Codes Rules and Regulations of the
State of New York
9 Executive (E)
Chapter
1, Subchapter A : State Racing Commission
Thoroughbred Rules
PART 4040
RESTRICTIONS ON JOCKEYS AND STABLE
EMPLOYEES
4040.1.
Prohibitions-betting, interest in horses.
(a) No jockey shall bet on any race except through the owner of and on the horse which he rides, and any jockey who shall be proved to the satisfaction of the stewards to have any interest in any race or horse or to have been engaged in any betting transaction except as permitted by this section, or to have received presents from persons other than the owner, may be punished as provided by sections 4022.12 through 4022.15 of this Title.
(b) Any person knowingly acting in the capacity of part owner or trainer of any horse in which a jockey possesses an interest or making any bet with or in behalf of any jockey except as provided in subdivision (a) of this section, or otherwise aiding or abetting in any breach of this Article, may be punished as provided by sections 4022.12 through 4022.15 of this Title.
4040.2.
Owning race horses forbidden.
No jockey, nor such jockey's spouse, parent, issue nor member of such jockey's household, shall be the owner of any race horse. All horses trained or ridden by a spouse, parent, issue or member of a jockey's household shall be coupled in the betting with any horse ridden by such jockey.
4040.3.
Riding against starter of contract employer.
A jockey may not ride in any race against a starter of his contract employer unless his mount and his contract employer's starter are both in the hands of the same trainer.
4040.4.
No riding or training if suspended.
A jockey or trainer under suspension in any state or foreign country shall not be permitted to train or ride in a race for anyone during the period of his suspension. Any person who shall employee a jockey or trainer in contravention of this section may be punished as provided by sections 4022.12 through 4022.15 of this Title.
4040.5.
Contracts to be filed; salary stops on suspension.
The terms of all contracts between jockeys and their employers shall be filed with and approved by The Jockey Club, and such contracts shall contain a provision that in case a jockey's license be revoked or suspended, the salary of the jockey shall in the former case cease, and in the latter case cease during the time of his suspension.
4040.6.
Penalty for refusal to ride.
If a jockey engaged for a race or for a specified time refuses to fulfill his engagement, he may be punished as provided by sections 4022.12 through 4022.15 of this Title.
4040.7.
Retainers on priority basis.
Employers retaining the same jockey have precedence according to the priority of the retainers as specified in the contracts.
4040.8.
Stewards decide conflicting claims.
When a jockey is engaged for a race, such engagement is binding on both parties, and any conflict in such a matter, including claims for the services of a jockey, shall be decided by the stewards.
STABLE EMPLOYEES
4040.15.
Hiring stable employees.
(a) No owner or trainer shall engage any person who has not a written discharge from his last employer, but any person prevented by this section from obtaining or retaining employment shall have the right of appeal to the commission against the person withholding his written discharge.
(b) Any owner or trainer employing a person in violation of subdivision (a) of this section may be punished as provided by sections 4022.12 through 4022.15 of this Title.
PART 4041
RACING COLORS AND NUMBERS
4041.1.
Colors registered with The Jockey Club.
Racing colors shall be registered by The Jockey Club annually or for the period of five years. Colors so registered shall not be taken by any other person. All disputes as to the right to particular colors shall be settled by The Jockey Club.
4041.2.
Permission required to run horse in deviate colors.
No person shall run a horse in colors other than those registered in his own or a stable name without special permission of the stewards.
4041.3.
Numbers on saddle cloth.
Jockeys must wear a number on the saddle cloths corresponding to the numbers of the horses as exhibited after weighing out.
4041.4.
Posting deviation in colors.
Any deviation from the recorded colors of the owner that may be granted by the stewards is to be immediately posted on the notice board.
4041.5.
Horses not in owner's colors.
Under special circumstances a horse may be permitted by the stewards to run in colors not those of the owner.
4041.6.
Wearing of advertising or promotional material.
(a) A jockey may not wear any clothing other than the usual helmet, silks, pants, boots and gloves nor display on such clothing any material other than authorized advertising or promotional material without permission of the stewards.
(b) Advertising or promotional material may be worn by a jockey provided such jockey has filed with the stewards and the race track in a form furnished by the board at least 24 hours before the applicable race, a description of the advertising or promotional material to be worn with the name of the brands and sponsors and referring to a written authorization therefor by the managing owner of the horse to be ridden which authorization is also so filed.
