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; b) competition 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; e) horse means an equine;
f) discipline 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 Appendix 2.
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 REVISED JAN. 2004 REPLACES ALL PREVIOUS VERSIONS PAGE 42

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 P.5. EXAMINATION
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 REVISED JAN. 2004 REPLACES ALL PREVIOUS VERSIONS PAGE 43
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: Procedure
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: REVISED JAN. 2004 REPLACES ALL
PREVIOUS VERSIONS
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 Appendix 4. 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 REVISED JAN. 2004 REPLACES ALL PREVIOUS VERSIONS PAGE 45

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. P.9. CONFIDENTIALITY
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. REVISED JAN. 2004 REPLACES ALL PREVIOUS VERSIONS PAGE 46

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- REVISED JAN. 2004 REPLACES ALL PREVIOUS VERSIONS PAGE 48

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 REVISED JAN. 2004 REPLACES ALL PREVIOUS VERSIONS PAGE 49

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
PROCEDURE
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.
Drug Steward
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. REVISED JAN. 2004 REPLACES ALL PREVIOUS VERSIONS PAGE 50

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. FIRSTOFFENCE
SECOND OFFENCE
THIRD OFFENCE
Any offence after the third offence will result in life suspension.

Source: http://aera.asn.au/rules/substances.pdf