Prohibited substances rules
R E V I S E D J A N . 2 0 0 4 R E P L A C E S A L L P R E V I O U S V E R S I O N S P A G E 4 0
PROHIBITED SUBSTANCES RULES P.1. INTRODUCTION
1.1. In these rules:
a) prohibited substance
means any substance (or any isomer, metabolite and/or
analogue produced from the substance) that is a stimulant, depressant, tranquiliser,
local anaesthetic, psychotropic (mood and/or behaviour altering) substance, or any
other substance which might affect the performance of a horse and/or which might interfere with or mask any prohibited substance testing;
means any class of affiliated event sanctioned and run under the
AERA Inc. rules, procedures and guidelines and includes all that time from when the
horse is formally entered in the event and continues until the horse’s logbook is
c) State Management Committee
means the State Management Committee of the
Division where the rider and/or responsible person are members;
d) responsible person
means one or more of the rider, trainer, owner or any other
connection of a horse who take responsibility for that horse at an affiliated ride;
means an equine;
means any actions taken by the State Management Committee as a
consequence of a violation of these rules.
1.2. No prohibited substance (including a drug and/or medication) as defined by these
rules is to be administered, given or applied in any manner to a horse in the time
before, during or after an affiliated event if that substance might be present in the
horse, might be detectable in any blood or urine sample taken from the horse or
might have any effect on the performance of the horse at any time during the event.
1.3. For the purposes of these rules, prohibited substance may including, but is not
limited to, substances acting on the: a) nervous system; b) cardiovascular system; c) respiratory system; d) digestive system; e) urinary system; f) reproductive system; g) musculoskeletal system; h) skin, (for example, hypersensitising agents); i) blood system; j) immune system, other than those in licensed vaccines; k) endocrine system, endocrine secretions and their synthetic counterparts;
l) vitamins administered by injection; m) antipyretics, analgesics and anti-inflammatory substances; n) cytotoxic substances; and o) masking substances that could mask a prohibited substance.
1.4. A partial list of prohibited substances is shown in Appendix 1
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1.5. It is the duty of every rider and/or responsible member to present and maintain
their horse at affiliated events free of prohibited substances as defined in these
1.6. Every person who seeks advice concerning the interpretation and application of
these rules (including the application of these rules to particular substances) should
not rely solely upon interpretations or advice by private or ride veterinarians, ride
officials, ride personnel, or other persons, but should obtain verification of such interpretations or advice from the State Management Committee.
1.7. Under these rules, any rider and/or responsible member who is uncertain of the
status of a horse in their care, in any given situation, is advised to withdraw that
1.8. Scheduled FEI events are not subject to these rules, but are subject to the FEI
1.9. Any violation of these rules by a rider, responsible member and/or other connection
of a horse will lead to disciplinary action being taken by the State Management
P.2. EXEMPT SUBSTANCES
2.1. A number of substances that may naturally occur in a horse are not considered to be
prohibited substances when at or below certain levels. A partial list is shown in
P.3. STATE DIVISION-BASED DRUG STEWARD
3.1. The State Management Committee in each state division may appoint one or more
3.2. The functions and responsibilities of the Drug Steward shall be clearly defined in a
Division-based Prohibited Substance Procedure
developed by each State Management Committee, but functions and responsibilities shall not include the
taking of blood, nor the performing of examinations and/or other tests on horses.
3.3. Before any appointed Drug Steward is able to carry out designated duties, he or she
must be provided with appropriate training and be accredited under the provisions of
the Division-based Prohibited Substance Procedure
. Issues to be covered in the
Prohibited Substance Procedure
are included as Appendix 3
P.4. RESPONSIBLE MEMBER
4.1. The responsible member (in the absence of substantial evidence to the contrary) is
responsible and accountable under these rules: a) for the physical condition of the horse once it arrives at the affiliated event ride
base - whether or not the horse has yet been officially entered;
b) to guard and protect the horse prior to and at competition; c) to prevent the administration by anyone of (or exposure to) any prohibited
d) to know all of the provisions of these rules and all other rules and of the AERA
Inc. and/or any additional Division rules which impact on competition, as well as
4.2. For purposes of rule P.4.1, ‘substantial evidence’ means clear and positive evidence
which establishes that the rider and/or responsible member was, in fact, not
responsible or accountable for the condition of the horse in their care.