(c) Notwithstanding the foregoing when a corporation, company or any other entity sponsors a race or raceday at the track, the track may prohibit such advertising or promotional material from being worn that represents a competitor of such sponsoring corporation, company or other entity. In this regard the track shall notify the stewards of such prohibition at least two hours before the first race of the day, and the jockey upon arrival in the jockeys' enclosure.
PART 4042
CORRUPT PRACTICES AND DISQUALIFICATIONS OF
PERSONS
4042.1.
Prohibition of corrupt practices.
Any person found by the stewards to have violated any of the following subdivisions of this section shall have such punishment imposed upon him, and the stewards shall take such other action in the manner as they may deem proper under this Article, including reference to the commission:
(a) Bribe, offer to bribe. If any person gives, offers or promises, directly or indirectly, any bribe in any form to any person having official duties in relation to any race or race horse or to any trainer, jockey or agent or to any other person having charge of or access to any race horse.
(b) Accept, offer to accept bribe. If any person having official duties in relation to any race track, race or race horse, or if any trainer, jockey, agent or other person having charge of or access to any race horse, solicit, accept or offer to accept any bribe in any form.
(c) Fail to report offer of bribe. If any person licensed by the commission shall be approached with an offer or promise of a bribe or with a request or a suggestion for a bribe or for any improper, corrupt or fraudulent act or practice in relation to a race or racing, or that any race shall be conducted otherwise than fairly and in accordance with this Article, and if such licensed person shall not immediately report the matter to the stewards.
(d) Enter disqualified horse. If any person willfully enters or cause or permit to be entered or to start in any race a horse which he knows or has reason to believe to be disqualified.
(e) Use illegal appliances. If any person shall have in his possession in or about any race track or shall use, appliances--electrical, mechanical or otherwise--other than the ordinary equipment, of such nature as could affect the speed or racing condition of a horse.
(f) Fraudulent, corrupt act. If any person be guilty of any improper, corrupt or fraudulent act or practice in relation to racing, or shall conspire with any other person to commit or shall assist in the commission of any such act or practice.
4042.4.
Results of disqualification.
(a) Persons denied admission to tracks. Anyone who has been ruled off or who has been suspended, whether temporarily for investigation or otherwise, and anyone penalized as in this Part provided by the highest official regulatory racing body having jurisdiction where the offense occurred, shall be denied admission to all race tracks licensed by the commission until duly reinstated, unless otherwise determined by the commission.
(b) Persons barred from racing. A person whose license has been revoked or has been suspended, whether temporarily for investigation or otherwise, and so long as his exclusion or suspension continues shall not be qualified, whether acting as agent or otherwise, to subscribe for or to enter or to run any horse for any race either in his own name or in that of any other person.
(c) Horses suspended. All horses in the charge of a trainer whose license has been revoked or has been suspended, whether temporarily for investigation or otherwise, shall be automatically suspended from racing during the period of the trainer's exclusion or suspension. Permission may be given by the stewards for the transfer of such horses to another trainer during such period, and upon such approval such horses shall again be eligible to race.
(d) Track record voided. In the event that a horse establishes a track or other record in a race and it shall be determined by competent authority that the chemical analysis of any specimen taken from such horse shows the presence of a drug which is of such a character as could affect the racing condition of the horse in such race, then such record shall be null and void.
(a) No person while on the grounds of a licensed or franchised track, who is licensed as trainer, assistant trainer, jockey, apprentice jockey, exercise rider, assistant starter, outrider, groom, valet, pony-horse rider, or anyone who is riding a horse in a race, a warm-up for a race or riding on a horse anywhere on the grounds, or anyone who aids or participates in the preparation of a race or a horse for a race, or is licensed by the board, shall have present within the body of such person any controlled substance listed in schedules I through V of section 3306 of the Public Health Law, unless advance permission to ride a horse or participate in any manner in a race, while using such substance, pursuant to prescription by a licensed physician, has been granted in writing by the board.
(b) Every such person, which includes all licensees, shall, upon the request of a steward or paddock judge, deliver a specimen of urine or subject himself to the taking of a blood sample by a licensed physician, as directed by such official. Failure by such person to provide such sample as so directed shall be a violation of these rules and subject such person to fine and license suspension. In addition, in no event shall any person ride or participate in any manner in the administration of or in any race, and/or the preparation of a horse for a race, on the day such sample is requested until such specimen has been taken as directed.
