PUBLIC PROTECTION CABINET

Kentucky Horse Racing Commission

(Amendment)

 

      811 KAR 1:090. Medication; testing procedures; prohibited practices.

 

      RELATES TO: KRS 230.215, 230.240, 230.260, 230.265, 230.290, 230.310, 230.320

      STATUTORY AUTHORITY: KRS 230.215, 230.240, 230.260, 230.320

      NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2), 230.260(3), and 230.320 authorize the commission to promulgate administrative regulations prescribing the conditions under which horse racing shall be conducted in Kentucky. KRS 230.240(2) requires the commission to promulgate administrative regulations restricting or prohibiting the administration of drugs or stimulants or other improper acts to horses prior to the horse participating in a race. This administrative regulation establishes requirements and controls in the administration of drugs, medications, and substances to horses, governs certain prohibited practices, and establishes trainer responsibility relating to the health and fitness of horses.

 

      Section 1. Definitions. (1) "AAS" or "anabolic steroid" means an anabolic androgenic steroid.

      (2) "Administer" means to apply to or cause the introduction of a substance into the body of a horse.

      (3) "Commission laboratory" means a laboratory chosen by the commission to test biologic specimens from a horse taken under the supervision of the commission veterinarian.(4) "Location under the jurisdiction of the commission" means a licensed race track or a training center as described in KRS 230.260(5).

      (5) "Permitted NSAIDs" means the following permitted non-steroidal anti-inflammatory drugs: phenylbutazone, flunixin, and ketoprofen, if administered in compliance with Section 8 of this administrative regulation.

      (6) "Positive finding" means the commission laboratory has conducted testing and determined that a drug, medication, or substance, the use of which is restricted or prohibited by this administrative regulation, was present in the sample.

      (a) For the drugs, medications or substances listed in Section 2(3), 6, or 8 of this administrative regulation, a positive finding means a finding in excess of the established concentration level prescribed in those sections.

      (b) Positive findings also include:

      1. Substances present in the horse in excess of concentrations at which the substances might occur naturally; and

      2. Substances foreign to a horse at concentrations that cause interference with testing procedures.

      (7) "Primary sample" means the primary sample portion of the biologic specimen taken under the supervision of the commission veterinarian to be tested by the commission laboratory.

      (8) "Split sample" means the split sample portion of the biologic specimen taken under the supervision of the commission veterinarian to be tested by the split sample laboratory.

      (9) "Split sample laboratory" means the laboratory approved by the commission to test the split sample portion of the biologic specimen taken from a horse under the supervision of the commission veterinarian.

      (10) "Test barn" means a fenced enclosure sufficient in size and facilities to accommodate the stabling of horses temporarily detained for obtaining specimens for pre-race and post-race testing.

      (11) "Therapeutic AAS" means boldenone, nandrolone, or testosterone.

 

      Section 2. Use of Medication. (1) Therapeutic measures and medication necessary to improve or protect the health of a horse shall be administered to a horse in training under the direction of a licensed veterinarian.

      (2) Except as specifically permitted in Sections 4, 5, 6, and 8 of this administrative regulation, while participating in a race (betting or nonbetting), qualifying race, time trial, or official workout, a horse shall not carry in its body any drug, medication, substance, or metabolic derivative, that:

      (a) Is a narcotic;

      (b) Could serve as an anesthetic or tranquilizer;

      (c) Could stimulate, depress, or affect the circulatory, respiratory, cardiovascular, musculoskeletal, or central nervous system of a horse; or

      (d) Might mask or screen the presence of a prohibited drug, or prevent or delay testing procedures.

      (3) Therapeutic medications shall not be present in excess of established threshold concentrations set forth in this administrative regulation. The threshold for furosemide is set forth in Section 6 of this administrative regulation. The thresholds for permitted NSAIDS are set forth in Section 8 of this administrative regulation.

      (4) A substance shall not be present in a horse in excess of a concentration at which the substance could occur naturally. It shall be the responsibility of the commission to prove that the substance was in excess of normal concentration levels.

      (5) It shall be prima facie evidence that a horse was administered and carried, while running in a race (betting or nonbetting), qualifying race, time trial, or official workout, a drug, medication, substance, or metabolic derivative thereof, prohibited by this section, if:

      (a) A biologic specimen from the horse was taken under the supervision of the commission veterinarian promptly after a horse ran in a race (betting or nonbetting), qualifying race, time trial, or official workout; and

      (b) The commission laboratory presents to the commission a report of a positive finding.

      (6) The commission shall utilize the Kentucky Horse Racing Commission Uniform Drug, Medication, and Substance Classification Schedule, as provided in 811 KAR 1:093, for classification of drugs, medications, and substances violating this administrative regulation. Penalties for violations of this administrative regulation shall be implemented in accordance with 811 KAR 1:095.

 

      Section 3. Treatment Restrictions. (1) Except as set forth in Section 4 of this administrative regulation, [or the oral administration of phenylbutazone as set forth in Section 8 of this administrative regulation,]a person other than a veterinarian licensed to practice veterinary medicine in Kentucky and licensed by the commission shall not administer a prescription or controlled drug, medication, or other substance to a horse at a location under the jurisdiction of the commission.

      (2) The only injectables allowed within twenty-four (24) hours prior to post time of the race in which the horse is entered shall be furosemide, as set forth in Section 6 of this administrative regulation.

      (3) Except as set forth in subsection (5) of this section, a person other than a veterinarian licensed to practice veterinary medicine in Kentucky and licensed by the commission shall not possess a hypodermic needle, syringe, or injectable of any kind at a location under the jurisdiction of the commission.

      (4) A veterinarian licensed to practice veterinary medicine in Kentucky and licensed by the commission shall use only single-use disposable needles and syringes, and shall dispose of them in a container approved by the commission veterinarian.

      (5) If a person regulated by the commission, has a medical condition that makes it necessary to possess a needle and syringe at a location under the jurisdiction of the commission, the person shall request prior permission from the judges and furnish a letter from a licensed physician explaining why it is necessary for the person to possess a needle and syringe. The judges may grant approval for a person to possess and use a needle and syringe at a location under the jurisdiction of the commission, but may establish necessary restrictions and limitations.

      (6) A commission employee may accompany a veterinarian at a location under the jurisdiction of the commission and take possession of a syringe, needle, or other device used to administer a substance to a horse.

