Guidelines for Classification of Prohibited Substances

Classification of Prohibited Substances in specimens collected on race day

This classification document is intended as a guideline only to assist in understanding the severity and implications of alleged prohibited substance (drug) offences and to serve as a guide in respect of the associated penalty.  It is however important to stress that other aspects (than classification) can also contribute to the severity of the offence and the associated penalty. These include the route of administration of the drug preparation, illegal sourcing of this preparation, the intent to manipulate the race result, risk to the rider, the welfare of the horse, a prohibited practice which could be involved, evidence that the substance(s) may have been used improperly and previous offences. During such investigation (formal inquiry) there may be an investigation into aspects surrounding the administration of a drug to the horse as well as the veterinary and pharmacological aspects of the finding. It is important to note that for a particular substance, different findings may present very different facts and aspects to consider. There may also be mitigating circumstances which must be investigated and considered. These could affect the outcome of the inquiry and the penalty, irrespective of the particular substance and the associated classification.

The included list provides for a range of substances commonly administered to racehorses.
  • Included are locally registered veterinary preparations and local human preparations which registered veterinarians may use as an off-label application when deemed necessary.
  • The practice of off-label use of locally registered human preparations in the veterinary (equine) field is legal. This is in contrast with the illegal use of preparations which are not registered or licensed locally.
  • Compounded veterinary pharmaceuticals are preparations which are specially manufactured on prescription in compounding pharmacies as to create a particular product for a particular need. The preparation is often a close copy of an existing product. Such products can legitimately be used on horses as indicated, when it is formally prescribed.


Any substance not included in this list which forms part of a local registered preparation, will be classified according to its drug grouping. Drugs which are illegally sourced, which would have a pronounced effect on the horse and which are clearly not intended for use in the horse are placed in higher classes. This particularly if these might affect the performance of the horse and the outcome of a race. Such findings may be forwarded to the relevant veterinary, medication control and law enforcement bodies and authorities for further investigation.

Substances or drugs not included in this list and those which are not registered for use in this country will be considered Class 1 violations unless information is presented as to justify reclassification.

The ranking of the substances within the indicated classes is based on aspects such as the pharmacological effect, the considered ability to influence the outcome of a race and whether or not these have a legitimate therapeutic use in the racehorse. Drugs clearly intended for use in equine therapeutics and those unlikely to affect race performance occupy lower classes. Many of the drugs have numerous effects and side effects and this has to be considered within the classification. This substance classification will be reviewed on a regular basis and new substances will be added or removed when deemed appropriate.

Note that this list of actual substances does not include all the metabolites of all the listed prohibited substances covered by the listed drug groupings. Some of the listed substances are precursors of prohibited substances (pro-drugs which are often steroid esters) and these are also considered prohibited substances. Where both a substance and its metabolite(s) are reported (or similarly both a substance and its pro-drugs), these are considered singular findings. Such metabolites and pro-drugs are classified corresponding to the prohibited substance.  
    
International screening limits (ISLs) or thresholds apply to some of the substances which fall within classes 2, 3, 4 and 5. International screening limits are International Federation of Horseracing Authorities (IFHA) agreed urine or plasma concentrations which are the official prosecution action levels for a list of specified therapeutic prohibited substances. Similarly IFHA thresholds which are called international residue limits (IRLs) apply to a list of substances which are either endogenous to the horse or present in the feed or the environment. For these substances to be declared a prohibited substance finding the concentrations must exceed the corresponding international threshold concentration.

Classification of Prohibited Substances in specimens collected Out of Competition
The classification and penalties associated with Class 1 and Class 2 and Forbidden Substances apply equally during out of competition and on race day.

Where a particular substance is found to be a feed or environmental contaminant, the specific pharmacological classification of the substance may be of less relevance than the issue of the contamination.

For out of competition specimens the guidelines for prohibited substances in classes 3, 4  and 5 does not apply to those therapeutic substances which may be prescribed and supplied to the horse by a veterinarian as to treat a diagnosed condition or illness. Where such a therapeutic substance (which is also a prohibited substance) is confirmed in an out of competition specimen from the horse, and such a substance was prescribed and/or supplied by a veterinarian in the treatment of a condition or illness, it is not a positive finding if there is a record and if this is correctly recorded in the Veterinary Treatment Register (VTR) for this horse.