(c) In the event that analysis of a urine or blood sample, by the testing facility designated by the board, discloses the presence of a prohibited controlled substance, such fact shall be reported to the board, which shall schedule an immediate interview with such person, pending which such person shall not be permitted to ride or participate in any manner in any race. As a result of such interview, the board may restore full riding and/or license privileges to such person after such person has delivered a current sample for analysis, continue such temporary suspension of riding and/or license privileges pending receipt of the result of analysis of any sample directed to be taken at such interview, or take such other action as the board may deem appropriate, including fine, revocation, suspension or the conditioning of continued licensing upon the satisfactory enrollment in and completion of a drug treatment program or drug educational program designated by the board.
(d) Disclosure of the results of analysis and other reports made in the course of enforcement of this section shall be treated as confidential insofar as is consistent with law.
PART 4043
DRUGS
PROHIBITED AND OTHER PROHIBITIONS
The terms and words used in this Part shall mean:
(a) Administer. Cause the introduction of a substance into the body of a horse.
(b) Laboratory. The official racing chemical detection laboratory designated by the board.
(c) Drug. Any substance or its metabolites which does not exist naturally in the untreated horse and which can have a pharmacological effect on a horse.
(d) Sample. Any body substance, including, but not limited to, blood or urine taken from a horse at the direction of the board or its officials for the purposes of analysis. A sample is a pre- race sample when it is taken before a race pursuant to the rules governing the pre-race testing program. A sample is a post-race sample when it is taken after a horse races pursuant to the rules governing the post-race testing program.
(e) Post-race positive test. A finding by the laboratory that a drug or other substance the use of which is restricted by section 4043.2 of this Part, was present in the sample and was administered at a time and in a manner prohibited by this Part.
(f) Pre-race positive test. A finding by the laboratory that a drug could be present in the sample.
(g) Out-of-competition positive test. A
finding by the laboratory that any of the prohibited substances described in
Rule 4043.12 was present in the sample.
(h) Practicing veterinarian. A veterinarian who treats any race horse.
(i) Start of a racing program. The scheduled post-time of the first race of a program containing a race in which the horse is to compete.
4043.2 Restricted use of drugs, medication and other substances.
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) which may contain antibiotics but do not contain benzocaine, steroids or other drugs; and
(2) antibiotics, vitamins, electrolytes, and other food supplements as 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, which has qualified for its 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 his/her 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 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 association
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 association veterinarian on or before time of entry.
(4) Removal from the furosemide list. A horse, which has been eligible for the administration of furosemide, may be removed from the list, upon authorization from the stewards.
(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 applicable time period set forth in
subparagraphs (2)(i) through (iv) of this subdivision.
(6) Administration
of furosemide. For the purposes of this rule, furosemide shall be administered only in the following
manner:
A single
intravenous (IV) injection of no less than 150 milligrams 3cc and no more than
500 milligrams (10cc) on the grounds of a licensed or franchised racing
association or corporation during the time period from 4 to 4 1/2 hours before
the scheduled post time of the race in which the horse is to compete.
(7) Ineligibility to start. Any horse, which 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 which 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) electrolytes, 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) Either one, but
no more than one, of the following two non-steroidal anti-inflammatory drugs
may be administered by intravenous injection until 24 hours before the
scheduled post time of the race in which the horse is to compete:
(1) flunixin
(2) phenylbutazone.
(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, except as otherwise provided
pursuant to subdivision [b] of this section, thiazide
derivatives;
(6) epinephrine
(adrenaline);
(7) selenium/vitamin E
(e.g., E-Se);
(8) griseofulvin (e.g., Fulvicin);
(9) hormones and
steroids (e.g., testosterone, progesterone, estrogens, chorionic gonadatropin, glucocorticoids),
except in conjunction with joint aspiration as restricted in subdivision (i) of this section; the use of anabolic steroids is
governed by Rule 4043.15;
(10) Hyaluronic Acid derivatives
(11) Immuno stimulants
(12) iodine
injection (e.g., Hypodermin, Harvey's Injectible Blister);
(13) methenamine (e.g., Urotropin);
(14) the following nonsteroidal anti-inflammatory drugs (NSAID's): Phenylbutazone (e.g., Butazolidin),
Flunixin (e.g., Banamine), meclofenamic acid (Arquel),
naproxen (e.g., Naprosyn, Equiproxen
;), Ketoprofen (e.g., Orudis);
(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).
They may not be
administered within 48 hours of the scheduled post time of the race in which
the horse is to compete, except that phenylbutazone
or flunixin may be used in accordance with the
specific authorization set forth in paragraph d of this rule.
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) trichloromethiazide;
(7) vermifuges (worm medicines), except phenothiazine.