 

      Section 4. Certain Permitted Substances. Liniments, antiseptics, antibiotics, ointments, leg paints, washes, and other products commonly used in the daily care of horses may be administered by a person other than a licensed veterinarian if:

      (1) The treatment does not include any drug, medication, or substance otherwise prohibited by this administrative regulation;

      (2) The treatment is not injected; and

      (3) The person is acting under the direction of a licensed trainer or veterinarian licensed to practice veterinary medicine in Kentucky and licensed by the commission.

 

      Section 5. Anti-Ulcer Medications. The following anti-ulcer medications may be administered orally, at the dosage stated in this section, up to twenty-four (24) hours prior to post time of the race in which the horse is entered:

      (1) Cimetidine (TagametÒ): 8-20 mg/kg;

      (2) Omeprazole (GastrogardÒ): two and two-tenths (2.2) grams;

      (3) Ranitidine (ZantacÒ): eight (8) mg/kg; and

      (4) Sulcrafate: 2-4 grams.

 

      Section 6. Furosemide Use on Race Day. (1) Furosemide may be administered, in accordance with this section, to a horse that is entered to compete in a race (betting or nonbetting), qualifying race, time trial, or official workout.

      (2)(a) The commission veterinarian shall administer furosemide prior to a race (betting or nonbetting), time trial, or official workout.

      (b) If the commission veterinarian is unavailable to administer furosemide to a horse prior to a race, the commission shall approve a licensed veterinarian to perform the administration. The approved licensed veterinarian shall agree to comply with all of the applicable administrative regulations regarding the administration of furosemide on race day.

      (c) If the furosemide is administered by an approved licensed veterinarian, the administering veterinarian shall provide a written report to the commission veterinarian no later than two (2) hours prior to post time of the race in which the horse receiving furosemide is competing.

      (3) Furosemide may be used under the following circumstances:

      (a) Furosemide shall be administered on the grounds of the racing association at which the horse will compete or work;

      (b) Except for qualifying races, furosemide shall be administered by a single intravenous injection, not less than four (4) hours prior to post time for the race, time trial, or official workout in which the horse is entered;

      (c) The furosemide dosage administered shall not exceed 500 mg, nor be less than 150[be less than 100 mg and shall not exceed 250] mg;

      (d) The specific gravity of a post-race urine sample shall not be below 1.010. If the specific gravity of the post-race urine sample is determined to be below 1.010, a quantification of furosemide in blood serum or plasma shall be performed. If a horse fails to produce a urine specimen, the commission laboratory shall perform a quantification of furosemide in the blood serum or plasma specimen. Concentrations above 100 nanograms of furosemide per milliliter of blood serum or plasma shall constitute a violation of this section; and

      (4) The initial cost of administering the furosemide shall be twenty (20) dollars per administration. The commission shall monitor the costs associated with administering furosemide and consult with industry representatives to determine if the cost should be lowered based on prevailing veterinarian services and supplies. The commission shall maintain records documenting the basis for its determination, and if the cost is determined to be less than twenty (20) dollars per administration, then the commission shall lower the cost accordingly. The cost shall be prominently posted in the racing office.

 

      Section 7. Furosemide Eligibility. (1)(a) A horse shall be eligible to qualify with furosemide if the licensed trainer or a licensed veterinarian determines that it would be in the horse's best interest to race with furosemide. Notice that a horse eligible to receive furosemide will race with or without furosemide shall be made at the time of entry to ensure public notice, including publication in the official racing program.

      (b) It shall constitute a violation of this administrative regulation if notice is made pursuant to this section that a horse will race with furosemide, and the post-race urine, blood serum, or plasma does not show a detectable concentration of furosemide in the post-race urine, blood serum, or plasma.

      (c) Horses eligible for furosemide and entered to start may be monitored by a commission-approved representative during the four (4) hour period prior to post time of the race in which the horse is entered.

      (2) After a horse has been determined to no longer be required to receive furosemide, the horse shall not be eligible to receive furosemide unless the licensed trainer or a licensed veterinarian determines that it would be in the horse’s best interests to race with furosemide and the licensed trainer or a licensed veterinarian complies with the requirements of this section.

 

      Section 8. Permitted Non-steroidal Anti-Inflammatory Drugs (NSAIDs). (1) One (1) of the NSAIDs listed in this section may be used not less than twenty-four (24) hours prior to post time for the race for which the horse is entered if the concentration in the horse's specimen does not exceed the levels set forth in this section when tested post-race.

      (2) Phenylbutazone.

      (a) A single[oral or] intravenous administration of phenylbutazone may be administered not less than twenty-four (24) hours prior to post time of the race for which the horse is entered.

      (b) The phenylbutazone dosage administered shall not exceed[:

      1. Two (2) mg/lb oral; or

      2.] two (2) mg/lb intravenous.

      (c) A post-race biologic specimen of phenylbutazone reported to exceed a level of two (2)[five (5)] micrograms per milliliter of blood serum or plasma shall be considered a violation of this section.[(d) The oral administration of phenylbutazone may be performed by the trainer.]

      (3) Flunixin.

      (a) A single intravenous administration of flunixin may be administered not less than twenty-four (24) hours prior to post time of the race for which the horse is entered.

      (b) The flunixin dosage administered shall not exceed .5 mg/lb.

      (c) A post-race biologic specimen of flunixin reported to exceed a level of twenty (20) nanograms per milliliter of blood serum or plasma shall be considered a violation of this section.

      (4) Ketoprofen.

      (a) A single intravenous administration of ketoprofen may be administered not less than twenty-four (24) hours prior to post time of the race for which the horse is entered.

      (b) The ketoprofen dosage administered shall not exceed 1 mg/lb.

      (c) A post-race sample of ketoprofen reported to exceed a level of ten (10) nanograms per milliliter of blood serum or plasma shall be considered a violation of this section.

      (5) Phenylbutazone, flunixin or ketoprofen, injected intravenously, shall be administered by a licensed veterinarian approved by the commission.

      (6)(a) The use of any NSAID other than the permitted NSAIDs, and the use of multiple permitted NSAIDs shall be discontinued at least forty-eight (48) hours prior to post time for the race in which the horse is entered.

      (b) A finding of phenylbutazone below a concentration of one-half (.5)[one (1)] microgram per milliliter of blood serum or plasma shall not constitute a violation of this section.

