Aggravating and Mitigating Factors
. Upon a finding of
a violation of 205 CMR 3.29
, the judges shall consider the classification level
of the violation as listed at the time of the violation in the Uniform
Classification Guidelines for Foreign Substances
as promulgated by the
Association of Racing Commissioners International (ARCI) and impose penalties
and disciplinary measures consistent with the recommendations contained
therein. The judges shall also consult with the official veterinarian,
laboratory director or other individuals to determine the seriousness of the
laboratory finding or the medication violation. All medication and drug
violations shall be investigated and reviewed on a case by case basis.
Extenuating factors include, but are not limited to:
(a) The past record of the trainer,
veterinarian and owner in drug cases;
(b) The potential of the drug(s) to influence
a horse's racing performance;
The legal availability of the drug;
(d) Whether there is reason to believe the
responsible party knew of the administration of the drug or intentionally
administered the drug;
steps taken by the trainer to safeguard the horse;
(f) The probability of environmental
contamination or inadvertent exposure due to human drug use;
(g) The purse of the race;
(h) Whether the drug found was one for which
the horse was receiving a treatment as determined by the Medication Report
(i) Whether there was any
suspicious betting pattern in the race; and
Whether the licensed trainer was acting
under the advice of a licensed veterinarian.
As a result of the investigation, there may be mitigating
circumstances for which a lesser or no penalty is appropriate for the licensee
and aggravating factors, which may increase the penalty beyond the
issuing penalties against individuals found guilty of medication and drug
violations, a regulatory distinction shall be made between the detection of
therapeutic medications used routinely to treat racehorses and those drugs that
have no reason to be found at any concentration in the test sample on race
(b) If a licensed veterinarian
is administering or prescribing a drug not listed in the ARCI Uniform
Classification Guidelines for Foreign Substances, the identity of the
drug shall be forwarded to the official veterinarian to be forwarded to the
Racing Medication and Testing Consortium for classification.
(c) Any drug or metabolite thereof found to
be presenting a pre- or post-race sample which is not classified in the version
of the ARCI Uniform Classification Guidelines for Foreign
Substances in effect at the time of the violation shall be assumed to
be a ARCI Class 1 Drug and the trainer and owner shall be subject to those
penalties as set forth in schedule "A" therein unless satisfactorily
demonstrated otherwise by the Racing Medication and Testing Consortium, with a
penalty category assigned.
licensee of the Commission, including veterinarians, found to be responsible
for the improper or intentional administration of any drug resulting in a
positive test may, after proper notice and hearing, be subject to the same
penalties set forth for the licensed trainer. (e) Procedures shall be
established to ensure that a licensed trainer is not able to benefit
financially during the period for which the individual has been suspended. This
includes, but is not limited to, ensuring that horses are not transferred to
licensed family members.
. A trainer who receives a penalty for a
medication violation based upon a horse testing positive for a Class 1-5
medication with Penalty Class A-C, as provided in the most recent version of
the ARCI Uniform Classification Guidelines for Foreign
, or similar state regulatory guidelines, shall be assigned
points as follows:
Points if Controlled Therapeutic
Points if Non-controlled
½ for first violation with an additional
½ point for each additional violation within 365
one for first violation with an additional ½
point for each additional violation within 365 days
Points for NSAID
violations only apply when the primary threshold of the NSAID is exceeded.
Points are not to be separately assigned for a stacking
If the Stewards or Commission determine that the violation is
due to environmental contamination, they may assign lesser or no points against
the trainer based upon the specific facts of the case.
The points assigned to a medication
violation by the Stewards' or Commission's Ruling shall be included in the ARCI
official database. The ARCI shall record points consistent with Section 13(a)
including, when appropriate, a designation that points have been suspended for
the medication violation. Points assigned by such regulatory ruling shall
reflect, in the case of multiple positive tests as described in
, whether they
constitute a single violation. The Stewards' or Commission's Ruling shall be
posted on the official website of the Commission and within the official
database of the Association of Racing Commissioners International. If an appeal
is pending, that fact shall be noted in such Ruling. No points shall be applied
until a final adjudication of the enforcement of any such violation.
A trainer's cumulative points for
violations in all racing jurisdictions shall be maintained by the ARCI. Once
all appeals are waived or exhausted, the points shall immediately become part
of the trainer's official ARCI record and shall be considered by the Commission
in its determination to subject the trainer to the mandatory enhanced penalties
by the Stewards or Commission as provided in
Multiple positive tests for the same medication incurred by a trainer prior to
delivery of official notice by the Commission may be treated as a single
violation. In the case of a positive test indicating multiple substances found
in a single post-race sample, the Stewards may treat each substance found as an
individual violation for which points will be assigned, depending upon the
facts and circumstances of the case.
The official ARCI record shall be used to
advise the Stewards or Commission of a trainer's past record of violations and
cumulative points. Nothing in
shall be construed to confer upon a licensed
trainer the right to appeal a violation for which all remedies have been
exhausted or for which the appeal time has expired as provided by applicable
The Stewards or Commission
shall consider all points for violations in all racing jurisdictions as
contained in the trainer's official ARCI record when determining whether the
mandatory enhancements provided in
shall be imposed.