Where such a therapeutic substance (which is also a prohibited substance) is confirmed in an out of competition specimen from the horse and such a substance was not prescribed and/or not supplied by the veterinarian in the treatment of a condition or illness, or in the absence of a record of this or not correctly recorded and detailed in the Veterinary Treatment Register for this horse, it is an offence which will be prosecuted for. The offence is not directly related to the finding of a prohibited substance but is related to the absence of the prescribed procedure and records of when this horse was treated or exposed to this prohibited substance. For such therapeutic substances in classes 3, 4 and 5 the guide is a penalty of 20% either side of the lowest scale on the table of the penalties corresponding to race day findings.

Exempted Substances
The classification does not include those substances which would seem not to affect the performance of the horse. This includes substances or drugs such as antibiotics / antimicrobials (correctly prescribed and administered, with the exception of procaine penicillin), anti-parasitic anti-viral medication and anti-fungal medication approved and registered for use in horses. Additionally anti-ulcer medication, registered vaccines against infectious agents in horses, glucosamine and chondroitin sulphate and locally registered oestrus suppressant medications in the female horse (these are prohibited substances when detected in a gelding or a male horse). These substances are defined and listed as “Exempted Substances” within the Rules of the NHA (Appendix N).

Forbidden Substances


These are substances considered by the International Federation of Horseracing Authorities to be “prohibited substances which are not to be administered to racehorses at any time during their racing career”. These are Class 1 substances. The current list of NHA Forbidden Substances is provided within the Rules of the NHA (Appendix M).

Classification of Prohibited Substances
Class 1: Substances which have no place in horseracing, including illegal or Forbidden   Substances.

Included are substances forbidden in racing (including Forbidden Substances) such as anabolic and androgenic steroids and ester preparations thereof. Also included are schedule 7 and 8 substances as determined by the Medicines Control Council, substances which are illegally sourced, human recreational drugs of abuse, insulin and Forbidden Substances as detailed in the Rules of the NHA (Appendix M) and which is inclusive of growth promoters, growth hormones, erythropoietins, synthetic haemoglobin oxygen carriers, snake venoms and ethanol.

Class 2: Substances which have an obvious effect on the performance of the horse.

These substances will affect the performance of the horse. Substances include central nervous system depressants and stimulants (excluding caffeine), barbiturates, cardiovascular system depressants and stimulants, psychoactive and psychotrophic drugs and neuromuscular blocking agents. Also included are local anaesthetics (excluding procaine), narcotic analgesics, natural and synthetic opioids, opiate agonists, opioid agonist-antagonists, ACTH (adrenocorticotropic hormone) and progesterones / oestrogens (if administered to the male horse).

Class 3:  Substances which have the potential to affect the performance of the horse with the potential to be abused.

Drugs that may or may not have a generally accepted medical use in the racehorse, but pharmacologically have less potential to affect performance than drugs in Class 2.  Substances include sedatives, antihypertensives, antihypotensives, cardiac glycosides, antiarrhythmic agents, respiratory stimulants, tranquillizers, benzodiazepines and caffeine.

Class 4:  Substances which have a generally accepted veterinary (therapeutic) use in the racehorse but which have the potential to affect performance.

Substance classes include corticosteroids, non-steroidal anti-inflammatory drugs (NSAIDs), diuretics, bronchodilators, skeletal muscle relaxants, non-narcotic analgesics, antipyretics and procaine.

Class 5:  Substances which have an accepted veterinary use in horses but which may have performance modifying ability.

Examples include expectorants, antitussives, anti-diarrhoeals, anti-allergic drugs, antihistamines, anti-coagulants, haemostatics, antispasmodics and choleretic digestives.

Prohibited substance list
This list is inclusive of the local veterinary and human substances considered most important in treatment or of particular concern within horseracing in South Africa.  

 


Prohibited Substance
(or metabolite or pro-drug)

 


Class

 

A

 



Acebutolol

3

Acepromazine

3

Acetazolamide

4

Acetaminophen (Paracetamol)

4

Acetylsalicylic acid (Aspirin)

4*

ACTH human synthetic (Adrenocorticotropic hormone)

2

Adrenaline

2

Adrenocorticotropic hormone
(ACTH human synthetic )

2

Albuterol (Salbutamol)

3

Alcohol (Ethanol)

1

Alfaxalone

2

Alfentanil

2

Allopurinol

3

Alprazolam

3

Altrenogest (in the male horse)

2

Ambroxol

5

Amiloride

4

Aminophylline

4

Amitriptylline

2

Arsenic

3

Aspirin (Acetylsalicylic acid)