They may not be
administered within 72 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 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;
(6) detomidine;
(7) glycopyrrolate;
(8) guaifenesin;
(9) hydroxyzine;
(10) isoxsuprine;
(11)lidocaine;
(12) mepivicaine;
(13) pentoxifylline ;
(14) phenytoin;
(15) pyrilamine;
(16) xylazine.
They may not be administered within 96 hours of the scheduled post time of the race aain 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) 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 which has had a joint aspirated (in conjunction with a steroid injection) 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 board for its use.
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 which 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 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 board 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.
4043.4. Trainer's responsibility.
A trainer shall be responsible at all times for the condition of all horses trained by him. No trainer shall start or permit a horse in his custody, care or control to be started if he knows, or he 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 he can show by substantial evidence that neither he 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 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.
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.
4043.6 Erythropoietin and Darbepoietin
(a) A finding by the laboratory that the antibody of erythropoietin or darbepoietin 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 paragraph (b).
(b) Any horse that has been the subject of a finding by the laboratory that the antibody of erythropoietin or darbepoietin 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 darbepoietin 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 darbepoietin was present in the sample taken from that horse.
4043.7 Reserpine
and Fluphenazine
4043.8 TCO2 Blood Gas Testing Program
(a) The board may obtain pre-race blood samples from horses for
subsequent testing for total carbon dioxide level (TCO2). The board may also obtain post-race blood
samples from horses for subsequent testing for TCO2, after a minimum one-hour
standing at rest period after its race.
It shall be a violation of this rule where the horse’s TCO2 level equals
or exceeds thirty-seven (37) millimoles per liter or,
for horses administered furosemide pursuant to Rule
4043.2(b)(6), thirty-nine (39) millimoles per liter.
(b) It shall be an affirmative defense that the horse’s physiologically
normal TCO2 level was not exceeded. To demonstrate a horse's physiologically
normal TCO2, its owner or trainer must comply with the following
procedure. The owner or trainer must, in
writing to the stewards within three calendar days of receiving notice of the
horse's TCO2 test result, contend that the horse's reported TCO2 level is
physiologically normal and request that the horse be held in guarded
quarantine. If so, the racetrack
operator shall make available a guarded quarantine for a time determined by the
state steward, not to exceed 72 hours, at the sole expense of the requesting
licensee. During the quarantine, the
horse shall be retested periodically, and although the horse shall not race, it
may be exercised and trained at times prescribed by the racetrack operator
provided this does not interfere with monitoring, sampling, and testing the
horse. The state steward shall then
determine whether the horse's pre-race TCO2 level was physiologically normal
for it. The state steward may also
require, at least 45 days later, that the horse re-establish its normal 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 Racing and Wagering Board, all of whom shall
provide their respective track identification badge or Board-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 (i) for a first violation, a 60-day license suspension and one-thousand
dollar ($1000) fine; (ii) for a second violation, a 75-day license suspension
and two-thousand five-hundred dollar ($2500) fine; and (iii) for additional
violations, a one-year suspension and five-thousand dollar ($5000) fine
together with a referral to the board 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 4043.2 of this subtitle, 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 Rule 4043.5, and pre-race detention
shall be imposed.
(a) A horse that tests in violation of Rule 4043.8 shall be
placed under pre-race detention, without regard to whether the horse is
transferred to a new trainer, for a period of six (6) months from the date of
violation. If during the detention
period a horse again tests in violation of Rule 4043.8, 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 (6) hours before the start of
the race program and as required by the stewards. Where a claimed horse is found to have excess
TCO2, the costs of a pre-race detention shall be the responsibility of the
party requesting detention.
(b) All horses of a trainer who has violated Rule 4043.8
more than once in the preceding 12 months shall be placed under pre-race
detention, without regard to whether the horses are transferred to a new
trainer, for a period of eight (8) months from the date of the most recent
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 (6)
hours before the start of the race program and as required by the
stewards. If during a detention period a
trainer violates Rule 4043.8, then the detention period shall be extended for
such time as the stewards deem appropriate.
4043.10 TCO2 testing: punishment for failure to cooperate
It
shall be a violation of Rule 4042.1(f) for any person subject to the
jurisdiction of the Board to fail to cooperate with the blood gas testing
program.
4043.11 Use and disposal of hypodermic syringes and needles
To ensure drug testing
accuracy, all hypodermic syringes and needles may be used only once by a track
or practicing veterinarian. The
collection, security and disposal of the used syringes and needles are the responsibility
of a track or practicing veterinarian.
