Laterza v. New York State Racing & Wagering Board

68 A.D.3d 1509, 892 N.Y.2d 253
CourtAppellate Division of the Supreme Court of the State of New York
DecidedDecember 24, 2009
StatusPublished
Cited by7 cases

This text of 68 A.D.3d 1509 (Laterza v. New York State Racing & Wagering Board) is published on Counsel Stack Legal Research, covering Appellate Division of the Supreme Court of the State of New York primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Laterza v. New York State Racing & Wagering Board, 68 A.D.3d 1509, 892 N.Y.2d 253 (N.Y. Ct. App. 2009).

Opinion

Spain, J.

Petitioner, licensed by respondent to own and train race horses since 1973, was the trainer of record for a horse named “Lemon Pepper,” which competed in the ninth race at Yonkers Raceway on April 27, 2007, finishing in third place. Acting on a tip from a police informant, respondent’s director of investigations requested the presiding judge at Yonkers Raceway to order that post-race double blood and urine samples be taken from Lemon Pepper and tested for the presence of recombinant human erythropoietin (rhEPO) or Darbepoietin-alfa (DPO) (hereinafter collectively referred to as rhEPO/DPO). These chemically engineered drugs — which mimic the naturally produced human EPO hormone that has the ability to increase red-blood cell production and its consequent increased oxygenation — are not specifically permitted to be administered to horses (see 9 NYCRR 4120.2 [a]-[g]). As such, the governing rules provide that they “may [not] be administered by any means within one week of the scheduled post time of the race in which the horse is to compete” (9 NYCRR 4120.2 [h]). Under the “trainer responsibility rule,” a trainer is held strictly responsible for any [1510]*1510positive drug test unless the trainer can refute by substantial evidence that neither the trainer nor his or her employee or agent was responsible for the administration of the drug or restricted substance {see 9 NYCRR 4120.4; see also Matter of Mosher v New York State Racing & Wagering Bd., 74 NY2d 688, 689-690 [1989]; Matter of Casse v New York State Racing & Wagering Bd., 70 NY2d 589, 594-597 [1987]; Matter of Zito v New York State Racing & Wagering Bd., 300 AD2d 805, 806 [2002], Iv denied 100 NY2d 502 [2003]).

George Maylin, professor of toxicology at the New York State College of Veterinary Medicine at Cornell University and Director of the New York State Equine Drug Testing and Research Program, conducted an ELISA1 antibody screening test on the blood sample. The test revealed that the blood sample had an immuno response to an EPO antibody, indicating that rhEPO/ DPO may have been present, but he did not have the means to confirm the actual presence of this restricted substance. To confirm the actual presence of rhEPO/DPO, Maylin was authorized by respondent to send a separate sample to Cornelius Uboh, Bureau Director of the Pennsylvania Equine Toxicology and Research Laboratory, for testing.2 Uboh, employing a sequence of well-established scientific tests that he and his research colleagues had devised to recover and identify rhEPO/ DPO from an equine blood sample, confirmed that the blood sample contained that substance. Based upon Uboh’s confirmatory test, Maylin advised respondent of the positive result.

In October 2007, the presiding judge at Yonkers Raceway concluded that petitioner had violated 9 NYCRR 4120.2 (h) (administering drug, not authorized, within one week of race) and 9 NYCRR 4120.4 (the trainer responsibility rule), suspended him for five years and imposed a $2,500 fine. On petitioner’s administrative appeal, hearings were held at which, among others, Maylin and Uboh testified as to their blood test procedures and findings; petitioner also testified, denying ever administering rhEPO/DPO to Lemon Pepper or any knowledge of who may have done so. The Hearing Officer issued a report recommending that petitioner had violated the cited rules, and respondent affirmed the findings and penalties. Petitioner commenced this CPLR article 78 proceeding in Supreme Court, which signed a stay of the suspension order and transferred the proceeding to this Court.