      (c) A finding of flunixin below a concentration of three (3) nanograms per milliliter of blood serum or plasma shall not constitute a violation of this section.

      (7) A horse that has been administered phenylbutazone, flunixin, or ketoprofen shall be subject to having a biologic specimen collected under the supervision of the commission veterinarian to determine the quantitative phenylbutazone, flunixin, or ketoprofen level present in the horse or the presence of other drugs in the horse.

 

      Section 9. Anabolic Steroids. (1) An exogenous AAS shall not be present in a horse that is racing. The detection of an exogenous AAS or metabolic derivative in a post-race or a pre-race sample after the horse has been entered shall constitute a violation of this administrative regulation.

      (2) The detection in a post-race sample of an endogenous AAS or metabolic derivative where the concentration of the AAS, a metabolite, a marker, or any relevant ratio as has been published in peer-reviewed scientific literature deviates from a naturally occurring physiological level shall constitute a violation of this administrative regulation. The following shall be deemed to be naturally occurring physiological levels:

      (a) Boldenone (free and conjugated):

      1. In male horses other than geldings - 15 ng/ml in urine or 200 pg/ml in blood serum or plasma; and

      2. In geldings and female horses, boldenone shall not be permitted.

      (b) Nandrolone (free and conjugated):

      1. In geldings - 1 ng/ml in urine or 50 pg/ml in blood serum or plasma;

      2. In fillies and mares - 1 ng/ml in urine or 50 pg/ml in blood serum or plasma; and

      3. In male horses other than geldings - 45 ng/ml of metabolite, 5α-estrane-3β, 17α-diol in urine or a ratio in urine of 5α-estrane-3β, 17α-diol to 5α-estrene-3β, 17α-diol of >1:1.

      (c) Testosterone (free and conjugated):

      1. In geldings - 20 ng/ml in urine or 25 pg/ml in blood serum or plasma; and

      2. In fillies and mares - 55 ng/ml in urine or 25 pg/ml in blood serum or plasma.

      (3) In accordance with this subsection, a horse may receive one (1) therapeutic AAS.

      (a) The therapeutic AAS shall be given for the sole purpose of treating an existing illness or injury having been diagnosed by the regular attending veterinarian. An owner or trainer who is uncertain about whether a particular purpose is considered to be therapeutic shall consult with the commission prior to administration.

      (b) The horse shall be ineligible to race in Kentucky until all of the following have occurred:

      1. A minimum of sixty (60) days has passed since the administration of the therapeutic AAS to the horse;

      2. A relevant specimen is taken from the horse;

      3. The sample is tested for AAS by a laboratory from the approved list established by the commission at the expense of the owner of the horse; and

      4. The commission has received a report from the laboratory of a negative finding regarding the sample.

      (c) A report from the commission laboratory of a negative finding in a pre-race sample does not provide a safe harbor for the owner, trainer, veterinarian or horse. A report from the commission laboratory of a positive finding in a post-race sample shall be treated as a violation of this administrative regulation even if there was a negative finding by the commission laboratory in a pre-race sample.

      (d) The horse shall not be entered to race until at least sixty (60) days after the administration of the therapeutic AAS to the horse.

      (e) Procedures for administration of therapeutic AAS.

      1. A therapeutic AAS shall be administered by a licensed veterinarian.

      2. Other treatment methods shall be investigated prior to considering the use of therapeutic AAS.

      3. Medical records for the horse shall document:

      a. Consideration of alternative treatment methods; and

      b. The necessity for administering the therapeutic AAS.

      4. The administering veterinarian shall record on the Therapeutic AAS Administration Form the following information:

      a. The therapeutic AAS administered, the amount in milligrams, route, and site of administration;

      b. The date and time of administration;

      c. The name, age, sex, color, and registration certificate number of the horse to which the therapeutic AAS is administered; and

      d. The diagnosis and justification for administration of the therapeutic AAS to the horse.

      5. The Therapeutic AAS Administration Form shall be signed by the veterinarian administering the medication.

      6. The Therapeutic AAS Administration Form shall be delivered electronically to the commission equine medical director within seventy-two (72) hours after administration. If the Therapeutic AAS Administrative Form cannot be delivered electronically, the veterinarian shall file the form with the equine medical director in person or through the mail. The submitting veterinarian shall confirm receipt by the equine medical director.

      (4) Substances referred to in subsections (1) and (2) of this section are "Class B" drugs. A positive test for an exogenous AAS or for an amount of an endogenous AAS in excess of a concentration referred to in subsection (2) of this section shall be subject to the penalties referred to in 811 KAR 1:095.

      (5)(a) The detection of a therapeutic AAS or metabolic derivative in any sample in excess of a threshold level set forth in subsection (2) of this section shall constitute a violation.

      (b) Each separate therapeutic AAS detected in excess of a threshold level shall constitute a separate violation.

      (6) The trainer and veterinarian for the horse shall be charged accordingly and shall be subject to penalties for a violation of this administrative regulation.

      (7)(a) A claimed horse may be tested for the presence of an AAS if the claimant requests the test when the claim form is completed and deposited in the association’s claim box. The claimant shall bear the costs of the test. The results of the test shall be reported to the presiding judge.

      (b) If a test is positive, the claim may be voided at the option of the claimant and the claimant shall be entitled to return of all sums paid for the claimed horse, expenses incurred after the date of the claim, and the costs of testing.

      (c) If the test is negative, the claimant shall reimburse the entity paying for the testing or the prior owner for the cost of the testing.

(d) While awaiting test results, a claimant:

      1. Shall exercise due care in maintaining and boarding a claimed horse; and

      2. Shall not materially alter a claimed horse.

      (8) The gender of the horse from which a post-race biologic specimen is collected shall be identified to the commission veterinarian and the testing laboratory.

      (9) Only a licensed veterinarian may possess or administer a therapeutic AAS.

 

      Section 10. Test Barn. (1) During a licensed meet, a licensed association shall provide and maintain a test barn on association grounds.

      (2) The test barn shall be a fenced enclosure sufficient in size and facilities to accommodate the stabling of horses temporarily detained for the taking of biologic specimens for pre-race and post-race testing.

      (3) The test barn shall be under the supervision and control of the commission veterinarian.

 

      Section 11. Sample Collection, Testing and Reporting. (1) Sample collection shall be done in accordance with the procedures provided in 811 KAR 1:260 and under the instructions provided by the commission veterinarian.