4.3. The responsible member is normally the rider. However, in some circumstances
another member (the owner, trainer or other connection of the horse) may be the
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4.4. designated responsible member instead of the rider. A horse may have more than
4.5. The owner and/or rider of the horse (if different to the responsible member)
acknowledge that the responsible member represents the owner and/or rider of the
horse regarding the horse being trained, managed, prepared, entered, competed or
withdrawn from the affiliated event for any reason and for any act performed on any
horse under the care and custody of the responsible member.
4.6. If the responsible member is the rider, then he or she must also sign the
‘Responsible Person Declaration’ on the Ride Entry Form
4.7. If the responsible member is a different person to the rider, then the responsible
member must sign the ‘Responsible Person Declaration’ on the Ride Entry Form
whether the responsible member is the trainer, owner, agent, coach and/or any
4.8. Where the rider is a Junior member, the parent or legal guardian signing the
nomination form on behalf of the rider must nominate a responsible member.
4.9. If the rider and/or responsible member is prevented from performing his/her duties
under these rules, he/she must immediately notify the competition secretary, and, at the same time a substitute member must be appointed by the rider and/or
responsible member and such substitute must place his/her name on the
‘Responsible Person Declaration’ section of the Ride Entry Form
4.10. Any substitution of responsible member does not relieve the rider and/or responsible
member of his/her responsibility and accountability under these rules. However, the
substitute is equally responsible and accountable for the condition of any horse
5.1. Examination means a physical examination and/or a procedure to take a sample
from the horse for the purpose of testing for a prohibited substance and may include
physical examination, urine tests, blood tests and/or any other test or procedure at
the discretion of the appointed veterinarian and which is necessary to enforce these
5.2. Examination other than the collection of urine samples may only be by a licensed
5.3. A rider and/or responsible member must submit their horse for examination at the
request of the Chief Steward, Head Veterinarian or Drug Steward.
5.4. For the purposes of these rules, examination may include any or all horses in a
single division or in all divisions, any horse entered or any horse withdrawn or
5.5. Every horse selected for examination:
a) is required to be identified immediately prior to the examination using the
identification page of its AERA Horse Logbook;
b) must be left in the control of the examining personnel until the examining
veterinarian or the Drug Steward releases the horse; and
c) must be accompanied at all times by the rider and/or responsible member.
5.6. The rider and/or responsible member of a horse chosen for examination must:
a) immediately take the horse to the veterinarian and/or Drug Steward(s) at the
b) make the horse freely available for examination; c) cooperate with and assist the veterinarian and/or Drug Steward(s) in the
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examination process, including the prompt procuring of any requested sample
d) and including (but not limited to) removing equipment from the horse, leaving it
quietly at the designated location and avoiding any distractions to the horse;
e) witness the complete examination process and/or sign any required
documentation associated with the examination; and
f) display polite attitude and actions toward the veterinarian and/or Drug
5.7. In consultation with the examining veterinarian, the horse may be fed, watered and
5.8. Refusal to submit the horse for examination, failing to cooperate with the
veterinarian and/or Drug Steward(s), schooling, lengthy cooling out, exercising,
bandaging and/or any other delays to the examination are a violation of these rules.
P.6. TAKING SAMPLES
6.1. If a decision is taken to sample a horse under the provisions of these rules, the
sampling procedures must be in accordance with the current sample-taking procedures accepted by the racing industry in each state, as indicated below:
Sample Collection Procedure in Queensland
, prepared by the
Racing Science Centre, Brisbane, Queensland.