4

Atenolol

3

Atropine

5

Azaperone (Azapropazone)

3

 


B

 

Baclofen

4

Beclomethasone

4

Benazepril

3

Betamethasone

4

Bisoprolol

3

Bromazepam

3

Bromhexine

5

Brotizolam

3

Budesonide

4

Buflomedil

3

Bupivacaine

2

Buprenorphine

2

Buspirone

2

Butorphanol

2

 


C

 

Caffeine

3

Capsaicin

4

Captopril

3

Carbocysteine

5

Carbon dioxide (total)

2*

Carprofen

4

Carvedilol

3

Cathine (Norpseudoephedrine)

2

Celecoxib

4

Cetirizine

5

Chlorpheniramine

5

Chlorpromazine

3

Chlorthalidone

4

Cinnarizine

5

Citalopram

3

Clanobutin

5

Clenbuterol

1#

Clenbuterol (valid veterinary prescription)

4#

Clidinium

5

Clobetasol

4

Clobetasol propionate

4

Clomipramine

2

Clonazepam

3

Clonidine

3

Codeine

2

Cobalt

3*

Cortisone

4

 


D

 

 

Dantrolene

4

Dembrexine

5

Detomidine

3

Dexamethasone

4

Dextromethorphan

5

Dextropropoxyphene

2

Diamorphine (Heroin)

1

Diazepam

3

Diclofenac

4

Digoxin

3

Dihydrocodeine

2

Dimethyl Sulphoxide (DMSO)

4

Diphenhydramine

5

Diphenylpyraline

5

Diprenorphine

2

Dipyrone (Metamizole)

4

DMSO (Dimethyl Sulphoxide)

4

Dopamine

3

Doxapram

3

 


E

 

Enalapril (Enalaprilat)

3

Enalaprilat (Enalapril)

3

Ephedrine

4

Epinephrine

2

Erythropoietin (EPO)

1

Ethanol

1

Ethinyl Estradiol (in the male horse)

2

Ethylestrenol (in the male horse)

2

Etofylline

4

Etoricoxib

4

Etorphine

2

 

F

 

Fenoterol

4

Fentanyl

2

Firocoxib

4

Flavoxate

5

Fludrocortisone

4

Fluticasone propionate

4

Flumethasone (Flumetasone)

4

Flunitrazepam

3

Flunixin

4

Fluocinolone

4

Fluoxetine

2

Fluphenazine

2

Flurazepam

3

Flurbiprofen

4

Fluticasone

4

Formoterol

4

Furosemide

4

 


G

 

Gabapentin

2

Glycopyrrolate

4

Growth Hormone (GH)

1

Guaifenesin

5

 


H

 

Haloperidol

3

Haemoglobin glutamers

1

Haemoglobin oxygen carrier

1

Heroin (Diamorphine)

1

Hydrochlorthiazide (Hydrochlorothiazide)

4

Hydrocodone

2

Hydrocortisone

4

Hydrocortisone hemisuccinate

4

Hydroproxygesterone caproate
(in the male horse)

2

Hydroxyprogesterone (in the male horse)

2

Hydroxyzine

3

Hyoscine (Scopolamine)

5

Hyoscine-N-butylscopolamine

5

 


I

 

 

Ibuprofen

4

Imipramine

2

Indapamide

4

Indomethacin

4

Insulin

1

Ipratropium

4

Irbesartan

3

Isoxsuprine

4

 


K

 

Ketamine

2

Ketoprofen

4

Ketorolac

4

 


L

 

Labetalol

3

Lamotrigine

3

Levodopa      

3

Levonorgestrol

2

Lidocaine (Lignocaine)

2

Lisinopril

4

Loperamide

5

Loratidine

5

Lorazepam

3

Lormetazepam

3

Lornoxicam

4

Losartan

3

 


M

 

Medetomidine

3

Medroxyprogesterone (in the male horse)

2

Medroxyprogesterone acetate
(in the male horse)

2

Mefenamic acid

4

Meloxicam

4

Meperidine (Pethidine)

2

Mepyramine maleate

5

Mephenesin

4

Mepivacaine

2

Meprobromate (Meprobamate)

3

Methocarbamol

4

Methyl salicylate

4

Methyldopa

3

Methylphenidate

2

Methylprednisolone

4

Metoclopramide

5

Metoprolol

3

Midazolam

4

Minoxidil

3

Mometasone furoate

4

Morphine

 