[1511]*1511We reject petitioner’s primary claim in this special proceeding, that respondent erred in admitting Uboh’s report and testimony into evidence. At the hearing, petitioner objected to the admission of Uboh’s opinion, arguing that it was based upon novel scientific methods that must be analyzed under the Frye standard followed in New York for admissibility of scientific evidence, i.e., acceptance as reliable by the relevant scientific community (see Frye v United States, 293 F 1013 [DC Cir 1923]; see also Parker v Mobil Oil Corp., 7 NY3d 434, 446-447, 447 n 3 [2006]; People v Wesley, 83 NY2d 417, 423 [1994]). Because Uboh used generally accepted scientific methodology — which generated results accepted as reliable within the scientific community — to confirm the presence of rhEPO/DPO, it is unnecessary to address the application of the Frye standard in administrative proceedings and we decline to do so.

To greatly simplify, Uboh testified that, using commercially purchased antibodies as magnets to attract the rhEPO/DPO and separate it from horse plasma (immuno affinity separation), he washed off and recovered the substance itself (from the antibodies) and analyzed it using a mass spectrometer (LC-MS/MS instrument), which broke the substance down into peptides at specific points using enzymes (tryptic digestion); he then confirmed that the peptides were the prohibited substance using an internationally recognized database (to identify peptides that do not occur naturally in horses). Maylin testified that all of these techniques were scientifically accepted, that immuno affinity separation was “widely used in protein chemistry,” that tryptic digestion was a process “used for 35 years,” and that the mass spectrometer was “widely used” in- the study of proteins, but very expensive and rare.3 Uboh testified that it was the use of this mass spectrometer instrument for this purpose that was a first. Further, it was established at the hearing that Uboh’s technique — developed after four years of collaborative research — had been published in a peer review scientific journal in June 2007, shortly after this race, and further refined in an April 2008 article published just before his testimony.4

Under the circumstances here, we are not persuaded that the [1512]*1512Hearing Officer erred in ruling that a Frye hearing was not required, given the uncontroverted expert testimony that Uboh, while the first to employ LC-MS to confirm the presence of rhEPO/DPO in horses, relied upon tests' and instruments whose reliability were well established and commonly relied upon, and which produced results accepted as reliable, in the relevant scientific community.5 We also find that a proper foundation was provided establishing the reliability of the testing procedures used by Uboh to recover the substance from the blood sample and confirm its identity (see People v Middleton, 54 NY2d 42, 45 [1981]; see also People v Wesley, 83 NY2d at 435-436, 436 and n 2 [Kaye, Ch. J., concurring]; cf. Guzman v 4030 Bronx Blvd. Assoc. L.L.C., 54 AD3d 42, 47-51 [2008]).

Turning to our review of the determination, we find that respondent submitted substantial evidence that the horse’s blood tested positive for rhEPO/DPO. However, the record fails to establish, as required, that it was administered within the seven-day proscribed period (see 9 NYCRR 4120.2 [h]). Indeed, Maylin was unable to independently determine, based upon the tests he performed, how recently the substance had been administered prior to the race.

Free access — add to your briefcase to read the full text and ask questions with AI

Related

Matter of Pletcher v. New York State Gaming Commission
Appellate Division of the Supreme Court of New York, 2026
Matter of Pena v. New York State Gaming Commission
144 A.D.3d 1244 (Appellate Division of the Supreme Court of New York, 2016)
In the Matter of Mark Ford v. New York State Racing and Wagering Board
24 N.E.3d 1090 (New York Court of Appeals, 2014)
Ford v. New York State Racing & Wagering Board
107 A.D.3d 1071 (Appellate Division of the Supreme Court of New York, 2013)
State v. 158th Street & Riverside Drive Housing Co.
100 A.D.3d 1293 (Appellate Division of the Supreme Court of New York, 2012)

Cite This Page — Counsel Stack

Bluebook (online)
68 A.D.3d 1509, 892 N.Y.2d 253, Counsel Stack Legal Research, https://law.counselstack.com/opinion/laterza-v-new-york-state-racing-wagering-board-nyappdiv-2009.