Sample Collection Protocol for ERA
, prepared by the
Australian Racing Forensic Laboratory, Sydney, N.S.W.
Guidelines for the Collection, Processing and Certification of
Samples for Analysis
prepared by Racing Analytical Services,
In accordance with documentation prepared by Racing
6.2. It is the responsibility of each State Management Committee:
a) to obtain copies of the appropriate sampling procedure documents and ensure its
provisions are adhered to when samples are taken; and
b) in consultation with the Division Honorary Veterinarian, include those processes
in the Division-based Prohibited Substance Procedure
to ensure samples are properly taken, secured, stored ready for dispatch, then dispatched quickly to
the drug testing laboratory for analysis.
6.3. All samples taken must be placed in an approved Australian Jockey Club (or
equivalent) sample kit that must be complete and unbreached prior to use.
P.7. ANALYSIS OF SAMPLES
7.1. All samples taken from a horse to comply with these rules must be analysed for
prohibited substances using one of the approved drug testing laboratories listed below:
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7.2 The codified findings of any test results shall be prima facie
evidence upon which
the State Management Committee may determine that the horse from which the sample was taken was exposed to a prohibited substance. 7.3 This test result evidence will be considered by the State Management Committee in
determining whether a violation under these rules was committed.
P.8. HEARING FOR PROHIBITED SUBSTANCE PENALTY
8.1. When positive evidence is received from a drug testing laboratory indicating a
prohibited substance is present in a sample taken from a horse, hearing(s) will be
convened by the State Management Committee to consider available evidence and fix any appropriate penalties. The hearing(s) shall be conducted in accordance with
the Division’s Rules of Association
(Constitution) and shall include any right of
appeal under the provisions of those Rules of Association
8.2. Any horse that has been entered in an affiliated event and which is found to have
been administered a prohibited substance in any way will be subject to a penalty
assessed by the State Management Committee in accordance with the table in
. The State Management Committee may vary this suspension and/or
expulsion if exceptional circumstances prevail.
8.3. Any rider, responsible member and/or any other connection of the horse subject to
these rules who actually administer, attempt to administer, instructs, aids, conspires
with another to administer, or employs anyone who administers or attempts to
administer a prohibited substance to a horse, which might affect the performance of
that horse at an affiliated event will be subject to possible discipline by the State
8.4. No person responsible or accountable for the condition of the horse will be
penalised, nor any horse barred from competition until after the conclusion of any
hearing(s) convened to deal with the matter.
8.5. If the State Management Committee hearing makes a finding that the horse was
exposed to a prohibited substance while at an affiliated event: a) the rider, responsible member and/or any other connection will be suspended
from membership and/or expelled from all competition; and
b) any penalties placed on the horse will be imposed at the discretion of the State
Management Committee in consultation with the Division Honorary Veterinarian.
8.6. If, prior to or at the hearing, the State Management Committee (as the charging
party) determines that one or more members not previously charged should also be
charged, then, upon application by the State Management Committee, the Committee may, in its discretion, continue or adjourn the hearing, in whole or in
part, to permit a new or amended charge to be issued (unless the member(s) to be
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8.7 In the event the hearing concludes a violation of these rules has occurred and
disciplinary action is to be taken, any trophies awarded to the rider and horse
and all points and awards gained at the affiliated event at which the violation
occurred and any competition thereafter will be withdrawn and/or must be
returned. Any trophies, points or awards thus forfeited will be re-distributed.
9.1. Confidentiality is of paramount importance, both in the examining process and any
subsequent discussions with and between the rider and/or responsible member,
other connections of the horse, examining veterinarian, Honorary Veterinarian, Drug
Steward and the State Management Committee.
9.2. All parties concerned must undertake to ensure that confidentiality is preserved and
that information about examination and/or prohibited substance testing outcomes is
not released until all hearings (and/or appeals) are completed.
