New York regulations

Title 9 Part 4120

Executive Department

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15 sections4 source-only entries

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9 NYCRR 4120.1 - Definitions

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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

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9 NYCRR 4120.3 - Equine drug thresholds; per se

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9 NYCRR 4120.4 - Trainer's responsibility

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(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

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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

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(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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(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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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

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(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

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(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

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(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

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(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

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(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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(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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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 - [Repealed]

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9 NYCRR 4120.17 - Out-of-competition testing

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9 NYCRR 4120.18 - Other prohibitions

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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

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Jun 6, 2026

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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