      (2) The commission veterinarian shall determine a minimum sample requirement for the commission laboratory which shall be uniform for each horse and which shall be separated into primary and split samples.

      (3) An owner or trainer may request that a split sample be:

      (a) Taken from a horse he owns or trains by the commission veterinarian; and

      (b) Tested by the split sample laboratory.

      (4) The cost of testing under subsection (3) of this section, including shipping, shall be borne by the owner or trainer requesting the test.

      (5)(a) Stable equipment other than that necessary for washing and cooling out a horse shall not be permitted in the test barn.

      (b) Buckets and water shall be furnished by the commission veterinarian.

      (c) If a body brace is to be used on a horse, it shall:

      1. Be supplied by the trainer; and

      2. Applied only with the permission and in the presence of the commission veterinarian or his designee.

      (d) A licensed veterinarian may attend to a horse in the test barn only with the permission of, and in the presence of, the commission veterinarian or his designee.

      (6) Within five (5) business days of receipt of notification by the commission laboratory of a positive finding, the commission shall notify the owner and trainer orally or in writing of the positive finding.

      (7) The judges shall schedule a hearing within fourteen (14) calendar days of notification by the commission to the owner and trainer. The hearing may be continued if the judges determine that a continuance is necessary to effectively resolve the issue.

 

      Section 12. Storage and Shipment of Split Samples. (1) Split samples shall be secured and made available for further testing in accordance with the following procedures:

      (a) Split samples shall be secured in the test barn in the same manner as the primary samples for shipment to the commission laboratory as addressed in Section 11 of this administrative regulation, until the primary samples are packed and secured for shipment to the commission laboratory. Split samples shall then be transferred to a freezer or refrigerator at a secure location approved and chosen by the commission;

      (b) A freezer or refrigerator for storage of split samples shall be equipped with a lock. The lock shall be secured to prevent access to the freezer or refrigerator at all times except as specifically provided by paragraph (c) of this subsection;

      (c) A freezer or refrigerator for storage of split samples shall be opened only for depositing or removing split samples, for inventory, or for checking the condition of samples;

      (d) A log shall be maintained by the commission veterinarian that shall be used each time a split sample freezer or refrigerator is opened to specify each person in attendance, the purpose for opening the freezer or refrigerator, identification of split samples deposited or removed, the date and time the freezer or refrigerator was opened, the time the freezer or refrigerator was closed and verification that the lock was secured prior to and after opening of the freezer or refrigerator. A commission veterinarian or his designee shall be present when the freezer or refrigerator is opened;

      (e) Evidence of a malfunction of a split sample freezer or refrigerator shall be documented in the log; and

      (f) The commission shall be considered the owner of a split sample.

      (2)(a) A trainer or owner of a horse receiving notice of a positive finding may request that a split sample corresponding to the portion of the sample tested by the commission laboratory be sent to the split sample laboratory. The party requesting the split sample shall select from a list of laboratories approved by the commission to perform the analysis.

      (b) The request shall be made in writing and delivered to the judges within three (3) business days after the trainer or owner of the horse receives oral or written notice of the positive finding by the commission laboratory.

      (c) A split sample so requested shall be shipped as expeditiously as possible.

      (3)(a) The owner or trainer requesting testing of a split sample shall be responsible for the cost of the testing, including the cost of shipping.

      (b) Failure of the owner, trainer or a designee to appear at the time and place designated by the commission veterinarian in connection with securing, maintaining and shipping the split sample shall constitute a waiver of any right to be present during split sample testing procedures.

      (c) Prior to shipment of the split sample, the commission shall confirm:

      1. That the split sample laboratory has agreed to provide the testing requested;

      2. That the split sample laboratory has agreed to send results to the commission; and

      3. That arrangements for payment satisfactory to the split sample laboratory have been made.

      (d) The commission shall maintain a list of laboratories approved for the testing of split samples and the list shall be on file at the offices of the commission.

 

      Section 13. Split Sample Chain of Custody. (1) Prior to opening the split sample freezer or refrigerator, the commission shall provide a split sample chain of custody verification form. The form to be used shall be the Split Sample Chain of Custody Form. The form shall be fully completed during the retrieval, packaging, and shipment of the split sample and shall contain the following information:

      (a) The date and time the sample is removed from the split sample freezer or refrigerator;

      (b) The sample number; and

      (c) The address where the split sample is to be sent.

      (2) A split sample shall be removed from the split sample freezer or refrigerator by a commission employee after notice to the owner, trainer, or designee, and a commission-designated representative shall pack the split sample for shipment in accordance with the packaging procedures directed by the commission. The Split Sample Chain of Custody Form shall be signed by both the owner's representative, if present, and the commission representative to confirm the proper packaging of the split sample for shipment. The exterior of the package shall be secured and sealed to prevent tampering with the package.

      (3) The owner, trainer or designee, if present, may inspect the package containing the split sample immediately prior to transfer to the delivery carrier to verify that the package is intact and has not been tampered with.

      (4) The Split Sample Chain of Custody Form shall be completed and signed by the representative of the commission and the owner, trainer or designee, if present.

      (5) The commission representative shall retain the original Split Sample Chain of Custody Form and provide a copy for the owner, trainer, or designee, if requested.

 

      Section 14. Medical Labeling. (1) A licensee on association grounds shall not have within his or her possession, or within his or her personal control, a drug, medication, or other substance that is prohibited from being administered to a horse on a race day unless the product is properly and accurately labeled.

      (2) A drug or medication which, by federal or state law, requires a prescription shall not be used or kept on association grounds unless validly prescribed by a duly licensed veterinarian.

      (3) A drug or medication shall bear a prescription label which is securely attached and clearly ascribed to show the following:

      (a) The name of the product;

      (b) The name, address and telephone number of the veterinarian prescribing or dispensing the product;

      (c) The name of the horse for which the product is intended or prescribed;

      (d) The dosage, duration of treatment and expiration date of the prescribed or dispensed product; and

(e) The name of the trainer to whom the product was dispensed.

 

      Section 15. Trainer Responsibility. (1) A trainer shall be responsible for the condition of a horse in his or her care.

      (2) A trainer shall be responsible for the presence of a prohibited drug, medication, substance, or metabolic derivative, including permitted medication in excess of the maximum allowable concentration, in a horse in his or her care.