In addition to the penalty for the
underlying offense, the following enhancements shall be imposed upon a licensed
trainer based upon the cumulative points contained in his or her official ARCI
Suspension in Days
15 to 30
30 to 60
90 to 180
11 or more
180 to 360
MMV penalties are not a substitute for the current penalty system and are
intended to be an additional uniform penalty when the licensee:
1. Has had more than one medication violation
for the relevant time period, and
2. Exceeds the permissible number of
and Commission shall consider aggravating and mitigating circumstances,
including the trainer's prior record for medication violations, when
determining the appropriate penalty for the underlying offense. The MMP is
intended to be a separate and additional penalty for a pattern of violations.
1. The suspension periods as provided in
Section 13(g) shall run consecutive to any suspension imposed for the
Stewards' or Commission's Ruling shall distinguish between the penalty for the
underlying offense and any enhancement based upon a Steward or Commission
review of the trainer's cumulative points and regulatory record, which may be
considered an aggravating factor in a case.
Points shall expire as follows:
Time to Expire
In the case of a medication violation that results in a
suspension, any points assessed expire on the anniversary date of the date the
suspension is completed.
A finding by
the Commission approved laboratory of a prohibited drug, chemical or other
substance in a test specimen of a horse is prima facie
evidence that the prohibited drug, chemical or other substance was administered
to the horse and, in the case of a post-race test, was present in the horse's
body while it was participating in a race. Prohibited substances include:
1. Drugs or medications for which no
acceptable threshold concentration has been established;
2. Controlled therapeutic medications in
excess of established threshold concentrations or administration within the
restricted time period as set forth in the version of the ARCI Controlled
Therapeutic Medication Schedule in effect at the time of the
3. Substances present in
the horse in excess of concentrations at which such substances could occur
foreign to a horse at concentrations that cause interference with testing
as otherwise provided by
, a person may not administer or cause to be
administered by any means to a horse a prohibited drug, medication, chemical or
other substance, including any restricted medication pursuant to
during the 24-hour period before post time for
the race in which the horse is entered.
No person on
association grounds where horses are lodged or kept, excluding licensed
veterinarians, shall have in or upon association grounds which that person
occupies or has the right to occupy, or in that person's personal property or
effects or vehicle in that person's care, custody or control, a drug,
medication, chemical, foreign substance or other substance that is prohibited
in a horse on a race day unless the product is labeled in accordance with 205
Any drug or
medication which is used or kept on association grounds and which, by federal
or state law, requires a prescription must have been validly prescribed by a
duly licensed veterinarian, and in compliance with the applicable state
statutes. All such allowable medications must have a prescription label which
is securely attached and clearly ascribed to show the following:
1. The name of the product;
2. The name, address and telephone number of
the veterinarian prescribing or dispensing the product;
3. The name of each patient (horse) for whom
the product is intended/prescribed;
4. The dose, dosage, duration of treatment
and expiration date of the prescribed/ dispensed product; and
5. The name of the person (trainer) to whom
the product was dispensed.
Anti-inflammatory Drugs (NSAIDs)
. The use of one of three approved
NSAIDs shall be permitted under the following conditions:
Not to exceed the following permitted
serum or plasma threshold concentrations which are consistent with
administration by a single intravenous injection at least 24 hours before the
post time for the race in which the horse is entered:
two micrograms per milliliter;
Flunixin. 20 nanograms per milliliter;
nanograms per milliliter.
(b) These or any other NSAID are prohibited
to be administered within the 24 hours before post time for the race in which
the horse is entered.
presence of more than one of the three approved NSAIDs in the post-race serum
or plasma sample is not permitted.
finding of phenylbutazone below a concentration of .5 microgram per milliliter
of blood serum or plasma shall not constitute a violation of 205 CMR
A finding of flunixin
below a concentration of three nanograms per milliliter of blood serum or
plasma shall not constitute a violation of 205 CMR 3.29
(d) The use of all but one of the
approved NSAIDs shall be discontinued at least 48 hours before the post time
for the race in which the horse is entered.
(e) The presence of any unapproved NSAID in
the post-race serum or plasma sample is not permitted.
In order for a horse to be placed on the
Furosemide List the following process must be followed.
1. After the horse's licensed trainer and
licensed veterinarian determine that it would be in the horse's best interests
to race with furosemide, the official veterinarian or his or her designee shall
be notified, using the prescribed form, that the horse is to be put on the
2. The form must
be received by the official veterinarian or his or her designee by the time of
3. A horse placed on the
official Furosemide List must remain on that list unless the licensed trainer
and licensed veterinarian submit a written request to remove the horse from the
list. The request must be made to the official veterinarian or his or her
designee, on the proper form, no later than the time of entry.
4. After a horse has been removed from the
Furosemide List, the horse may not be placed back on the list for a period of
60 calendar days unless it is determined to be detrimental to the welfare of
the horse, in consultation with the official veterinarian. If a horse is
removed from the official Furosemide List a second time in a 365-day period,
the horse may not be placed back on the list for a period of 90 calendar
5. Furosemide shall only be
administered on association grounds.