9.3. While the particulars of any hearing convened in respect to the use of a prohibited
substance are confidential, all decisions made (together with a summary of the evidence used to determine the decisions) shall be written down and retained by the
Division secretary as evidence of the hearing.
9.4. When a penalty is applied to a horse and/or to a member as a consequence of a
breach of these Rules, a written statement about the penalty decision shall be
placed in the Division newsletter. Publication of any penalty decision action must be
handled in a sensitive manner. The secretary’s of all other Divisions, as well as the
AERA Inc. secretary shall also be notified of the decision.
P.10. ADMINISTRATION OF PROHIBITED SUBSTANCES PROCESS
10.1. To provide funds for implementing these Rules, each State Management Committee
may institute a levy on riding members in their Division. If the State Management
Committee decides to implement such levy, Division members must be notified
10.2. In the event a properly convened hearing concludes a violation of these rules has
occurred and disciplinary action is taken, any costs (including the cost of laboratory
testing) incurred in administering these rules will be charged to the member(s) found responsible.
10.3. To conform with these rules, each ride committee putting on a ride may be asked by
the Head Veterinarian to set aside suitable and convenient facilities for the
10.4. Ride committees putting on a ride must cooperate with and exhibit polite attitude
and actions toward the examining veterinarian and/or Drug Steward(s).
10.5. Each State Management Committee shall have overall responsibility for
implementation and administration of these rules in the Division.
P.11. WITHHOLDING PERIOD
11.1. Any guidelines given by a knowledgeable person regarding withholding periods for
prohibited substances administered to horses are only current at the time of the
advice. Drug testing laboratories routinely (and without prior notice) develop new
tests and refine existing tests to make them more sensitive. As new and more
sensitive procedures are implemented, withholding time guidelines may become
11.2. The response of individual horses to any substance given may vary, so reliance on
any advice does not necessarily guarantee compliance with these rules.
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11.2 Owners or other connections should consult with the drug manufacturer and/or
knowledgeable veterinarians for up-to-date information and specific advice
concerning the therapeutic use of a drug or medication and its likely withholding
period. Any guidelines will be given with the assumption that the drug or medication
is used for therapeutic use only and is administered at a therapeutic dose consistent
with the manufacturer or dispensing veterinarian recommendations.
11.3 Not-with-standing any advice given, it is the responsibility of the rider, owner,
responsible member and/or other connection to conform with these rules and
therefore to discuss with their veterinarian all the implications of any treatment
11.4 Recommendations from knowledgeable persons, if followed, will minimise the
chances of a positive prohibited substance test result. However, all riders,
responsible members or other connections are cautioned that any provided
11.5 Reliance on any advice from knowledgeable persons will not serve as a defence to a
violation of these rules in the event of a positive drug test result.
12 VETERINARIAN RESPONSIBILITY
12.1 When dealing with illness or injury to a horse in competition, the veterinarian
should prescribe or administer whatever drug or medication is indicated for
12.2 Whenever prescribing or administering a substance, the veterinarian must give the
rider or responsible member proper advice regarding compliance with these rules.
12.3 It is the responsibility of the rider and/or responsible member to get appropriate
advice from the treating veterinarian and to heed this advice.
12.4 No veterinarian is to be party to the administration of a drug or medication to a
horse for the non-therapeutic purpose of affecting its performance.
13 NATURAL, HERBAL OR OTHER PRODUCTS
13.1 THE RIDER, RESPONSIBLE MEMBER, ATTENDING VETERINARIANS AND/OR
OTHER CONNECTIONS OF A HORSE IN COMPETITION ARE CAUTIONED
AGAINST THE USE OF MEDICINAL PREPARATIONS, TONICS, PASTES AND
OTHER PRODUCTS OF ANY KIND AND ABOUT WHICH THE INGREDIENTS
AND QUANTITATIVE ANALYSIS ARE NOT SPECIFICALLY KNOWN, BECAUSE
THE PRODUCT MAY CONTAIN ONE OR MORE PROHIBITED SUBSTANCES.