 

2

 


N

 

N-Acetylcysteine

5

Nalbuphine

2

Naloxone

2

Naltrexone

2

Nandrolone (Nortestosterone)

1

Naproxen

4

N-Butylscopolamine

5

N-butyl-Scopolamine

5

Neostigmine

5

Nifedipine

3

Nitrazepam

3

Nitroglycerine

2

Norpseudoephedrine (Cathine)

5

Nortestosterone (Nandrolone)

1

 


O

 

Oestradiol

2

Oxazepam

3

Oxybutynin

5

Oxycodone

2

Oxymorphone

2

Oxyphenbutazone

1

 


P

 

Paracetamol (Acetaminophen)

4

Parecoxib

4

Paroxetine

2

Pemoline

2

Pentobarbital

2

Pergolide

3

Pethidine (Meperidine)

2

Phenazone

4

Pheniramine      

5

Phenobarbital (Phenobarbitone)

2

Phenylbutazone

1

Phenylpropanolamine

3

Piretanide

4

Piroxicam

4

Prazepam

3

Prednisolone

4

Prednisolone hemisuccinate

4

Prednisone

4

Prilocaine

2

Probenecid

5

Procaine

4

Prochlorperazine

5

Progesterone

2

Propafenone

3

Propantheline (Propanthelline)

5

Propofol

2

Propranolol

3

Pseudoephedrine

3

Pyrilamine maleate

5

 


R

 

Ractopamine

1

Ramifenazone (Isopyrin)

4

Reserpine

3

Risperidone

2

Robenacoxib

4

Rofecoxib

4

Romifidene

3

Ropivacaine

2

 


S

 

Salbutamol (Albuterol)

4

Salicylic acid

4*

Salmeterol

4

Scopolamine (Hyoscine)

4

Scopolamine N-Butyl

5

Sertraline

3

Sibutramine

5

Sildenafil

3

Somatropin

1

Sotalol

3

Spirinolactone

3

Succinyl choline

3

Sufentanil

2

Sumatriptan

4

Synephrine

3

 


T

 

Temazepam

3

Terbutaline

4

Testosterone

1

Testosterone cypionate

1

Testosterone undecanoate

1

Tetracaine

2

Tetramisole

5

Theobromine

4

Theophylline

4

Thiafentanyl

2

Tiletamine

2

Tilidine

2

Timolol

3

Torsemide

4

Total carbon dioxide

2*

Tramadol

2

Tranexamic acid

5

Trenbolone

1

Trenbolone acetate

1

Triamcinolone

4

Triamcinolone acetonide

4

Triazolam

3

Trimipramine

2

 

 

 

UVWXY

 

 

Valerenic acid

4

Valsartan

3

Vedaprofen

4

Venlafaxine

2

Verapamil

3

Vitamin B12 (Cobalt containing)

3*

Warfarin

5

Xylazine

3

Yohimbine

5

Zolzazepam

3

 


Z

 

Zeranol

1

Zilpaterol

1

Zolmitriptan

4

Zolpidem

2

Zopiclone

3

Zolazepam

3



Note that the above list is not comprehensive of all the substances being screened at the NHA Laboratory.
  • *   Refer to “Special notes on easily accessible, common preparations” within this document.

  • #  Refer to “Special notes on positive findings of Clenbuterol” within this document.
  • 
♦ Refer to “Special note on Procaine” within this document.

  • •  Refer to “Special notes on a Cobalt” within this document. 

  • €  Refer to “Notes of the availability of NSAIDS as over-the-counter and shop front products” within this document.

Special notes on positive findings of Clenbuterol
Clenbuterol is a therapeutic substance found in a local veterinary product for oral administration. As a bronchodilator with action to “reduce reversible airway obstruction” it is primarily prescribed for horses which suffer from Chronic Obstructive Pulmonary Disease (COPD). This condition described as “difficulty to breathe, often progressively getting worse” is quite prevalent in South Africa due to sometimes dusty stable environments and dry climatic conditions. It is frequently prescribed to racehorses as part of a treatment regimen extending over several days.
Internationally the IFHA has assigned Clenbuterol as an “anabolic agent” with a classification corresponding to the NHA guidance of “Class 1”. This classification applies to the substance type “beta-2 agonists”, to which Clenbuterol belongs. This IFHA “Class 1” classification applies “unless the substance is prescribed by a veterinarian as a bronchodilator”. The reference to its anabolic effects is as a result of studies indicating that it increases muscle mass and protein synthesis as observed in animals.
As a signatory country, the NHA aligned its classification to Class 1 (Forbidden Substance), as shown in this document. The classification is however also conditional to “unless the substance is prescribed by a veterinarian as a bronchodilator”, upon which a classification of Class 4 applies.