6. Furosemide shall be the only authorized
7. The use of
furosemide shall not be permitted in two year olds.
The use of furosemide shall be permitted
under the following circumstances on association grounds where a detention barn
is not utilized:
1. Furosemide shall be
administered by single intravenous injection no less than four hours prior to
post time for the race for which the horse is entered.
2. The furosemide dosage administered shall
not exceed 500 mg. nor be less than 150 mg.
3. After treatment, the horse shall be
required by the Commission to remain in the proximity of its stall in the care,
custody and control of its trainer or the trainer's designated representative
under general association and/or Commission security surveillance until called
to the saddling paddock.
Test results must show a detectable
concentration of the drug in the post-race serum, plasma or urine sample.
1. The specific gravity of post-race urine
samples may be measured to ensure that samples are sufficiently concentrated
for proper chemical analysis. The specific gravity shall not be below 1.010. If
the specific gravity of the urine is found to be below 1.010 or if a urine
sample is unavailable for testing, quantitation of furosemide in serum or
plasma shall be performed;
Quantitation of furosemide in serum or plasma shall be performed when the
specific gravity of the corresponding urine sample is not measured or if
measured below 1.010. Concentrations may not exceed 100 nanograms of furosemide
per milliliter of serum or plasma.
A horse which has been placed on the
Furosemide List in another jurisdiction pursuant to
shall be placed on the Furosemide List in this
jurisdiction. A notation on the horse's electronic eligibility certificate of
such shall suffice as evidence of being on a Furosemide List in another
The official veterinarian shall maintain a Bleeder List of all horses, which
have demonstrated external evidence of exercise induced pulmonary hemorrhage
from one or both nostrils during or after a race or workout as observed by the
confirmed bleeder, regardless of age, shall be placed on the Bleeder List and
be ineligible to race for the minimum following time periods:
1. First incident - 14 days;
2. Second incident - 30 days;
3. Third incident - 180 days; and
4. Fourth incident - barred for racing
(c) For the
purposes of counting the number of days a horse is ineligible to run, the day
the horse bled externally is the first day of the recovery period.
The voluntary administration of
furosemide without an external bleeding incident shall not subject the horse to
the initial period of ineligibility as defined by 205 CMR 3.29
A horse which has been placed on a
Bleeder List in another jurisdiction pursuant to rules similar to 205 CMR
(7) shall be placed on a Bleeder List in this jurisdiction.
Androgenic-anabolic Steroids (AAS)
(a) No AAS shall be permitted in test samples
collected from racing horses except for residues of the major metabolite of
nandrolone, and the naturally occurring substances boldenone and testosterone
at concentrations less than the indicated thresholds.
Concentrations of these AAS shall not
exceed the following plasma or serum thresholds for unchanged
., not conjugated) substance or urine threshold
., free drug or metabolite and drug or
metabolite liberated from its conjugates):
Boldenone: 15 ng/ml of total boldenone in urine of
male horses other than geldings, or 25 pg/ml of boldenone in plasma or serum of
all horses regardless of sex;
Nandrolone: 1 ng/ml of total nandrolone in urine for
fillies, mares, and geldings, or 45 ng/ml (as 5[ALPHA]-estrane-3[BETA],
17[ALPHA]-diol)) in urine, in male horses other than geldings, or 25 pg/ml of
nandrolone in plasma or serum for geldings, fillies, and mares.
In Geldings. 20
ng/ml total testosterone in urine, or 25 pg/ml of testosterone in plasma or
Fillies and Mares. 55 ng/ml total testosterone in urine, or 25
pg/ml of testosterone in plasma or serum.
(c) Any other anabolic steroids are
prohibited in racing horses.
Post-race urine samples must have the sex of the horse identified to the
. The use of agents that
elevate the horse's TCO or Base excess level above those existing naturally in
the untreated horse at normal physiological concentrations is prohibited.
The following levels also apply to blood
1. The regulatory threshold for
TCO is 37.0 millimoles per liter of plasma/serum or a Base excess level of 10.0
2. The decision
level to be used for the regulation of TCO is 37.0 millimoles per liter of
plasma/serum plus the measurement uncertainty of the laboratory analyzing the
sample or a Base excess level of 10.4 millimoles per liter of
1. If the level of TCO2 is determined to
exceed 37.0 millimoles per liter of plasma/ erum plus the laboratory's
measurement of uncertainty and the owner or trainer of the horse certifies in
writing to the judges within 24 hours after the notification of the test
results that the level is normal for that horse, the owner or trainer may
request in writing 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 steward or judges, but
in no event for more than 72 hours.
2. The expense to maintain the quarantine
shall be borne by the owner or trainer.
3. During quarantine, the horse shall be
retested periodically by the Commission veterinarian.
4. 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.
5. During quarantine, the horse shall be fed
only hay, oats, and water.
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
a. Shall permit the horse to race; and
May require repetition of the
quarantine procedure established in 205 CMR 3.29
(9)(b)1. through 6. to
reestablish that the horse's TCO2 level is physiologically normal.