New York Codes, Rules and Regulations
Title 9 - EXECUTIVE DEPARTMENT
Subtitle T - New York State Gaming Commission
Chapter I - Division of Horse Racing and Pari-Mutuel Wagering
Subchapter A - Thoroughbred Racing
Article 1 - Rules of Racing
Part 4043 - Drugs Prohibited and Other Prohibitions
Section 4043.12 - Prohibited substances and methods

Universal Citation: 9 NY Comp Codes Rules and Regs § 4043.12

Current through Register Vol. 47, No. 12, March 26, 2025

(a) The substances and methods listed in the ARCI prohibited list are prohibited, may not be used at any place or time and may not be possessed on the premises of any racing or training facility under the jurisdiction of the commission except as a restricted therapeutic use. ARCI prohibited list means the "Prohibited List" annexed to Model Rule ARCI-011-015 Version 7.0 (approved December 9, 2016) of the Association of Racing Commissioners International, Inc., 1510 Newtown Pike, Suite 210, Lexington, KY 40511, which is hereby incorporated by reference. Such Uniform Rules of Racing are available for public inspection at the New York State Gaming Commission located at 354 Broadway, Schenectady, NY 12305 and at the Department of State, 99 Washington Avenue, Albany, NY 12231.

(b) Restricted therapeutic use. A limited number of medications and methods listed in the ARCI Prohibited List shall be exempted when the administration occurs in compliance with the required conditions for restricted therapeutic use set forth in the table in this subdivision, whose columns shall mean:

(1) Report when sampled means the administration of the substance must be reported to the commission when the horse is next sampled, if the horse is sampled within 24 hours after the administration;

(2) Pre-File treatment plan means that if the commission where the horse is located requires the filing of treatment plans, then a treatment plan for the substance must be filed by the time of administration in a manner approved by such commission;

(3) Written approval from commission means the commission has granted written approval of a written treatment plan before the administration of the substance, including as may be required by the column's footnotes;

(4) Emergency use (report) means the substance had to be administered due to an acute emergency involving the life or health of the horse, provided the emergency use is reported to the commission as soon as practicable after the treatment occurs;

(5) Prescribed by veterinarian means the substance has been prescribed by an attending veterinarian in a manner consistent with the standards and procedures described in section 4043.16 of this Article and recorded in a manner consistent with the requirements of section 4012.4 of this Article;

(6) Report treatment means the treatment must be reported to the commission by the trainer at the time of administration to provide the commission with information for the veterinarian's list. The trainer may delegate this responsibility to the treating veterinarian, who shall make the report when so designated; and

(7) Other limitations means additional requirements that apply, such as a substance may be used in only fillies or mares or a horse that is administered a substance shall be reported immediately to the commission and placed on the veterinarian's list for a specific minimum period of time.

Required Conditions for Restricted Therapeutic Use

Prohibited substance

Report when sampled

Prefile treatment plan

Written approval from commission

Emergency use (report)

Prescribed by veterinarian

Report treatment

Other limitations

adrenocorticotropichormone (ACTH)

x

x

-

albuterol

x

-

altrenogest

x

fillies/ mares only

autol ogous conditioned plasma (IRAP)

x

x

-

blood replacements

x

x

x

-

boldenone

x

x

x

6-month vet list

clenbuterol

x

x

x

x

Vet list

chorionic gonadotropin

x

x-1

x

x

60-day vet list

furosemide

x

x

-

luteinizing hor mone

x

x-1

x

x

60-day vet list

mesenchymal stem cells

x

x

x

-

nandrolone

x

x

x

6-month vet list

nucleic polymer transfers

x

x

x

x

-

platelet rich plasma (PRP)

x

x

-

stanozolol

x

x

x

6-month vet list

S0 (not FDA- approved)

x-2

x

-

testosterone

x

x

x

6-month vet list

thyroxine (T4)

x

x-3

x

-

trichlormex thiazide

x

x

-

other diuretics

x

x

x

-

Notes:

x-1: The approved treatment plan must show a specific treatment of a specific individual horse for an undescended testicle condition.

