Code of Maine Rules
01 - DEPARTMENT OF AGRICULTURE, CONSERVATION AND FORESTRY
017 - MAINE STATE HARNESS RACING COMMISSION
Chapter 11 - MEDICATIONS, PROHIBITED SUBSTANCES AND TESTING
Section 017-11-3 - Collection and Analysis of Biological Samples

Universal Citation: 01 ME Code Rules ยง 017-11-3

Current through 2024-13, March 27, 2024

1. For the purpose of determining the presence of any prohibited substance, the Department, at its discretion, may collect a biological sample from every winning horse in every race or performance against time. The Presiding Judge or a representative of the Department, at any race meeting, may order any other horse that has raced or that has been "declared in" to any race to have a biological sample taken for the purpose of determining the presence of any prohibited substance.

2. Pre-race testing may be conducted any time after the horse enters the paddock.

3. A Department representative or the Presiding Judge may order any horse designated for testing to be offered water in order to encourage a successful urine collection. Horses will be watered under supervision of the trainer and Department Veterinarian utilizing watering containers supplied by the trainer.

4. State Testing Area

The following rules shall apply to a state testing area.

A. Every owner, trainer, or authorized agent of an owner or trainer for any horse or horses programmed to race shall immediately, whenever provided for in Commission rules, submit the horse or horses to the Department Veterinarian for such examination or sampling as the Department Veterinarian may deem advisable.

B. The state testing area will be operated in accordance with Commission rules and supervised by Department representatives.

C. Unless otherwise directed by a Department representative, the winning horse, in every race and any other horse specified by the Presiding Judge or a Department representative, shall be taken by an owner, trainer or authorized agent of an owner or trainer to the state testing area immediately following the race. Horses may be held in the state testing area for up to one and one-half hours in order to obtain a biological sample. Compliance with this paragraph shall be the responsibility of the trainer. Failure to comply is a Level One violation of Commission rules.

D. A winning horse claimed in a race, and any other claimed horse specified for examination, must be taken to the state testing area by the former owner, trainer or that former owner or trainer's authorized agent and by the successful claimant. The former owner, trainer or that former owner or trainer's authorized agent and the successful claimant must be present to observe the procedures and to sign for the biological sample or samples when taken from the horse. The successful claimant must then receive the horse. The responsibility for any violation(s) a rising from the chemical analysis of samples taken from the claimed horse, does not follow the claimant for the particular race, but remains with the trainer of the horse at the time raced.

E. The horse shall remain in the state testing area until released by an authorized Department representative.

F. No stable equipment other than that necessary for washing off and cooling out will be permitted in the state testing area. The trainer or the trainer's authorized agent may perform the duties of bathing, cooling out and watering the horse.

G. An owner, trainer or authorized agent of a trainer of a horse in the state testing area may enter for the purpose of inspecting the horse after making it known to the person in charge of the testing area. If the service of a veterinarian is required, that service must be performed in the presence of the Department Veterinarian. No medications, whether topical, oral, or injectable, shall be administered in the state testing area, except as administered by the Department Veterinarian.

H. An owner, trainer or authorized agent of a trainer of any horse being tested must remain with the horse while the test sample is drawn and witness the sealing of the test sample and any split sample. Failure to do so is prima facie evidence that the trainer accepts the validity of the procedure and samples.

5. Samples -How Taken

Biological samples shall be taken in accordance with Commission rules and following established protocols.

A. The Department Veterinarian shall make every reasonable attempt to collect sufficient sample medium to provide for the necessary analysis and a split sample where applicable.

B. All samples obtained shall immediately be sealed in a suitable container and witnessed by the trainer or trainer's authorized agent and certified to by his or her signature.

C. Samples collected for analysis shall be sent with dispatch to the laboratory designated by the Department.

D. Split samples, when feasible to collect, shall be retained in accordance with established procedures so as to maintain the integrity of the sample and the chain of custody.