      (3) A trainer shall prevent the administration of a drug, medication, substance, or metabolic derivative that may constitute a violation of this administrative regulation.

      (4) A trainer whose horse has been claimed shall remain responsible for a violation of this administrative regulation regarding that horse's participation in the race in which the horse is claimed.

      (5) A trainer shall be responsible for:

      (a) Maintaining the assigned stable area in a clean, neat and sanitary condition at all times;

      (b) Using the services of those veterinarians licensed by the commission to attend to a horse that is on association grounds;

      (c) The proper identity, custody, care, health, condition and safety of a horse in his or her care;

      (d) Promptly reporting the alteration of the sex of a horse to the horse identifier and the racing secretary;

      (e) Promptly reporting to the racing secretary and the commission veterinarian if a posterior digital neurectomy (heel nerving) is performed on a horse in his or her care and ensuring this fact is designated on its certificate of registration;

      (f) Promptly reporting to the racing secretary the name of a mare in his or her care that has been bred and is entered to race;

      (g) Promptly notifying the commission veterinarian of a reportable disease or communicable illness in a horse in his or her care;

      (h) Promptly reporting the serious injury or death of a horse, in his or her care, at a location under the jurisdiction of the commission to the judges and the commission veterinarian and ensuring compliance with Section 22 of this administrative regulation governing postmortem examinations;

      (i) Maintaining a medication record and medication status of a horse in his or her care;

      (j) Promptly notifying the judges and the commission veterinarian if the trainer has knowledge or reason to believe that there has been an administration to a horse of a drug, medication, or other substance prohibited by this administrative regulation or has knowledge or reason to believe that a prohibited practice has occurred as set forth in Section 20 of this administrative regulation;

      (k) Ensuring the fitness of every horse in his or her care to perform creditably at the distance entered;

      (l) Ensuring proper bandages, equipment, and shoes;

      (m) Ensuring the horse’s presence in the paddock at least one (1) hour prior to post time, or at a time otherwise prescribed, by racing officials before the race in which the horse is entered;

      (n) Personally attending in the paddock and supervising the preparation of a horse in his or her care, unless an assistant trainer fulfills these duties or the trainer is excused by the judges; and

      (o) Attending the collection of a biologic specimen taken from a horse in his or her care or delegating a licensed employee or the owner to do so.

 

      Section 16. Licensed Veterinarians. (1) A veterinarian licensed by the commission and practicing at a location under the jurisdiction of the commission shall be considered under the supervision of the commission veterinarian and the judges.

      (2) A veterinarian shall report to the judges or the commission veterinarian a violation of this administrative regulation by a licensee.

 

      Section 17. Veterinary Reports. (1) A veterinarian who treats a horse at a location under the jurisdiction of the commission shall submit a Veterinary Report of Horses Treated to be Submitted Daily form to the commission veterinarian containing the following information:

      (a) The name of the horse treated;

      (b) The type and dosage of drug or medication administered or prescribed;

      (c) The name of the trainer of the horse;

      (d) The date and time of treatment; and

      (e) Other pertinent information requested by the commission veterinarian.

      (2) The Veterinary Report of Horses Treated to be Submitted Daily form shall be signed by the treating veterinarian.

      (3) The Veterinary Report of Horses Treated to be Submitted Daily form shall be on file not later than the time prescribed on the next race day by the commission veterinarian.

      (4) The Veterinary Report of Horses Treated to be Submitted Daily form shall be confidential and its content shall not be disclosed except in the course of an investigation of a possible violation of this administrative regulation or in a proceeding before the judges or the commission, or to the trainer or owner of record at the time of treatment.

      (5) A timely and accurate filing of a Veterinary Report of Horses Treated to be Submitted Daily form by the veterinarian or his or her designee that is consistent with the analytical results of a positive test reported by the commission laboratory may be used as a mitigating factor in determining the appropriate penalties pursuant to 811 KAR 1:095.

      (6) A veterinarian having knowledge or reason to believe that a horse entered in a race has received a drug, medication or substance prohibited under this administrative regulation or has knowledge or reason to believe that a prohibited practice has occurred as set forth in Section 20 of this administrative regulation shall report this fact immediately to the commission veterinarian or to the judges.

      (7) A practicing veterinarian shall maintain records of all horses treated and of all medications sold or dispensed. The records shall include:

      (a) The name of the horse;

      (b) The trainer of the horse;

      (c) The date, time, amount and type of medication administered;

      (d) The drug or compound administered;

      (e) The method of administration; and

      (f) The diagnosis.

      (8) The records shall be retained for at least sixty (60) days after the horse has raced and shall be available for inspection by the commission.

 

      Section 18. Veterinarian's List. (1) The commission veterinarian shall maintain a list of horses determined to be unfit to compete in a race due to illness, physical distress, unsoundness, infirmity, or other medical condition.

      (2) A horse may be removed from the veterinarian's list if, in the opinion of the commission veterinarian, the horse is capable of competing in a race.

      (3) The commission veterinarian shall maintain a bleeder list of all horses that have demonstrated external evidence of exercise-induced pulmonary hemorrhage during or after a race or workout as observed by the commission veterinarian or a licensed veterinarian approved by the commission.

      (4) A horse that is a confirmed bleeder, regardless of age, shall be placed on the bleeder list and be ineligible to participate in a race (betting or nonbetting), qualifying race, time trial, or official workout for the following time periods:

      (a) First incident - fourteen (14) days;

      (b) Second incident within a 365 day period - thirty (30) days;

      (c) Third incident within a 365 day period - 180 days; and

      (d) Fourth incident within a 365 day period - barred from racing for life.

      (5) For the purpose of counting the number of days a horse is ineligible to run, the day after the horse bled externally shall be the first day of the recovery period.

      (6) The voluntary administration of furosemide without an external bleeding incident shall not subject a horse to the initial period of ineligibility as defined in this section.

      (7) A horse that has been placed on a bleeder list in another jurisdiction may be placed on the bleeder list maintained by the commission veterinarian.

 

      Section 19. Distribution of Purses, Barn Searches, and Retention of Samples. (1) Purse money shall be distributed no later than twenty-four (24) hours after notice from the commission that a final laboratory report has been issued.

      (2) The distribution of purse money prior to the issuance of a final laboratory report shall not be considered a finding that no prohibited drug, medication, substance, or metabolic derivative has been administered to a horse.