x-2: The approved treatment plan must show:
(A) the substance has a generally accepted veterinary use;

(B) the treatment provides a significant health benefit for the horse;

(C) there is no reasonable therapeutic alternative; and

(D) the use of the substance is highly unlikely to produce any additional enhancement of performance beyond what might be anticipated by a return to the horse's normal state of health, not exceeding the level of performance of the horse prior to the onset of the horse's medical condition.

x-3: The approved treatment plan must show:
(A) the thyroxine is prescribed to a specific individual horse for a specific period of time;

(B) the diagnosis and basis for prescribing such drug, the dosage, and the estimated last administration date; and

(C) that any container of such drug on licensed premises shall be labeled with the foregoing information and contain no more thyroxine than for the treatment of the specific individual horse, as prescribed.

(c) No person shall at any time administer any other doping agent to a horse except pursuant to a valid therapeutic, evidence-based treatment plan.

(1) Other doping agent means a substance that is not described in subdivision (a) of this section or the ARCI Prohibited List, has a pharma-cologic potential to alter materially the performance of a horse, had no generally accepted medical use in the horse when treated, and is:
(i) capable at any time of causing an action or effect, or both, within one or more of the blood, cardiovascular, digestive, endocrine, immune, musculoskeletal, nervous, reproductive, respiratory, or urinary mammalian body systems; including without limitation endocrine secretions and their synthetic counterparts, masking agents, oxygen carriers and agents that directly or indirectly affect or manipulate gene expression; but

(ii) not a substance that is considered to have no effect on the physiology of a horse except to improve nutrition or treat or prevent infections or parasite infestations.

(2) The commission may publish advisory warnings that certain substances or administrations may constitute a violation of this section.

(3) Therapeutic, evidence-based treatment plan means a planned course of treatment written and prescribed by an attending veterinarian before the horse is treated that:
(i) describes the medical need of the horse for the treatment, the evidence-based scientific or clinical justification for using the doping agent and a determination that recognized therapeutic alternates do not exist; and

(ii) complies with section 4043.16 of this Part, meets the standards of veterinary practice in the jurisdiction and is developed in good faith to treat a medical need of the horse.

(4) Such plans shall not authorize the possession of a doping agent on the premises of a racing or training facility under the jurisdiction of the commission.

(5) If the other doping agent is a protein- or peptide-based agent or drug that may produce analgesia or enhance the performance of a horse beyond such horse's natural ability, then the administration of such substance to such horse and the possession of such substance on the premises of a licensed racetrack also shall be
(i) limited to a time, place and manner specifically permitted in writing by the commission before the administration of such substance;

(ii) for a recognized therapeutic use; and

(iii) subject to such appropriate limitations as the commission may place on the return of the horse to running races.

(d) Consistency with other restrictions.

(1) The prohibited doping agents, substances and methods described in this section are prohibited regardless of any other sections, including 4043.2 and 4043.3, of this Part.

(2) The use of a prohibited doping agent, substance or method under conditions permitted by this section must also comply with other applicable rules of the commission, including, without limitation, sections 4043.2, 4043.3, 4043.6, 4043.15 and 4043.16 of this Part.

(e) Penalties.

(1) A horse found to be in violation of this section shall be ineligible to participate in racing until it is certain that the horse is no longer affected by the prohibited substance or method and for not less than 180 days, after which the horse must qualify in a workout satisfactory to the stewards and test negative for prohibited or impermissible drugs or other substances. The minimum fixed period of ineligibility for a horse in violation of this section 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 4043 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 prohibited substance or method in violation of this section shall, in the absence of extraordinary mitigating circumstances, incur a minimum penalty of license revocation in addition to any other penalties authorized in this Article.

(f) 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 actual or constructive notice of the horse's ineligibility.

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