When a positive finding of Clenbuterol is declared in the racehorse it is important for Inquiry Boards to consider the circumstances surrounding this positive and which classification is to be applied.

To be considered includes the aspects:
  • The Clenbuterol preparation “Ventipulmin” is a powder which is administered orally and will often be stored in the feed room. The possibility therefore exists that this could end up in the incorrect horse’s feed.
  • Clenbuterol treatment is often a treatment regime of several days (for example 7 days or more).
  • The elimination of multiple doses of Clenbuterol from a horse can be detected for at least 6 days.
Inquiry boards which have to adjudicate on positive findings for Clenbuterol must therefore be mindful that if there is any another horse in the particular stable yard which has been correctly prescribed and recorded Clenbuterol, then there must be consideration to have the offence classified as Class 4, not Class 1 (Forbidden Substance).


Special note on Procaine

Procaine positives are most likely associated with the administration of procaine penicillin and this has been taken into consideration in the placement of procaine into Class 4 instead of Class 2 with other local anesthetics, unless evidence suggests a Class 2 contravention.

Special notes on easily accessible, common preparations

Aspirin
: This commercial product contains acetyl salicylic acid which is precursor of Salicylic acid. Salicylic acid is a substance found in nature and in equine feed. There is an international threshold value for Salicylic acid exceeding which a prohibited substance finding is declared.

Vitamin B12
: The element Cobalt is an integral part of vitamin B12. The administration of vitamin B12 has the effect of increasing the natural plasma and urine level of Cobalt in both urine and plasma. There is an international threshold value for Cobalt exceeding which a prohibited substance finding is declared.


Bicarbonate containing substances
: The administration of products and preparations which contain bicarbonate has the result of increasing the Total Carbon Dioxide level of the blood. There is an international threshold value for Total Carbon Dioxide exceeding which a prohibited substance finding is declared. Note that Total Carbon Dioxide levels can also be elevated by means of alkalinization agents.


Notes on the availability of NSAIDS as over-the-counter and shop front products

Non-steroidal anti-inflammatory drugs (NSAID’s) are pharmaceutical substances which are prescribed for the treatment of muscle and joint injury, pain, swelling and inflammation. These can also be obtained in the form of tablets, capsules and injections by medical prescription or when dispensed by a pharmacist. These non-steroidal anti-inflammatory drugs can however also be obtained in certain products which do not have a pharmaceutical schedule and are sold in shops and pharmacies without a prescription. The purchase and use of such preparations in racehorses can result in positive findings for these prohibited substances. These preparation are normally gel and plaster packs with trade names such as:
  • Voltaren Emulgel containing Diclofenac
  • Fastum containing Ketoprofen
  • Transact containing Flurbiprofen

It is important to adhere to suitable withdrawal periods when using such preparations in horses.

Special notes on a Cobalt
Cobalt is naturally found in all animals and animal feed and is considered an essential dietary trace element and micronutrient. Cobalt deficiency is not observed in horses in the wild and the normal diet of horses in combination with the usual prescribed vitamin supplementation should supply the horse with sufficient Cobalt for its well-being and health. Cobalt is classed as a ’heavy metal’ and is a structural component of vitamin B12 (cobalamin). This vitamin is involved in the normal functioning of the brain and nervous system and in the final stages of red blood cell formation and maturation. All of Cobalt’s potential physiological effects in the horse have not yet been determined; however, high doses can present severe toxic effects and can be detrimental to the health of the horse.
Evidence suggests that Cobalt preparations are being used inappropriately in racehorses in some racing jurisdictions. As Cobalt is naturally present in equine biological samples such as blood and urine, it was decided that the introduction of an international threshold for Cobalt is necessary to facilitate the control of misuse in racehorses.
Trainers are advised that the International Federation of Horseracing Authorities (IFHA) has set an international threshold of 0.1 microgram per millilitre Cobalt in horse urine. The NHA, as a signatory country of the IFHA, has adopted this threshold in its rules. This decision was made following a survey which showed that natural levels of Cobalt in racehorses within South Africa correspond to those observed in other countries and that the threshold can be applied to the local population.  Any finding of Cobalt above this international threshold is a Class 3 offence, as detailed in this document.
A large range of registered oral and injectable veterinary supplements which contain vitamin B12 (Cobalamin) or Cobalt salts are available for use in the horse. The administration of any of these could give rise to an elevation of total Cobalt levels in blood and urine. There is not a listing of commercial preparations which contain Cobalt as it will be difficult to keep the list complete. Be aware of the amount of Cobalt provided to the horse (also from dietary sources) and follow the guidance on the NHA website for the withdrawal of products which contain significant amounts of Cobalt.
Note that many feeds contain relatively high levels of Cobalt. Feeds with 0.4 mg Cobalt/kg feed or higher are considered fortified feeds. The use of such fortified feeds increase Cobalt concentration but have not been shown to result in Cobalt levels which would exceed the urine threshold. Note that the use of such feeds would eliminate the need for any other Cobalt supplementation in the horse.