6. Out-of-Competition Testing

A. Any horse on the grounds at a racetrack under the jurisdiction of the Commission, or stabled off association grounds while under the care or control of trainer or owner licensed by the Commission, is subject to testing without advance notice.

B. Horses to be tested shall be selected at the discretion of a Department representative.

C. Trainers shall fully comply with the instructions of the Commission, which may include but are not limited to the following: trainers shall present their horse(s) for testing at the specified time and place mandated by the Commission; testing procedures may be performed on the grounds of any Commission licensed Association, trainer's training facility or any other location under Commission jurisdiction. Failure to comply shall result in the horse(s) being ineligible to race, and shall be considered a violation equivalent to a Class A violation. It is a defense to any action brought against an owner and/or trainer that good cause existed that prohibited the owner and/or trainer from complying with the time limits set forth in this subsection. The owner and/or trainer has the burden of proving that good cause existed by a preponderance of the evidence.

D. The Commission may require a licensed trainer to allow, at any time, the Department Veterinarian accompanied by a Department Representative, access to a premises where the horse(s) is/are kept for the purpose of obtaining a blood sample from such horse(s). Such sample(s) would be for the purpose of "out of competition testing".All such samples obtained, shall immediately be sealed in a suitable container, and witnessed by the trainer of record, the authorized and/or certified agent of such trainer, or both. The proper signatures shall be applied in the presence of a State Steward for the purposes of the integrity of the chain of custody.

7. Failure to Allow Tests. A refusal to allow the taking of a biological sample, or any act or threat to impede or prevent or otherwise interfere with the taking of a biological sample is a Level One violation of Commission rule Chapter 17. The matter shall be referred to the Commission for further review.

8. Presence of Prohibited Substances - Procedures

Whenever there is a sample result indicating the presence of a prohibited substance in violation of these rules, the following procedures shall apply:

A. In the case of a pre-race test for the which the results are known prior to a race, the horse shall be scratched from the race and a report sent to the Department. The Department will initiate a hearing before the Commission at the earliest appropriate date.

B. In the case of a post-race test, the laboratory designated by the Department shall notify the Department pursuant to the established timeframes. Positive test results shall be administered in accordance with the following procedures:
(1) The Department shall notify the trainer of the laboratory findings as soon as feasible.

(2) The Department shall advise the trainer of his/her right to have a split and/or DNA sample processed, when applicable, which shall be shipped and tested, at his/her expense, to a laboratory approved by the Department. The trainer must make such request in writing to the Department within seventy-two hours of receipt of notification of the primary testing laboratory's findings.

(4) When a confirmatory sample is requested, the Department shall cause the split sample to be shipped in accordance with procedures developed by the Department to maintain the integrity of the sample and chain of custody to the approved laboratory as soon as practicable after receiving the written request.

(5) The Department shall pursue resolution of the matter consistent with Commission policy and Chapter 17 of the Commission rules at the earliest possible date.

C. The trainer shall cooperate with the Department Veterinarian accompanied by a State Steward, by:
(1) Assisting in the immediate location and identification of the horse(s) 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.

Refusal to comply with the Commission's directives for obtaining a sample under this rule is a basis for suspension of a trainer's license.

D. The collection of blood, urine or hair samples under this rule shall be sufficient to provide sample matrix for the:
(1) Approved primary laboratory for screening;

(2) Approved primary laboratory for confirmation; and,

(3) Approved laboratory for split sample testing. The Commission shall approve the laboratories for screening, confirmation, and split sample testing.

E. In the event of an initial finding of a prohibited substance in violation of Commission rules, the laboratory shall notify the Commission, both orally and in writing, and an oral and written notice shall be issued by the Commission to the owner and trainer or other responsible person no more than seventy-two (72) hours after receipt of the initial finding.

F. If a confirmatory test is desired of the third sample, the owner, trainer or other responsible person shall so notify the Commission in writing within seventy-two (72) hours after receipt of the written notification of the initial positive test.

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