††††† 811 KAR 2:096. Medication; testing procedures; prohibited practices.

 

††††† RELATES TO: KRS 230.210, 230.215, 230.240, 230.260, 230.265, 230.290, 230.320

††††† STATUTORY AUTHORITY: KRS 230.215, 230.240, 230.260, 230.320

††††† NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) authorizes the Kentucky Horse Racing Commission to promulgate administrative regulations prescribing conditions under which all legitimate horse racing and wagering thereon is 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 responsibilities 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 horses 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 Sections 2(3), 6, or 8 of this administrative regulation, it shall be necessary to have a finding in excess of the established concentration level as provided in this administrative regulation for the finding to be considered a positive finding.

††††† (b) Positive findings also include:

††††† 1. Substances present in the horse in excess of concentrations at which the substances could 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 from horses taken 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 otherwise provided in Sections 4, 5, 6, and 8 of this administrative regulation, while participating in a race, 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 if it affects the performance of a horse. 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, 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; 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 2:093, 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 2:100.

 

††††† Section 3. Treatment Restrictions. (1) Except as provided in Section 4 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 provided by 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 have a needle and syringe at a location under the jurisdiction of the commission, the person shall request prior permission from the stewards and furnish a letter from a licensed physician explaining why it is necessary for the person to possess a needle and syringe. The stewards 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 also 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. Antiulcer Medications. The following antiulcer 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 (Tagamet): 8-20 mg/kg;

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

††††† (3) Ranitidine (Zantac): 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.

††††† (2)(a) The commission veterinarian shall administer furosemide prior to a race.

††††† (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 the furosemide is competing.

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

††††† (a) Furosemide shall be administered at a location under the jurisdiction of the commission, by a single intravenous injection, not less than four (4) hours prior to post time for the race in which the horse is entered.

††††† (b) The furosemide dosage administered shall not exceed 500 mg, nor be less than 150 mg.

††††† (c) 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.

††††† (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 race with furosemide if the licensed trainer or a licensed veterinarian determines that it would be in the horse's best interests 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 notification, 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 horseís best interest 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 following NSAIDs may be used by a single intravenous injection not less than twenty-four (24) hours prior to post time for the race in which the horse is entered if the concentration in the horseís specimen does not exceed the following levels when tested post race:

††††† (a) Phenylbutazone - not to exceed two (2) micrograms per milliliter of blood serum or plasma;

††††† (b) Flunixin - not to exceed twenty (20) nanograms per milliliter of blood serum or plasma; and

††††† (c) Ketoprofen - not to exceed ten (10) nanograms per milliliter of blood serum or plasma.

††††† (2) NSAIDs, including the permitted NSAIDs, shall not be administered within twenty-four (24) hours prior to post time for the race in which the horse is entered.

††††† (3)(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) 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.

††††† (4) A horse that has been administered an NSAID shall be subject to collection of a biologic specimen under the supervision of the commission veterinarian to determine the quantitative NSAID 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) 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 Administration 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 2:100.

††††† (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 associationís claim box. The claimant shall bear the costs of the test. The results of the test shall be reported to the chief state steward.

††††† (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 2:170 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 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 stewards 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 stewards determine a continuation 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 stewards 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, or 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 thereof 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 to 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 horses 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 horses that are on association grounds;

††††† (c) The proper identity, custody, care, health, condition, and safety of horses 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 that 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 stewards and the commission veterinarian and ensuring compliance with Section 22 of this administrative regulation and 810 KAR 1:012, Section 14, governing postmortem examinations;

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

††††† (j) Promptly notifying the stewards 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 that every horse he or she has entered to race is present at its assigned stall for a pre-race soundness inspection as prescribed by 810 KAR 1:024, Section 4(1)(d) and (l) and 4(2);

††††† (m) Ensuring proper bandages, equipment, and shoes;

††††† (n) Ensuring the horseís presence in the paddock at least twenty (20) minutes prior to post time, or at a time otherwise prescribed, before the race in which the horse is entered;

††††† (o) Personally attending in the paddock and supervising the saddling of a horse in his or her care, unless an assistant trainer fulfills these duties or the trainer is excused by the stewards pursuant to 811 KAR 2:045, Section 3(4); and

††††† (p) 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 stewards.

††††† (2) A veterinarian shall report to the stewards 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 treatment information requested by the commission veterinarian.

††††† (2) The Veterinary Report of Horses Treated to be Submitted Daily form shall be signed by the treating practicing 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 stewards 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 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 2:100.

††††† (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 stewards.

††††† (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 when, 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.

††††† (4) Every horse that is a confirmed bleeder, regardless of age, shall be placed on the bleeder list and be ineligible to race 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) For all races, purse money shall be paid pursuant to the process provided in 811 KAR 2:035, Section 29(2).

††††† (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 commission laboratory issues a positive finding, the executive director of the commission or the stewards 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 stewards 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 or used by a licensee, or his designee or agent, to a horse 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 rider.

††††† (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) Darbepoietin;

††††† (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 rider.

††††† (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; 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; and

††††† (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 stewards or commission veterinarian may order the pre-race or post-race collection of blood specimens from 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 selected by the stewards, may be tested in each race to determine if there has been a violation of this administrative regulation.

††††† (b) Pre-race testing shall be done at a reasonable time, place, and manner directed by the chief state steward 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 level exceeds thirty-seven (37) millimoles per liter, the executive director of the commission shall be informed of the positive finding.

††††† (d) 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.

††††† (e) 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 thirty-seven (37) millimoles per liter and the licensed owner or trainer of the horse certifies in writing to the stewards 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 stewards, but in no event for more than seventy-two (72) hours.

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

††††† (c) During quarantine, the horse shall be retested 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, and water.

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

††††† 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 may 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) "Kentucky Horse Racing Commission 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 Ironworks Parkway, Building B, Lexington, Kentucky 40511, Monday through Friday, 8:00 a.m. to 4:30 p.m. This material is also available on the commissionís Web site at http://khrc.ky.gov. (14 Ky.R. 535; eff. 10-2-87; Am. 1689; eff. 3-10-88; 38 Ky.R. 2084; 39 Ky.R. 243; eff. 8-31-12.)