miles from such New York State racetrack.

The trainer is responsible to have the horse or horses available at the designated time and location.

(8)No person shall knowingly interfere with or obstruct a sampling.

(9)A licensed racetrack 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 on track may require that the collection be done at the test barn.

(c)Prohibited substances.

(1)The presence in or administration to a horse of the following doping agents or drugs, in the absence of extraordinary mitigating circumstances that excuse the owner and trainer from their failure to fulfill their duties and responsibilities, is prohibited at any time:

(i)Blood doping agents: any substance, including a protein- or peptide-based agent or drug, that is capable of abnormally enhancing the oxygenation of body tissues, including but not limited to erythropoietin (EPO), darbepoetin (e.g., Aransep), Oxyglobin, aminoimidazole carboxamide ribonucleotide (“AICAR”), Myo-Inositol Trispyrophosphate (“ITTP”) and Hemopure.

(ii)Gene doping agents: a gene, genetic element, or cell that alters the expression of genes for normal physiological functions and that may produce analgesia or enhance the performance of a horse beyond its natural ability, including but not limited to thymosin beta-4 (“TB500”). This shall not apply to such agents when used off-track in an accepted veterinary treatment to assist a disabled horse to become healthy, without producing analgesia or potentially enhancing the performance of the horse beyond its natural ability, provided that such use is documented in the contemporaneous veterinary records of the horse.

(iii)Any other protein- or peptide-based agent or drug that may produce analgesia or enhance the performance of a horse beyond its natural ability, including but not limited to toxins, venoms and allosteric effectors.

(iv)The substances described in this paragraph are prohibited regardless of any of the provisions of section 4120.2 of this Part.

(2)No person shall possess or use the prohibited substances described in paragraph (1) of this subdivision on the premises of any licensed racetrack.

(3)It shall be an affirmative defense to a violation of this section that the person used the prohibited substance only in a time, place and manner specifically permitted in writing by the commission before the administration of such substance, for a recognized therapeutic use, and subject to such appropriate limitations as the commission shall place on the return of the horse to running races.

(d)Penalties.

(1)A horse found to be in violation of this rule shall be ineligible to participate in racing until it is certain that the horse is no longer affected by the prohibited substance and for not less than 180 days, after which the horse must qualify in a workout satisfactory to the judges and test negative for doping agents and drugs. The minimum fixed period of ineligibility for a horse in violation of this rule shall be reduced from 180 to 30 days if the trainer had never violated this rule or similar rules in other jurisdictions and had, for any violations of Part 4120 or similar rules in other jurisdictions, fewer than 180 days in lifetime suspensions or revocations and fewer than two suspensions or revocations of 15 days or more in the preceding 24 months.

(2)A person who is found responsible for a violation of paragraph (c)(1) of this section shall, in the absence of extraordinary mitigating circumstances, incur a minimum penalty of a 10-year suspension in addition to any other penalties authorized in this Subchapter.

(e)A buyer who was not aware that a horse is or may be determined ineligible under this section may void the purchase, provided that the buyer does so within 10 days after receiving notice of the horse’s ineligibility.

(f)An application to the commission for an occupational license shall be deemed to constitute consent for access to any off-track premises on which horses owned and/or trained by the individual applicant are stabled. The applicant shall take any steps necessary to authorize access by commission representatives to such off-track premises.

9 NYCRR 4120.18 - Other prohibitions

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

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 start of a racing program, and whirlpool until racetime. However, the judges 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 commission 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 4120.19 - 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.

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