4043.12 Out-of-Competition Testing
(a) Any horse on the
grounds of a racetrack under the jurisdiction of the Board or stabled off track
grounds is subject to testing without advance notice for blood doping, gene doping,
protein and peptide-based drugs, including toxins and venoms, and other drugs
and substances while under the care or control of a trainer or owner licensed
by the Board.
(b) Horses to be tested shall be selected at
the discretion of the State judges or any Board representative. Horses
to be tested shall be selected from among those anticipated to compete at
(c) The State steward or any Board representative
may require any horse of a licensed trainer or owner to be brought to a track
under the jurisdiction of the Board for out-of-competition testing when that
horse is stabled out-of-state at a site located within a radius not greater
than 100 miles from a
(d) A Board veterinarian
or any licensed veterinarian authorized by the State steward or any Board representative
may at any time take a urine or blood sample from a horse for out of
competition testing.
(e) Prohibited
substances are:
(1) blood doping agents including, but not
limited to, erythropoietin (EPO), darbepoetin, Oxyglobin, Hemopure, Aranesp, or any substance that abnormally enhances the
oxygenation of body tissues;
(2) gene doping agents or the nontherapeutic use of genes, genetic elements, and/or cells
that have the capacity to enhance athletic performance or produce analgesia;
(3) protein and peptide-based drugs,
including toxins and venoms.
(f) The presence of
any substance at anytime described in subsections (1),(2) or (3) of subdivision
(e) is a violation of this rule for which the horse may be declared ineligible
to participate until the horse has tested negative for the identified
substance, and for which the trainer shall be responsible pursuant to Board
Rule 4043.4.
(g) The trainer,
owner, and/or their designees and any licensed or franchised racing corporation
shall cooperate with the Board and its representatives/designees by:
(1) assisting in the immediate location and
identification of the horse selected for out-of-competition testing;
(2) providing a stall or safe location to
collect the samples;
(3) assisting in properly procuring the
samples; and
(4) obeying any instruction necessary to
accomplish the provisions of this rule.
The failure or
refusal to cooperate in the above by any franchisee, licensee or other person
shall subject the franchisee, licensee or person to penalties, including
license suspension or revocation, the imposition of a fine and exclusion from
tracks or facilities subject to the jurisdiction of the Board.
(h) Any horse which
is not made available for testing as directed, including the failure to grant
access on a timely basis, shall in the absence of acceptable mitigating
circumstances, be ineligible to participate in racing for one hundred twenty
days.
(i)
In the absence of extraordinary mitigating circumstances, a minimum penalty of
a ten (10) year suspension will be assessed for any violation set forth in subdivision
(f).
(j) An application
to the Board 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 Board
representatives to such off-track premises.
(a) The use of one of four approved anabolic steroids shall be permitted under the following conditions:
(1)
Not to exceed the following permitted urine or plasma threshold concentrations:
(i) 16β-hydroxystanozolol (metabolite of stanozolol (Winstrol)) – 1 ng/ml in urine
(ii) Boldenone (Equipoise) In male horses other than
geldings, including free boldenone and boldenone liberated from its conjugates - 15 ng/ml in urine
(iii) Nandrolone – 1 ng/ml
in urine
(iv) Testosterone
(a) In geldings—20 ng/ml in urine
(b) In fillies and mares—55 ng/ml in urine
(2) Any other anabolic steroids are prohibited to be administered.
(3) The presence of more than one of the four approved anabolic steroids above
the approved thresholds is not permitted.
(4) Post-race urine or plasma samples collected from intact males must be
identified to the laboratory.
(5) Any horse to which an anabolic steroid 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 in urine.
Once the concentration is below the designated threshold the horse is eligible
to be removed from the list.
(b) A violation of this section shall be considered a positive test within the
meaning of Part 4043.
PART 4044
VOLUNTARY
EXCLUSION FROM RACETRACKS AND RESTRICTIONS ON TELEPHONE ACCOUNT WAGERING
(a) Each racing association or corporation shall establish a system by which a person may voluntarily exclude himself or herself from entering the premises of the race track.
(b) Each racing association or corporation which maintains telephone betting accounts for wagering on races shall establish procedures that are designed to permit an account holder to voluntarily place limits on the amount of his or her wagers. This restriction may be calculated on a daily or weekly basis.
(c) A self-excluded person or an account holder who has placed restrictions on his or her account may remove such exclusion or restrictions upon request made to the racing association or corporation, however no request from a person to remove any self-exclusion or limit placed on account wagers shall be effective until seven days after it has been received by the racing association or corporation.