      (3) After the laboratory issues a positive finding, the executive director of the commission or the judges shall immediately authorize and execute an investigation into the circumstances surrounding the incident that is the subject of the positive finding.

      (4) At the conclusion of the investigation, a report shall be prepared and filed with the executive director and chairman of the commission detailing the findings of the investigation.

      (5) If the purse money has been distributed, the judges shall order the money returned at the conclusion of an investigation finding that a prohibited drug, medication, substance, or metabolic derivative was administered to a horse eligible for purse money.

      (6) At the conclusion of testing by the commission laboratory and split sample laboratory, the remaining portion of the samples at the commission laboratory and split samples remaining at the test barn may be retained at a proper temperature at a secure facility approved and chosen by the commission. If a report indicating a positive finding has been issued, the commission shall use its best reasonable efforts to retain any remaining portion of the sample until legal proceedings have concluded. The commission may freeze samples.

 

      Section 20. Other Prohibited Practices. (1) A drug, medication, or substance shall not be possessed of used by a licensee, or his designee or agent, within a nonpublic area at a location under the jurisdiction of the commission:

      (a) The use of which may endanger the health and welfare of the horse; or

      (b) The use of which may endanger the safety of the driver.

      (2) Without the prior permission of the commission or its designee, a drug, medication or substance that has never been approved by the United States Food and Drug Administration (USFDA) for use in humans or animals shall not be possessed or used at a location under the jurisdiction of the commission. The commission shall determine whether to grant prior permission after consultation with the Equine Drug Research Council.

      (3) The following blood doping agents shall not be possessed or used at a location under the jurisdiction of the commission:

      (a) Erythropoietin;

      (b) Darbepoetin;

      (c) Oxyglobin®;

      (d) Hemopure®; or

      (e) Any substance that abnormally enhances the oxygenation of body tissue.

      (4) A treatment, procedure or therapy shall not be practiced, administered, or applied which may:

      (a) Endanger the health or welfare of a horse; or

      (b) Endanger the safety of a driver.

      (5) Extracorporeal shock wave therapy or radial pulse wave therapy shall not be used unless the following conditions are met:

      (a) A treated horse shall not race for a minimum of ten (10) days following treatment;

      (b) A veterinarian licensed to practice by the commission shall administer the treatment;

      (c) The commission veterinarian shall be notified prior to the delivery of the machine on association grounds; and

      (d) A report shall be submitted by the veterinarian administering the treatment to the commission veterinarian on the Kentucky Horse Racing Commission Veterinary Report of Horses Treated with Extracorporeal Shock Wave Therapy form within twenty-four (24) hours of treatment.

      (6) Other than furosemide, an alkalizing substance that could alter the blood serum or plasma pH or concentration of bicarbonates or carbon dioxide in a horse shall not be used within twenty-four (24) hours prior to post time of the race in which the horse is entered.

      (7) Without the prior permission of the commission veterinarian or his designee, based on standard veterinary practice for recognized conditions, a nasogastric tube which is longer than six (6) inches shall not be used for the administration of any substance within twenty-four (24) hours prior to post time of the race in which the horse is entered.

      (8) A blood serum or plasma total carbon dioxide (TCO2) level shall not exceed 37.0 millimoles per liter in a horse to which furosemide has not been administered, or 39.0 millimoles per liter in a horse to which furosemide has been administered; except, no violation shall exist if the TCO2 level is found to be normal for the horse following the quarantine procedure set forth in Section 21 of this administrative regulation.

      (9) A blood gas machine shall not be possessed or used by a person other than an authorized representative of the commission at a location under the jurisdiction of the commission.

      (10) A shock wave therapy machine or radial pulse wave therapy machine shall not be possessed or used by anyone other than a veterinarian licensed by the commission at a location under the jurisdiction of the commission.

 

      Section 21. TCO2 Testing and Procedures. (1)(a) The presiding judge may order the pre-race or post-race collection of blood specimens from, and pre-race or post-race testing of, a horse to determine the total carbon dioxide concentration in the blood serum or plasma of the horse. The winning horse and other horses, as directed by the presiding judge, may be tested in each race to determine if there has been a violation of this administrative regulation.

      (b) Pre-race and post-race testing shall be done at a reasonable time, place, and manner as directed by the presiding judge in consultation with the commission veterinarian.

      (c) A specimen consisting of at least two (2) blood tubes shall be taken from a horse to determine the TCO2 concentration in the blood serum or plasma of the horse. If the commission laboratory determines that the TCO2 exceeds 37.0 millimoles per liter in a horse to which furosemide has not been administered, or 39.0 millimoles per liter in a horse to which furosemide has been administered, the executive director of the commission shall be informed of the positive finding.

      (d) If the specimen is taken prior to the race and the TCO2 exceeds 37.0 millimoles per liter in a horse to which furosemide has not been administered, or 39.0 millimoles per liter in a horse to which furosemide has been administered, the judges shall scratch the horse from the race.

      (e) Split sample testing for TCO2 may be requested by an owner or trainer in advance of the collection of the specimen by the commission veterinarian; however, the collection and testing of a split sample for TCO2 testing shall be done at a reasonable time, place and manner directed by the commission veterinarian.

      (f) The cost of split sample testing, including the cost of shipping, shall be borne by the owner or the trainer.

      (2)(a) If the level of TCO2 is determined to exceed 37.0 millimoles per liter in a horse to which furosemide has not been administered, or 39.0 millimoles per liter in a horse to which furosemide has been administered, and the licensed owner or trainer of the horse certifies in writing to the judges within twenty-four (24) hours after the notification of the test result that the level is normal for that horse, the owner or trainer may request that the horse be held in quarantine. If quarantine is requested, the licensed association shall make guarded quarantine available for that horse for a period of time to be determined by the judges but not for more than 120 hours.

      (b) The expense for maintaining the quarantine shall be borne by the owner or trainer.

      (c) During quarantine, the horse shall be re-tested periodically by the commission veterinarian.

      (d) The horse shall not be permitted to race during a quarantine period, but it may be exercised and trained at times prescribed by the licensed association and in a manner that allows monitoring of the horse by a commission representative.