13.2 People who administer a so-called ‘herbal’ or ‘natural’ product to a horse to affect its
performance in either a calming (tranquilising) manner, an energising (stimulant)
manner, or a psychotropic (mood and/or behaviour altering) manner, or for any
other purpose, are advised such action violates these rules.
13.3 People who have been reassured by claims that the plant origin of its ingredients
cause it to be permitted by these rules, as well as being undetectable by drug tests,
might have been misled. If the product in question is effective as claimed by
manufacturers, its use in a horse entered in competition is clearly a violation of
these rules. Even if such product is ineffective, its use constitutes unsportsmanlike
conduct, in that its intent is to achieve unfair advantage and/or dishonest gain.
13.4 The use of herbal and/or natural products in a horse entered in competition may
result in a positive prohibited substance test result. The plant origin of any ingredient does not preclude its containing a pharmacologically potent and readily
detectable forbidden substance – for example, cocaine, heroin and marijuana all
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13.5 Although the use of some of these products, in the past, may not have resulted in a
positive drug test result, this may change as drug testing laboratories develop new
13.6 For the above reasons, the AERA Inc. strongly cautions against the use of all so-
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APPENDIX 1. NON-DEFINITIVE LIST OF PROHIBITED SUBSTANCES
The substances listed below indicate only some of the substances prohibited under these
rules and is provided for information purposes only. Do not rely on this list. Seek
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APPENDIX 2. EXEMPT SUBSTANCES
The following is a partial list of substances that may naturally occur in a horse, but which
are not considered to be prohibited substances when present at levels at or less than those
1. Total carbon dioxide (TCO2) at a level of 36.0 millimoles per litre in plasma. 2. Arsenic at a level of 0.3 micrograms per millilitre in urine. 3. Dimethyl sulphoxide at a level of 15 micrograms per millilitre in urine, or 1000
4. Nandrolone - free and conjugated – 5α-estrane-3β, 17α-diol to 5(10)-estrene 3β,
5. Salicylic acid at a level of 750 micrograms per millilitre in urine or 6.5 micrograms
6. Hydrocortisone at a level of 1000 nanograms per millilitre in urine. 7. Free and conjugated testosterone at a level of 20 nanograms per millilitre in urine
8. Free and conjugated testosterone to epitestosterone in urine from fillies and mares
APPENDIX 3. CONTENTS OF THE DIVISION-BASED PROHIBITED SUBSTANCE
Issues in the Procedure should minimally include: Swabbing
1. Acquisition of swab kits. 2. Maintenance and storage of swab kits prior to use. 3. The function of the veterinarian in the sampling process. 4. Procedure for selecting horse(s) for swabbing. 5. Making and keeping the horse ready for sampling. 6. Taking sample (urine and blood). 7. Sealing of sample. 8. Completion of paperwork. 9. Storage and security of sample. 10. Transfer of sample to analysing laboratory. 11. Dealing with the results of analysis. 12. The rights of the Responsible Member. 13. Dispute resolution.
1. Definition of duties, responsibilities and obligations of Drug Steward. 2. Selection of Drug Steward candidates. 3. Method of training and accreditation of Drug Stewards. 4. Maintenance of accreditation. 5. Confidentiality.
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APPENDIX 4. APPLICABLE PENALTIES
The following table should be used as a guideline by State Management Committees when
determining a penalty under the provisions of rule P.8.2. The offence level and the
penalties that apply are at the discretion of the State Management Committee. Definitions
‘Minor’ offences are those which relate to detected levels greater than a no-effect level, but
less than the therapeutic level. ‘Major’ offences are those which relate to detected levels greater than a therapeutic level.
Any offence after the third offence will result in life suspension.
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