4044.2 Self-exclusion from racetrack.
(a) Each racing association or corporation shall create a list of self-excluded persons and shall post information explaining how an individual may add his or her name to the list.
(b) An individual’s name may be added to the list of self-excluded persons if the individual has notified the racing association or corporation in writing or in person of his or her pledge not to visit a race track by filing an application for placement on the racing association’s or corporation’s list of self-excluded persons. The application shall be designed to include a removable label or "tear-off" with information concerning the availability of services to assist compulsive gamblers.
(c) An application for self-exclusion shall include all of the following information about the individual who is applying:
(1) full name and all aliases;
(2) physical description including height, weight, hair and eye color, skin color, and any other noticeable physical characteristics;
(3) current home address;
(4) social security number;
(5) date of birth.
(6) statement that the individual is seeking self-exclusion;
(7) a photograph suitable for the racing association or corporation to use to identify the individual.
(8) other information that the racing association or corporation considers necessary.
(d) An individual’s name shall be placed on the list of self-excluded persons after all of the following have occurred:
(1) the individual has submitted an application to be placed on the racing association’s or corporation’s list of self-excluded persons.
(2) the signature of a racing association or corporation employee authorized to accept such request, indicating that the signature of the person on the request for removal from the self-exclusion list appears to agree with that contained on his or her identification credentials and that any photograph or physical description of the person appears to agree with his or her actual appearance or identification credentials.
(3) the individual has signed an affidavit in which he or she affirms that he or she wishes to be placed on the list of self-excluded persons;
(4) the individual signs a form releasing the State of New York and the racing association or corporation from any injury the individual suffers as a consequence of placing his or her name on the list of self-excluded persons.
(e) Each racing association or corporation shall file with the board no later than thirty days after the effective date of this Part a plan for implementing subdivision one of this rule and for disseminating the information contained in the applications for placement on the list of self-excluded persons. The plan shall be designed to safeguard the confidentiality of the information but shall include dissemination to all of the following:
(1) the racing association or corporation managerial employee who has responsibility over the entire wagering operations; and
(2) all security and surveillance personnel.
(f) A racing association or corporation shall not offer coupons, market its services, or send advertisements to, or otherwise solicit the patronage of, those persons whose names are on the list of self-excluded persons.
(g) The racing association or corporation shall keep a record of each individual whose name is on the list of self-excluded persons. If a racing association or corporation identifies a person on the premises of their racetrack, the racing association or corporation shall, after confirming that the individual has filed an affidavit under this section, immediately remove the individual from the race track.
(h) A request for removal from the self-exclusion list shall include:
(1) the identifying information specified in (c)(1 through 5), above;
(2) the signature of the person requesting removal from the self-exclusion list indicating acknowledgment of the following statement: "I certify that the information that I have provided above is true and accurate. I am aware that my signature below constitutes a revocation of my previous request for self-exclusion, and I authorize the racing association or corporation to reinstate my wagering privileges at their race track."; and
(3) the signature of a racing association or corporation employee authorized to accept such request, indicating that the signature of the person on the request for removal from the self-exclusion list appears to agree with that contained on his or her previously filed identification credentials and that any photograph or physical description of the person appears to agree with that information filed previously or actual appearance if the request for removal is made in person.
(4) no request from a person to remove himself or herself from any self-exclusion list shall be effective until seven days after it has been received by the racing association or corporation.
(i) This rule does not create any right or cause of action on behalf of the individual whose name is placed on the list of self-excluded persons against the State of New York, the board or a racing association or corporation.
4044.3 Voluntary restrictions on telephone account wagering
(a) Any holder of an account authorized pursuant to section one thousand twelve of the Racing, Pari-Mutuel Wagering and Breeding Law may voluntarily place limits on the amount of his or her wagers. This restriction may be calculated on a daily or weekly basis.
(1) Each racing association or corporation which maintains telephone betting accounts for wagering on races shall establish procedures that are designed to deny wagering privileges beyond a daily or weekly threshold set by the account holder;
(2) Any holder of an account voluntarily restricted may have such restrictions removed or modified upon written or in person request to the racing association or corporation. No request from a person to remove any limit placed on account wagers shall be effective until seven days after it has been received by the racing association or corporation.
(b) Each racing association or corporation which maintains telephone betting accounts for wagering on races shall file with the board no later than thirty days after the effective date of this Part a copy of its procedures established pursuant to subdivision two of this rule.