      (e) During quarantine, the horse shall be fed only hay, oats, water, and, subject to the specific approval of the commission veterinarian, the horse’s usual feed ration and supplements. In addition, subject to approval of the commission veterinarian, the horse shall be administered furosemide by the commission veterinarian in the same manner and at the same dosage as was provided to horses eligible for furosemide on the day which the horse in quarantine raced.

      (f) If the commission veterinarian is satisfied that the horse’s level of TCO2, as registered in the original test, is physiologically normal for that horse, the judges:

      1. Shall permit the horse to race; and

      2. May require repetition of the quarantine procedure set forth in paragraphs (a) through (f) of this subsection to reestablish that the horse's TCO2 level is physiologically normal.

 

      Section 22. Postmortem Examination. (1) A horse that dies or is euthanized on the grounds of a licensed association or training center under the jurisdiction of the commission shall undergo a postmortem examination at the discretion of the commission and at a facility designated by the commission, through its designee, as provided in 810 KAR 1:012, Section 14.

      (2) The commission shall bear the cost of an autopsy that is required by the commission.

      (3) The presence of a prohibited drug, medication, substance or metabolic derivative thereof in a specimen collected during the postmortem examination of a horse that died during a pari-mutuel race shall constitute a violation of this administrative regulation.

 

      Section 23. Incorporation by Reference. (1) The following material is incorporated by reference:

      (a) "Veterinary Report of Horses Treated to be Submitted Daily", KRC-2, 8/97;

      (b) "Split Sample Chain of Custody Form", KHRC 18-01, 4/12;

      (c) "Veterinary Report of Horses Treated with Extracorporeal Shock Wave Therapy", KHRC 18-02, 4/12; and

      (d) "Therapeutic AAS Administration Form", KHRC 18-03, 4/12.

      (2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Horse Racing Commission, 4063 Iron Works Parkway[Pike], Building B, Lexington, Kentucky 40511, Monday through Friday, 8:00 a.m. to 4:30 p.m. This material is also available on the commission’s Web site at http://khrc.ky.gov.

 

ROBERT M. BECK, Jr., Chairman

ROBERT D. VANCE, Secretary

      APPROVED BY AGENCY: December 30, 2013

      FILED WITH LRC: January 10, 2014 at 2 p.m.

      PUBLIC HEARING AND COMMENT PERIOD: A public hearing on this administrative regulation shall be held be held on February 25, 2014 at 10:00 a.m., at the offices of the Kentucky Horse Racing Commission, 4063 Iron Works Parkway, Building B, Lexington, Kentucky 40511. Individuals interested in being heard at this hearing shall notify the Kentucky Horse Racing Commission in writing by February 18, 2014, five (5) working days prior to the hearing, of their intent to attend. If no notification of intent to attend the hearing is received by that date, the hearing may be cancelled. This hearing is open to the public. Any person who wishes to be heard will be given an opportunity to comment on the proposed administrative regulation. A transcript of the public hearing will not be made unless a written request for a transcript is made. If you do not wish to be heard at the public hearing, you may submit written comments on the proposed administrative regulation. Written comments shall be accepted until February 28, 2014. Please send written notification of intent to be heard at the public hearing or written comments on the proposed administrative regulation to the contact person below.

      CONTACT PERSON: Susan B. Speckert, General Counsel, Kentucky Horse Racing Commission, 4063 Iron Works Parkway, Building B, Lexington, Kentucky 40511, phone (859) 246-2040, fax (859) 246-2039.

 

REGULATORY IMPACT ANALYSIS AND TIERING STATEMENT

 

Contact Person: Susan B. Speckert

      (1) Provide a brief summary of:

      (a) What this administrative regulation does: This administrative regulation governs the administration of drugs, medications, and substances to standardbred horses racing at licensed racing associations in Kentucky. It identifies both permitted and prohibited substances and establishes protocols for the administration of the permitted substances. It establishes procedures for the collection, storage, and shipment of biologic specimens that will be tested for regulated substances, as well as the chain of custody and testing protocols for those biologic specimens. The administrative regulation defines a trainer’s responsibilities, making the trainer responsible for the condition of any horse in his or her care. It establishes reporting requirements for veterinarians who are treating racehorses in Kentucky and creates a Veterinarian’s List, which documents all horses that the commission veterinarian determines to be unfit for racing. Finally, it establishes procedures for the post-mortem examination of horses that die or are euthanized on the grounds of a licensed racing association or training center under the jurisdiction of the commission.

      (b) The necessity of this administrative regulation: This administrative regulation is necessary to fulfill the statutory mandates found in KRS 230.215(2) and KRS 230.240(2). KRS 230.215(2) states that, [I]t is hereby declared the purpose and intent of this chapter in the interest of the public health, safety, and welfare, to vest in the racing commission forceful control of horse racing in the Commonwealth with plenary power to promulgate administrative regulations prescribing conditions under which all legitimate horse racing and wagering thereon is conducted in the Commonwealth…KRS 230.240(2) states that, The racing commission shall promulgate administrative regulations for effectively preventing the use of improper devices, and restricting or prohibiting the use and administration of drugs or stimulants or other improper acts to horses prior to the horse participating in a race. The racing commission may acquire, operate, and maintain, or contract for the maintenance and operation of, a testing laboratory and related facilities, for the purpose of saliva, urine, or other tests, and to purchase supplies and equipment for and in connection with the laboratory or testing processes… Without this administrative regulation, the commission would be unable to effectively fulfill the statutory mandates set forth above.

      (c) How this administrative regulation conforms to the content of the authorizing statutes: KRS 230.215(2) mandates that the commission establish the conditions under which horse racing and pari-mutuel wagering thereon shall be conducted in Kentucky and charges it to, "promulgate administrative regulations prescribing conditions under which all legitimate horse racing and wagering thereon is conducted in the Commonwealth." KRS 230.240(2) further requires the commission to promulgate administrative regulations restricting or prohibiting the administration of drugs or stimulants or other improper acts to horses prior to the horse participating in a race. This administrative regulation both identifies regulated substances and establishes protocols by which the commission can collect biologic specimens from horses and test those specimens for drugs or stimulants. In so doing, it allows the commission to "maintain horse racing at horse race meetings in the Commonwealth of the highest quality and free of any corrupt, incompetent, dishonest, or unprincipled horse racing practices, and to regulate and maintain horse racing at race meetings in the Commonwealth so as to dissipate any cloud of association with the undesirable and maintain the appearance as well as the fact of complete honesty and integrity of horse racing in the Commonwealth." See KRS 230.215.