Guidelines for Penalties for Prohibited Substances

Penalties for Prohibited Substances – Rule 73.2 Contraventions



Class 1: Substances which have no place in horseracing, including illegal or Forbidden Substances.

Class 2: Substances which have an obvious effect on the performance of the horse.
Class 3: Substances which have the potential to affect the performance of the horse with the potential to be abused.
Class 4: Substances which have a generally accepted veterinary (therapeutic) use in the racehorse but which have the potential to affect performance.

Class 5: Substances which have an accepted veterinary use in horses but which may have performance modifying ability.    


 

CLASS OF

SUBSTANCE

 

 

FIRST

OFFENCE

 

SECOND

OFFENCE

 

THIRD

OFFENCE

 

FOURTH

OFFENCE

 

1

 

R115K – Warning

              Off

 

R287K to Warning

              Off

 

R575k to Warning

              Off

 

-

 

 

2

 

R69K to R115K

 

R115K to Warning

              Off

 

R287K to Warning

              Off

 

R575k to Warning

              Off

 

3

 

R34K to R69K

 

R69K to R103K

 

R172K to Warning

              Off

 

R287K to Warning

              Off

 

4

 

R23K to R46K

 

R34K to R80K

 

R92K to R172K

 

R172K to Warning

              Off

 

5

 

Warning to R17K

 

R17K to R34K

 

R34K to R69K

 

R80K and Upwards

 



NOTE:

The above penalty range serve as guide and not an absolute requirement.

Inquiry boards must be mindful of the stake and quality of the race in determining a suitable penalty (i.e. Maiden race vs Group 1 race).

The following guidelines will be applied by Inquiry Boards when dealing with Prohibited Substance offences:

The nature of Rule 73.2 contraventions
  1. It must be appreciated that Rule 73.2 will apply to all classes of prohibited substance contraventions. A contravention of Rule 73.2, under any of the five classifications, remains a contravention of Rule 73.2.
  2. This considering, by virtue of the different classes of contraventions, some contraventions of this Rule may be viewed in a more serious light than others. For example, a Class 2 substance should not be equated to a contravention involving a Class 5 substance.  Inquiry Boards are thus advised that, in considering prior offences, an Inquiry Board must be guided and influenced by the category in which any prior offence was classified.  A prior offence in a lessor category should not be slavishly regarded as the equivalent of a prior offence in a more serious category (class of substance).

Warning off

  1. Inquiry Boards are advised to bear in mind that the schedule of penalties reflected on the proposed penalty guideline document are nothing more than that (that being  guidelines), and these should not be applied mechanically.  Inquiry Boards must apply their minds to the facts relevant to any particular matter (as well as the nature of any prior contraventions), so as to ensure that disqualifications are only imposed in circumstances which properly justify the disqualification or warning off of a trainer.
  2. In applying the guidelines, an Inquiry Board should always be mindful that where the guidelines make reference to a “warning off”, this is not the only option to adopt. There may well be other factors, such as the nature of the prior offences, which should be considered in arriving at a suitable penalty. A number of factors which should be considered are referred to in this document.

The time period applicable to prior offences
  1. It is accepted that a prior offence, which occurred more than 5 years prior to the contravention being inquired into, will be disregarded for the purpose of applying the guidelines.

Rule 73.1 contraventions
  1. It is emphasised that a contravention of Rule 73.1 (“administration”) will not necessarily be dealt with in accordance with these guidelines. In general, administration is considered in a more serious light than a contravention of the “strict liability” rule, Rule 73.2.