      (d) How this administrative regulation currently assists or will assist in the effective administration of the statutes: KRS 230.215 requires the commission to regulate horse racing in Kentucky "free of any corrupt, incompetent, dishonest, or unprincipled horse racing practices, and to regulate and maintain horse racing at race meetings in the Commonwealth so as to dissipate any cloud of association with the undesirable and maintain the appearance as well as the fact of complete honesty and integrity of horse racing in the Commonwealth." KRS 230.240 requires the commission to promulgate administrative regulations restricting or prohibiting the administration of drugs or stimulants or other improper acts to horses prior to the horse participating in a race. This administrative regulation provides the specific policies, prohibitions, protocols, and procedures necessary to fulfill the statutory mandates set forth in KRS 230.215 and KRS 230.240. It also provides notice to owners and trainers regarding what medications and practices are, or are not, permitted.

      (2) If this is an amendment to an existing administrative regulation, provide a brief summary of:

      (a) How the amendment will change this existing administrative regulation: The changes to the administrative regulation are based on current medical research and make the standardbred medication regulation consistent with the medication regulation for Thoroughbreds and quarter horse, Appaloosas and Arabians.

      (b) The necessity of the amendment to this administrative regulation: The landscape of horse racing – as it pertains to the use of stimulants, drugs and other improper substances – is constantly changing and the commission must periodically amend its administrative regulations to keep pace with these developments. This amendment reflects industry-wide policy changes and is necessary to ensure that the commission’s regulatory framework accounts for recent developments in medical science.

      (c) How the amendment conforms to the content of the authorizing statutes: KRS 230.215(2) grants the commission the authority to regulate conditions under which horse racing and pari-mutuel wagering thereon shall be conducted in Kentucky and charges it to, "promulgate administrative regulations prescribing conditions under which all legitimate horse racing and wagering thereon is conducted in the Commonwealth." KRS 230.240(2) requires the commission to promulgate administrative regulations restricting or prohibiting the administration of drugs or stimulants or other improper acts to horses prior to the horse participating in a race. This amendment specifically addresses the administration of drugs or stimulants or other improper acts to horses prior to the horse participating in a race in Kentucky.

      (d) How the amendment will assist in the effective administration of the statutes: The amendment allows the commission to keep pace with developments in the medical and pharmaceutical industries. It also ensures that Kentucky’s regulatory framework is consistent with industry wide trends in this area which results in greater uniformity of rules among various racing jurisdictions.

      (3) List the type and number of individuals, businesses, organizations, or state and local governments affected by this administrative regulation: This administrative regulation will affect many of the commission’s licensees, either directly or indirectly, including owners, trainers and their employees, veterinarians, drivers, racing associations and their employees, and the commission itself. It will directly affect owners, trainers and veterinarians, who will have to comply with the amended administrative regulation. It will affect the commission, which is charged with administering and enforcing the rules. It will affect the commission’s official laboratory, which will be required to perform and report testing consistent with the amendment. It will indirectly affect the racing associations and wagering patrons, who will have increased confidence that standardbred racing in Kentucky is "free of any corrupt, incompetent, dishonest, or unprincipled horse racing practices." It will affect drivers, grooms, and any other persons who have direct contact with the racehorses, in that the amendment provides a strong deterrent to putting their health, safety, and welfare at risk through the use of prohibited substances.

      (4) Provide an analysis of how the entities identified in question (3) will be impacted by either the implementation of this administrative regulation, if new, or by the change, if it is an amendment, including:

      (a) List the actions that each of the regulated entities identified in question (3) will have to take to comply with this administrative regulation or amendment: The owners and trainers and practicing veterinarians will be required to conform their practices to the amended administrative regulation. The commission will be responsible for enforcing the amendments to the medication rules. The remainder of the entities identified in question (3) will not be required to take any action to comply with the amendment.

      (b) In complying with this administrative regulation or amendment, how much will it cost each of the entities identified in question (3): The owners and trainer will likely not bear any additional expenses as a result of this amendment.

      (c) As a result of compliance, what benefits will accrue to the entities identified in question (3): Each of the entities will benefit from more consistent and uniform rules based on medical science.

      (5) Provide an estimate of how much it will cost the administrative body to implement this administrative regulation:

      (a) Initially: There will be no cost to implement this administrative regulation.

      (b) On a continuing basis: There will be no cost on a continuing basis to enforce this administrative regulation.

      (6) What is the source of the funding to be used for the implementation and enforcement of this administrative regulation: No additional funding is required to implement or enforce this administrative regulation.

      (7) Provide an assessment of whether an increase in fees or funding will be necessary to implement this administrative regulation, if new, or by the change if it is an amendment: No increase in fees or funding will be necessary.

      (8) State whether or not this administrative regulation established any fees or directly or indirectly increased any fees: The administrative regulation does not establish any fees or directly or indirectly increase any fees.

      (9) TIERING: Is tiering applied? Tiering is not applied. All aspects of this administrative regulation will be applied equally to the affected parties.

 

FISCAL NOTE ON STATE OR LOCAL GOVERNMENT

 

      (1) What units, parts, or divisions of state or local government (including cities, counties, fire departments, or school districts) will be impacted by this administrative regulation? The Kentucky Horse Racing Commission.

      (2) Identify each state or federal statute or federal regulation that requires or authorizes the action taken by the administrative regulation. Kentucky Revised Statutes 230.215, 230.225, 230.260, 230.290, 230.310, 230.320.

      (3) Estimate the effect of this administrative regulation on the expenditures and revenues of a state or local government agency (including cities, counties, fire departments, or school districts) for the first full year the administrative regulation is to be in effect.

      (a) How much revenue will this administrative regulation generate for the state or local government (including cities, counties, fire departments, or school districts) for the first year? None.

      (b) How much revenue will this administrative regulation generate for the state or local government (including cities, counties, fire departments, or school districts) for subsequent years? None.

      (c) How much will it cost to administer this program for the first year? The amendment will not result in any additional costs to the commission.

      (d) How much will it cost to administer this program for subsequent years? The amendment will not result in any additional costs to the commission.

      Note: If specific dollar estimates cannot be determined, provide a brief narrative to explain the fiscal impact of the administrative regulation.

      Revenues (+/-):

      Expenditures (+/-):

      Other Explanation: