Horseracing Integrity and Safety Authority Racetrack Safety Rule Modification
| Published date | 08 April 2024 |
| Record Number | 2024-06911 |
| Citation | 89 FR 24574 |
| Court | Federal Trade Commission |
| Section | Notices |
Federal Register, Volume 89 Issue 68 (Monday, April 8, 2024)
[Federal Register Volume 89, Number 68 (Monday, April 8, 2024)]
[Notices]
[Pages 24574-24626]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-06911]
[[Page 24573]]
Vol. 89
Monday,
No. 68
April 8, 2024
Part IIFederal Trade Commission-----------------------------------------------------------------------Horseracing Integrity and Safety Authority Racetrack Safety Rule
Modification; Notice
Federal Register / Vol. 89 , No. 68 / Monday, April 8, 2024 /
Notices
[[Page 24574]]
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FEDERAL TRADE COMMISSION
[File No. P222100]
Horseracing Integrity and Safety Authority Racetrack Safety Rule
Modification
AGENCY: Federal Trade Commission.
ACTION: Notice of Horseracing Integrity and Safety Authority (HISA)
proposed rule modification; request for public comment.
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SUMMARY: As required by the Horseracing Integrity and Safety Act of
2020, the Federal Trade Commission publishes a proposed modification of
the Horseracing Integrity and Safety Authority's rules addressing
horseracing in the United States. The proposed rule modification would
amend the Rule Series 2000 Racetrack Safety Rule, which establishes
rules concerning racetrack safety and the safety of Covered Horses and
Covered Persons. This document contains the Authority's proposed rule
modification's text and explanation, and it seeks public comment on
whether the Commission should approve the proposed rule modification.
DATES: The Commission must approve or disapprove the proposed
modification on or before June 7, 2024. If approved, the proposed rule
modification would be effective on July 8, 2024. Comments must be filed
on or before April 22, 2024.
ADDRESSES: Interested parties may file a comment online or on paper by
following the instructions in the Comment Submissions part of the
SUPPLEMENTARY INFORMATION section below. Write ``HISA Racetrack Safety
Rule Modification'' on your comment and file your comment online at
https://www.regulations.gov by following the instructions on the web-
based form. If you prefer to file your comment on paper, mail your
comment to the following address: Federal Trade Commission, Office of
the Secretary, 600 Pennsylvania Avenue NW, Mail Stop H-144 (Annex H),
Washington, DC 20580.
FOR FURTHER INFORMATION CONTACT: Sarah Botha (202-326-2036), Attorney
Advisor and Acting HISA Program Manager, Office of the Executive
Director, Federal Trade Commission, 600 Pennsylvania Avenue NW,
Washington, DC 20580.
SUPPLEMENTARY INFORMATION:
The Horseracing Integrity and Safety Act of 2020 \1\ (the ``Act'')
recognizes a self-regulatory nonprofit organization, the Horseracing
Integrity and Safety Authority (``HISA'' or the ``Authority''), which
is charged with developing proposed rules on a variety of subjects.
Those proposed rules and later proposed rule modifications take effect
only if approved by the Federal Trade Commission (``FTC'' or the
``Commission'').\2\ The proposed rules and rule modifications must be
published in the Federal Register for public comment.\3\ Thereafter,
the Commission has 60 days from the date of publication to approve or
disapprove the proposed rule or rule modification.\4\
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\1\ 15 U.S.C. 3051 through 3060.
\2\ 15 U.S.C. 3053(b)(2).
\3\ 15 U.S.C. 3053(b)(1).
\4\ 15 U.S.C. 3053(c)(1).
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Pursuant to section 3053(a) of the Act and Commission Rule 1.142,
notice is hereby given that, on September 21, 2023, the Authority filed
with the Commission a proposed Racetrack Safety Rule modification and
supporting documentation as described in Items I, II, III, and IX
below, which Items have been prepared by the Authority. The Office of
the Secretary of the Commission determined that the filing complied
with the Commission's rule governing such submissions.\5\ The
Commission is publishing this document to solicit comments on the
proposed rule modification from interested persons.
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\5\ 16 CFR 1.140 through 1.144; see also FTC, Procedures for
Submission of Rules Under the Horseracing Integrity and Safety Act,
86 FR 54819 (Oct. 5, 2021).
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I. Self-Regulatory Organization's Statement of the Background, Purpose
of, and Statutory Basis for the Proposed Rule Modification
a. Background and Purpose
The Act recognizes that a national uniform set of standards for
racetrack safety will apply to a broad range of racetracks with widely
varying environments in terms of economic structure, race dates,
physical attributes, prevailing weather conditions, and other factors.
As such, the Act directs the Authority to develop and implement
``training and racing safety standards and protocols taking into
account regional differences and the character of differing racing
facilities.'' \6\ The Racetrack Safety Rule utilized a practical
approach to this implementation, recognizing that some practices are
already in place or can be put in place immediately, while others will
require adequate time and resources to implement.
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\6\ 15 U.S.C. 3056(b)(1).
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As directed in section 3052(c)(2) of the Act, the Authority's
Racetrack Safety Standing Committee (the ``Committee'') was constituted
and undertook developing a comprehensive proposed rule setting forth a
uniform set of training and racing safety standards and protocols.
Since the initial Racetrack Safety Rule was submitted to the
Commission,\7\ the Committee has spent hundreds of hours over the last
twenty months reviewing and analyzing modifications to the safety rules
that will enhance human and horse safety and welfare issues. The
Committee is comprised of four independent members and three industry
members.
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\7\ See FTC, Notice of HISA Racetrack Safety Proposed Rule, 87
FR 435 (Jan. 5, 2022) (``2022 Proposed Rule Notice''); FTC, Order
Approving the Racetrack Safety Rule Proposed by the Horseracing
Integrity and Safety Authority (Mar. 3, 2022), https://www.ftc.gov/system/files/ftc_gov/pdf/order_re_racetrack_safety_2022-3-3_for_publication.pdf.
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This submission is also made in order to comply with the
Commission's March 27, 2023 Order that directed ``the Authority to
review all of its existing rules (Racetrack Safety, Assessment
Methodology, Enforcement, Registration, and [Anti-Doping and Medication
Control (``ADMC'')]) and submit any proposed rule modifications to the
Commission by September 27, 2023.'' \8\ The Authority has reviewed all
of its existing rules and this submission was the first to be filed in
accordance with the March 27, 2023, Order.
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\8\ FTC, Order Approving the Anti-Doping and Medication Control
Rule Proposed by the Horseracing Integrity and Safety Authority at 6
(Mar. 27, 2023), https://www.ftc.gov/system/files/ftc_gov/pdf/P222100CommissionOrderAntiDopingMedication.pdf.
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On April 29, 2023, for the first draft of the Rule 2100
modifications, and on May 9, 2023, for the first draft of the Rule 2200
modifications, HISA representatives shared a draft of the these
proposed rule modifications with the following interested stakeholders
for input: Racing Officials Accreditation Program; Racing Medication
and Testing Consortium (Scientific Advisory Committee); Water Hay Oats
Alliance; National Thoroughbred Racing Association; The Jockey Club;
The Jockeys' Guild; Thoroughbred Racing Association; Arapahoe Park;
Rillito Downs; Thoroughbred Owners of California; California Horse
Racing Board; Kentucky Racing Commission; Delaware Racing Commission;
Maryland Racing Commission; National Horsemen's Benevolent and
Protective Association; Thoroughbred Horsemen's Association;
Thoroughbred Owners and Breeders Association; Kentucky Thoroughbred
Association; American Association of Equine Practitioners; American
Veterinary Medical Association; Stronach Racing Group (5
[[Page 24575]]
thoroughbred racetracks); Churchill Downs (6 thoroughbred racetracks);
Breeders' Cup; Keeneland; Del Mar; and the Racing Operations Committee.
Additionally, both drafts of the proposed modifications were made
available to the public for review and comment on the HISA website at
https://hisaus.org/. On July 24, 2023, for the second draft of the Rule
2100 modifications, and on July 30, 2023, for the second draft of the
Rule 2200 modifications, HISA representatives shared a draft of these
proposed rule modifications with the interested stakeholders set forth
above for input. On July 24, 2023, the revised Rule 2100 modifications
were made available to the public for review and comment on the HISA
website at https://www.hisaus.org/. On July 31, 2023, the revised Rule
2200 modifications were made available to the public for review and
comment on the HISA website at https://www.hisaus.org/. Voluminous
comments were received from various stakeholders, which are outlined in
Item II of this publication. Attached to this publication is Exhibit A,
which includes copies of all comments received concerning the rule
modification proposal.
In accordance with the Commission's March 27, 2023 Order, the
Authority's submission in support of the proposed rule modification
discusses each of the suggestions made by commenters on the Federal
Register from the original Racetrack Safety Rule submission where the
Authority in its February 2, 2022 letter to the Commission \9\ (the
``February 2, 2022 Letter'') committed to further consider the
suggestions. In accordance with the Order, Item III below sets forth
the relevant comments and states the reasons why the Authority did or
did not adopt the suggestions within the text of the proposed rule
modification.
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\9\ This letter is available on the docket for the 2022 Proposed
Rule Notice at https://www.regulations.gov/docket/FTC-2021-0076/document.
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The Authority's Rule 2000 safety rules were implemented in racing
jurisdictions nationwide on July 1, 2022. Since that time Covered
Horseraces have been successfully conducted under a uniform set of
rules devoted to equine and human health and safety, and that serve to
ensure that horseracing under the jurisdiction of the Authority is
conducted in the safest manner possible. Since July 1, 2022, the
Authority has closely observed the rules in action, the Authority staff
have engaged on a daily basis with the implementation of the rules, and
many helpful comments have been received from members of the industry
concerning the numerous aspects of the rules. Throughout this process,
the Authority has been careful to focus on the further development and
modification of various rules to enhance racetrack safety and welfare.
After much study and analysis under the direction of the Authority's
Racetrack Safety Committee, the Authority now submits this proposed
modification to the Rule 2000 Series. The submission consists of a
comprehensive set of modifications to many of the rules, as described
in detail in this publication. In some instances, modifications are
proposed to include more detail concerning a regulated activity, or to
create new instrumentalities to further the purposes of the Act (as in
the creation of the concept of Designated Equine Facilities in Rule
2144). In other instances, modifications are proposed to address
unanticipated circumstances encountered in the implementation of the
rules, or to provide clarity where questions have surfaced concerning
the proper implementation of the rules in various situations. The
reasons for the modifications, and any problems the modifications are
intended to address and resolve, are outlined in the discussion of each
particular rule modification.
In general, the Authority states that the rule modifications will
affect Covered Horses by ensuring that races are run on safe racing
surfaces and with properly inspected equipment and highly trained
racetrack personnel; these matters are examined by the Authority's
accreditation team pursuant to the Rule 2100 series. Numerous
modifications are proposed for the accreditation rules to ensure timely
and accurate reporting of information. In addition, Covered Horses will
be affected by and benefit from procedures implemented to ensure the
timely and accurate reporting of equine injuries and fatalities, rule
modifications pertaining to veterinary examinations, the veterinarian's
list, horseshoe inspections, and the performance of necropsies. These
are only a few examples; all of the modifications are described further
in this publication.
Covered Persons will be affected by and benefit from the proposed
rule modifications as well. A chief example, and a matter of particular
concern to the Authority, are the measures taken to safeguard the
safety of Jockeys and other riders on the racetrack grounds. This
publication will outline in detail the significant modification of
provisions concerning Jockey concussion protocols, physical
examinations, and human ambulance support.
Covered Horseraces will be affected by and benefit from the
modifications in additional ways as described herein. The efficient
running of claiming races will be much enhanced by the modifications to
the claiming rules set forth in Rule 2262.\10\ The prompt and efficient
resolution of violations of the rules of racing will be enhanced by
modifications to the riding crop rules and penalty structure, as well
as the establishment of an intermediate appeal process that will hasten
the resolution of riding crop violations. When the rules of racing are
strongly enforced, Covered Horseraces will be run in a safe manner that
directly affects and benefits both Covered Horses and Covered Persons.
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\10\ A ``Claiming Race'' is defined in HISA Rule 1020 as a
Covered Horserace in which a Covered Horse, after leaving the
starting gate, may be claimed (or, purchased for a designated
amount) in accordance with the rules and regulations of the
applicable State Racing Commission.
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The Authority is always open to comments from industry
participants, and in the development of rule modifications, these
comments have often led to the consideration and adoption of
alternatives in the proposed rule drafts circulated to the industry. In
the numerous instances in which alternatives to the proposed
modifications were considered, this publication will describe the
proposals and state the reasons why a proposal was adopted or rejected
by the Authority, or in some cases deferred for future consideration.
The Authority states that the proposed rule modifications in this
submission are consistent with the Act. The proposed rule modifications
meet the requirements in 15 U.S.C. 3056(b), because the modifications
are made to the originally filed safety rules that were crafted upon
and established the 12 elements of the horseracing safety program as
enumerated in 15 U.S.C. 3056(b). The new provisions that are
established in these proposed rule modifications are also within the
ambit of the elements of the horseracing safety program. Furthermore,
the Authority incorporates by reference into this modification the
existing standards that were set forth in the Notice of Filing of
Proposed Rule previously submitted to the Commission in the original
filing of the Rule 2000 Series on December 6, 2021.\11\ As was the case
then, and pursuant to 15 U.S.C. 3056(a)(2), the rule modifications
herein take into
[[Page 24576]]
consideration existing safety standards, including the National
Thoroughbred Racing Association Safety and Integrity Alliance Code of
Standards, Association of Racing Commissioners International (``ARCI'')
Model Rules, the International Federation of Horseracing Authority's
International Agreement on Breeding, Racing, and Wagering, and the
British Horseracing Authority's Equine Health and Welfare program.
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\11\ This supporting documentation is available on the docket
for the 2022 Proposed Rule Notice at https://www.regulations.gov/docket/FTC-2021-0076/document.
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With the review, input and ultimate approval of the Authority's
Board of Directors, the proposed modifications to the Rule 2000 Series
modify and enhance the penalties and adjudication procedures for the
enforcement of rules promulgated by the Authority. The Authority
submits herewith the proposed rules for Commission approval.
b. Statutory Basis
The Horseracing Integrity and Safety Act of 2020, 15 U.S.C. 3051
through 3060.
II. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Modification
Rule 2010. Definitions
a. References to Corresponding Definition in Rule 1020
Various definitions currently established in Rule 2010 are also
referenced in Rule 1020 of the ADMC Program Rules. The following
definitions have been modified to reference the corresponding
definition in Rule 1020, for consistent usage throughout the
Authority's Rules: Act, Adverse Analytical Finding, Association
Veterinarian, Attending Veterinarian, Authority, Claim, Claiming Race,
Commission, Covered Horse, Covered Horserace or Race, Covered Person,
Designated Owner, Owner, Person, Prohibited List, Prohibited Methods,
Prohibited Substance, Protocol, Race Day, Regulatory Veterinarian,
Responsible Person, State Racing Commission, Timed and Reported
Workout, Trainer, Training Facility, Veterinarian, Vets' List Workout,
and Workout.
b. Proposed New Definitions
The Authority proposes to add several new terms to the definitions
section in Rule 2010 to aid in the proper interpretation and
application of the Authority's existing and proposed new rules included
in the Rule 2100 and Rule 2200 Series of the Racetrack Safety Rule. The
proposed new definitions are set forth below.
Catastrophic Injury means an Equine Injury that resulted in death
or euthanasia of a Covered Horse within 72 hours of injury.
A commenter requested that the definition of Catastrophic Injury be
broadened to include both sickness and accidents, and that it
specifically incorporate the concept of sudden death, maintaining that
sudden death is not an ``injury.'' \12\ The Authority believes the
proposed modification in its current form is appropriate, but will
consider this comment in further deliberations upon rulemaking.
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\12\ California Horse Racing Board (``CHRB'').
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Designated Equine Facility means an equine facility designated by a
Racetrack in accordance with the procedures established in Rule 2144,
whose biosecurity protocols are consistent with those of the Racetrack,
and from which the Racetrack will accept horses onto its grounds with a
valid health certificate issued within the last 30 days or in a shorter
period of time if high risk situations dictate.
This term was modified significantly over the two rounds of
informal public comment. The original draft stated that the required
biosecurity protocols be ``reasonably consistent,'' but in response to
comment the definition was revised to require the protocols to be
``consistent.'' \13\ The same commenter suggested that the protocols be
specified in the rule.\14\ The Authority declines to adopt this
suggestion, as it is incumbent upon the Racetracks to apply and review
the appropriate biosecurity protocols.
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\13\ The Jockey Club.
\14\ The Jockey Club.
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Several commenters suggested that the definition should be written
to give the state racing commission the duty to approve the designation
by the Racetrack.\15\ The Authority considered this comment, but
declined to adopt the idea because not all state racing commissions
have a process in place to review and approve designated equine
facilities.
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\15\ The Jockey Club, Tom Robbins, Racing Operations Committee
(``ROCO'').
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Some commenters stated that no health certificate should be
required for horses that ship to a Racetrack from training facilities
owned by the Racetrack, and that to impose this requirement places an
undue burden on horsemen, attending vets, and stable gate
personnel.\16\ The Authority on balance does not consider the
requirement to be an undue burden when weighed against the health and
safety of Covered Horses.
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\16\ Comment jointly submitted by NYRA, Del Mar, Keeneland,
Churchill Downs, Breeders' Cup, and 1/ST Racing.
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Epistaxis means that blood from one or both nostrils of a Covered
Horse has been observed after exercise, attributable to an episode of
exercise-induced pulmonary hemorrhage (``EIPH''). The term Epistaxis is
referred to in numerous places in the Rule 2000 Series, and especially
in Rules 2240 and 2241 concerning the Veterinarians' list. This
definition will make it clear that the only horses subject to
regulatory action are those experiencing EIPH to the degree they show
signs of Epistaxis. The definition of the term Bled will be deleted in
this rule modification.
Equine Injury means an injury to a Covered Horse that occurred
during racing or training for which intervention by the Regulatory
Veterinarian or reporting by the Safety Director pursuant to Rule 2131
is required, and for which an injury report must be submitted pursuant
to the Rule 2000 Series.
A commenter asked whether entering injury information into the
Equine Injury Database is sufficient to satisfy the reporting
requirement.\17\ In answer, the Authority notes that it is sufficient
if the Racetrack shares with the Authority information entered into the
Equine Injury Database; however, not all Racetracks do so. The
Authority does not believe the filing of an injury report is unduly
burdensome but will consider this possible concept in future
rulemaking.
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\17\ 1/ST Racing.
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A commenter opined that the definition is too broad and that the
definition should apply to horses whose participation in racing or
training has been restricted, in a manner similar to the definition of
human injury.\18\ The Authority notes that drafting the definition in a
manner similar to the Human Injury definition would actually broaden
the definition to include conditions that might temporarily restrict a
horse's participation but are not reportable. The reporting obligation
in the proposed rule is more appropriately keyed to intervention by the
Regulatory Veterinarian or reporting by the Safety Director.
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\18\ Thoroughbred Owners and Breeders Association, and Mid-
Atlantic Strategic Plan to Reduce Equine Fatalities (collectively,
``THA'').
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Equine Mortality means a fatality of a Covered Horse that is not
attributable to a Catastrophic Injury.
This definition is added to facilitate the distinction between
Equine Mortality and Catastrophic Injury, which is used in prescribing
the duties of the Racetrack Risk Management Committee in new provisions
proposed to be added in Rule 2112.
[[Page 24577]]
Exercise Rider means a rider of a Covered Horse during a training
activity that is not a Covered Horserace.
The defined term is included in the application of several proposed
rules that are necessary to regulate the safety and conduct of persons
mounted on horses on the grounds of the Racetrack.
Farrier means a farrier (or horseshoer, plater or blacksmith) who
provides all aspects of hoof care or orthotic services to Covered
Horses, including trimming and/or the application of various orthotics
to the hoof.
This new definition is added to define the term as used in proposed
new Rule 2138 and elsewhere in the proposed rules.
Horseshoe Inspector means a person (for example, a paddock farrier)
employed, contracted, or appointed by a State Racing Commission,
Racetrack, or the Authority, who has been trained in, and is
responsible for, inspecting horseshoes or other orthotics on hooves of
Covered Horses.
This definition establishes the new position of Horseshoe
Inspector, who will inspect horseshoes under new rules of the
Authority. These inspections are a vital component in ensuring the
health and safety of Covered Horses.
A commenter asked if the qualifications of the horseshoe inspector
can be defined.\19\ The Authority believes that it is unnecessary to
prescribe at length the specific qualifications of the Horseshoe
Inspector and further notes that minimum qualifications for this
position are set out in Rule 2137(b). The Authority exercises oversight
over personnel performing functions on its behalf that allows the
Authority to ensure that personnel are qualified to perform their
duties.
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\19\ National Horsemen's Benevolent and Protective Association
(``HBPA'').
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Human Injury means an injury to a Covered Person that requires
medical attention and, as a result, may restrict a Covered Person's
current or future participation or employment in racing, and for which
an injury report must be submitted.
The Authority adopted the suggestion that the definition refer to
current or future participation in racing.\20\
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\20\ Breeders' Cup.
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In line with another commenter's query as to the extent of the
persons who are embraced by the rule, the word ``individual'' was
replaced by ``Covered Person.'' \21\ The commenter also asked who must
submit the report.\22\ A commenter suggested the term ``may restrict,''
since at the time of the report the effects of the injury may not be
known. This phrase was incorporated into the definition.\23\
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\21\ HBPA.
\22\ HBPA. The Medical Director must submit the report under
Rule 2132.
\23\ CHRB.
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Layoff Report means a report completed in a manner prescribed by
the Authority and submitted by the Trainer or Trainer's designee for a
Covered Horse that has not raced in a Covered Horserace for 150
consecutive days or more. The Layoff Report shall include, at a
minimum, information regarding all examinations, medical treatments,
surgical treatments, and exercise history of the Covered Horse during
the layoff period.
This definition is added to define the term Layoff Report in accord
with the new provision creating the obligation to provide Layoff
Reports in Rule 2142(a).
A commenter asked whether the Authority already has all of the
information included in the definition of Layoff Report.\24\ The
Authority does not have all of the information; during a typical layoff
period, much of the information is not subject to the Authority's
reporting requirements. Another commenter queried concerning the length
of time over which records will be required to be provided, suggesting
that a period of 30 days prior to submission should be sufficient.\25\
In response, the Authority notes that the Rule requires reporting ``in
a manner prescribed by the Authority,'' and the Authority will specify
a reasonable span of time for which the information is requested.
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\24\ The Jockey Club.
\25\ THA.
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Outrider means a rider employed or contracted by the Racetrack who
oversees and assists with the safety of all Riders, Trainers, and
horses on the Racetrack.
The definition is added because various rules govern the
responsibilities and duties of Outriders.\26\
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\26\ NYRA, Del Mar, Keeneland, Churchill Downs, Breeders' Cup,
and 1/ST Racing made helpful suggestions to the wording, including
the inclusion of the reference to ``contracted by.''
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Pony Horse means a horse, including the Outrider's horse, that
accompanies a Covered Horse(s) during training or racing activities.
This definition is added because various new provisions create
rules governing Pony Horses and racehorses in the same manner.\27\
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\27\ NYRA, Del Mar, Keeneland, Churchill Downs, Breeders' Cup,
and 1/ST Racing offered a helpful suggestion which resulted in the
inclusion of a reference to the Outrider's horse.
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Racetrack Risk Management Committee means the committee established
pursuant to Rule 2121.
This definition is added in order to change the name of the
Racetrack Safety and Welfare Committee to the Racetrack Risk Management
Committee. The term Racetrack Safety and Welfare Committee has caused
confusion due to its similarity to the term Racetrack Safety Committee.
Racetrack Safety Committee means the committee (or its delegate)
established pursuant to 15 U.S.C. 3052(c)(2).
The definition is modified to include the words ``or its
delegate,'' which is necessary to specify that the Racetrack Safety
Committee has the power to delegate certain responsibilities and duties
to other functionaries under the supervision of the Racetrack Safety
Committee.
Rider means any person who is mounted on a Covered Horse or Pony
Horse on the Racetrack, including a Jockey.
This definition is proposed in order to cover in one term the
various racing participants who are mounted on Covered Horses or Pony
Horses on the Racetrack. Several proposed rules and modifications refer
to all such participants, who are now referred to as Riders. For the
sake of clarity, the definition explicitly states that the term Rider
includes Jockeys.
Safety Program Effective Date means July 1, 2022.
Traction Device means any device that extends beyond the ground
surface of the horseshoe and includes but is not limited to inserts,
wear plates, rims, toe grabs, bends, jar calks, stickers, ice nails,
frost nails, and mud nails.
A definition of Traction Device is added which aids in the proper
interpretation of the Rule 2276 Horseshoe Rule. Traction devices have
been thought to increase a horse's ability to ``dig in'' to the track
surface to enhance propulsion and to prevent slipping. Traction devices
also reduce the horse's ability to plant its hoof level with a hard
surface and to dampen forces from the ground to the limb by inhibiting
hoof movement through the surface. These effects can contribute to
catastrophic musculoskeletal injuries. Rule 2276 follows scientific
evidence that toe grab traction devices are associated with equine
catastrophic injuries and appropriately limits the height of rims used
as traction devices on forelimb and hindlimb horseshoes. The rule
prohibits use of any other traction devices.
Veterinarians' List means a list maintained, or approved for use,
by the Authority of all Covered Horses that are determined to be
ineligible to compete in a Covered Horserace in any
[[Page 24578]]
jurisdiction until released by a Regulatory Veterinarian.
This definition is added to define the Veterinarians' List more
clearly. The term is used extensively in conjunction with Rules 2240,
2241, and 2242, and aids in the application of those rules. A commenter
suggested inclusion of the phrase ``approved for use,'' as it appears
in the modification.\28\ The phrase is used to allow for flexibility in
the event that the Authority does not itself maintain the list, but
instead at some point in time utilizes a list maintained by another
organization pursuant to an agreement with the Authority.
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\28\ The Jockey Club.
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c. Additional Proposed Modifications
The Authority proposes additional modifications to the definitions
as set forth below:
Groom means a Covered Person who is engaged by a Responsible Person
to assist in the daily physical care of Covered Horses.
Jockey means a rider licensed in any state and registered with the
Authority to ride a Covered Horse in a Covered Horserace.
The Jockeys' Guild requested that the rule specify the rider of a
Covered Horse in a Covered Horserace ``or during training.'' The
request is understandable but unnecessary, as the rule only requires
licensure and registration of the rider; the definition does not
exclude Jockeys from the ambit of the Authority's regulatory provisions
simply because an activity occurs during training hours rather a horse
race.\29\
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\29\ The Jockeys' Guild.
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Starting Gate Person means any individual licensed as a starter,
assistant starter, or any individual who handles Covered Horses in the
starting gate.
Veterinarian shall have the meaning set forth in Rule 1020.
Notwithstanding any provision set forth in the Rule 9000 Series
(Registration Rules), a Veterinarian who provides veterinarian services
to Covered Horses shall register with the Authority.
The definition is modified to state that it has the meaning set
forth in Rule 1020. In addition, a new sentence is added that requires
Veterinarians who provide services to Covered Horses to register with
the Authority. The safety and welfare of Covered Horses are of
paramount concern to the Authority, and it is vital that information
concerning any treatment rendered to Covered Horses be provided to the
Authority, along with the identity of, and contact information for, the
Veterinarian who has treated the Covered Horse. Registration of
Veterinarians with the Authority is the most effective means to obtain
the required information.
The following list contains those definitions that are modified
with only a change in the form of the citation:
Lead Veterinarian means any Veterinarian appointed pursuant to Rule
2134(c).
Racetrack Safety Accreditation or Accreditation means the process
for achieving, and the issuance of, safety Accreditation to a Racetrack
in accordance with Rules 2100 through 2193.
Finally, the Authority proposes deletion of the following
definitions as unnecessary: Out of Competition, Program Effective Date,
and Racetrack Safety and Welfare Committee.
2015. Racehorse Epidemiology Database and Study
The Horseracing Integrity and Safety Act mandates that the
Authority, in consultation with the Federal Trade Commission, develop
and maintain a nationwide database of racehorse safety, performance,
health, and injury information for the purpose of conducting an
epidemiological study. 15 U.S.C. 3056(c)(3)(A). The Act further
provides that ``the Authority may require covered persons to collect
and submit to the database described in subparagraph (A) such
information as the Authority may require to further the goal of
increased racehorse welfare.'' Id. at (c)(3)(B). The Authority proposes
this rule in connection with its statutory mandate under the Act.
This proposed new rule identifies all sources of records and data
that will be collected by the Authority for purposes of developing the
nationwide database referenced in section 3056 of the Act. The majority
of sources identified in this rule are references to other existing
rules in the Racetrack Safety Rule under which the Authority is already
receiving pertinent information and do not contain new, separate
reporting obligations on Covered Persons. Paragraph (c), however, does
require, upon the written request of the Authority, Racetracks to
provide historical equine injury and fatality data for the previous 10
years from the date of the request. One commenter questioned whether
the Authority has the statutory authority to request information and
records that pre-date the Act.\30\ In response, the Authority states
that access to this historical information ``furthers the goal of
increased racehorse welfare'' as it will aid in the Authority's
research and understanding of the patterns and trends relative to
racehorse injuries and fatalities. Additionally, the information will
be used to initially develop the database which will expedite the
research process. Other commenters \31\ noted that some of the
information referenced in this rule is already being captured and
collected through other non-Authority sources, such as the InCompass
database. These commenters are correct and, where applicable, the
Authority does receive information directly from these third-party
sources, obviating the concern of duplicative reporting.
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\30\ Dr. Jeff Blea.
\31\ The Jockey Club, the Maryland Racing Commission, and
comment jointly submitted by NYRA, Del Mar, Keeneland, Churchill
Downs, Breeders' Cup, and 1/ST Racing.
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2100. Racetrack Accreditation
2101. General
Language in this rule concerning the adoption of best practices and
guidance by the Racetrack Safety Committee has been stricken as
unnecessary.
2110. Accreditation Process
2111. Interim and Provisional Accreditation
No significant modifications are being proposed with regard to this
rule; minor modifications to terms used have been made.
The Jockeys' Guild expressed concerns about the granting of
``interim accreditation'' to Racetracks prior to HISA performing an
assessment under Rule 2112. The Jockey Club noted that the delay could
result in unaddressed safety concerns for up to three years.\32\ The
Jockeys' Guild also expressed concerns that the automatic granting of
``interim Racetrack Safety Accreditation'' by the Authority, and the
length of time before the Authority is able to conduct an assessment of
the track, might allow safety concerns to go unaddressed.\33\ The
Authority notes that these comments do not address the modifications
and concern provisions that have already been approved. Regardless, if
safety concerns arise, the Authority may intervene by issuing a Notice
of Suspected or Actual Violation. In the case of very serious hazards,
provisional suspension under Rule 2117 also provides the Authority with
the ability to address safety concerns rapidly in the interest of
protecting Covered Horse and Riders.
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\32\ The Jockeys' Guild.
\33\ The Jockeys' Guild.
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[[Page 24579]]
2112. Accreditation Assessment
Modifications are proposed in three paragraphs. Paragraph (a) is
amended to require a Racetrack to respond to questions and inquiries
posed by the Racetrack Safety Committee within a deadline established
by the Committee, rather than within 60 days. This provides more
flexibility in the time permitted to respond, in relation to the extent
and nature of the questions and inquiries posed.
In addition, paragraph (c) is amended to require a Racetrack's
response to a post-inspection report within 30 days, rather than 60
days. This change expedites the accreditation inspection and review
process and will result in more rapid remedial action taken to cure any
deficiencies in Racetrack operations or equipment. A commenter asked
whether there will be a response from the Authority indicating that a
Racetrack reporting submission has been received by the Authority.\34\
The Authority is currently developing an IT modality that will confirm
receipt of all submissions.
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\34\ Tom Robbins.
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Finally, Paragraph (d) is amended to include a new sentence that
permits the Racetrack Safety Committee to require a Racetrack, as a
condition of accreditation, ``to take any remedial or other action that
is consistent with the Authority's safety rules and Accreditation
standards established in the Rule 2100 Series and Rule 2200 Series.''
This provision provides greater flexibility in encouraging Racetracks
to meet the accreditation requirements expeditiously, as an alternative
to denying accreditation for non-compliance.
2113. Issuance of Accreditation
No significant changes are proposed for this rule. Minor changes to
the language of the Rule are proposed for clarity.
2114. Effective Periods of Accreditation
Rule 2114 in its current form establishes 3-year periods of
accreditation, which may be modified to 1 to 7 years if the Authority
determines that a modified period is consistent with the rules of
accreditation. No significant changes are proposed for this rule. A
``notwithstanding'' clause is included in paragraph (a) to make clear
that the 3-year period of accreditation is subject to the 1-to-7-year
terms set forth in paragraph (b). Other minor changes to the language
of the Rule are proposed for clarity.
2115. Racetrack Reporting
Rule 2115 establishes reporting requirements for Racetracks. A new
paragraph (a) provides more detail concerning annual reports to the
Authority by Racetracks; the rule explicitly requires Racetracks to
file a report within 30 days after the end of each race meeting, and,
by December 31 of each year, to complete a Racetrack Safety
Accreditation Audit. The audit is a key tool by which the Authority may
monitor a Racetrack's level of compliance with Authority rules.
An additional new provision, paragraph (g), requires Racetracks to
submit a certified report to the Authority within 30 days of the end of
each Race Meet. A commenter asked whether the information required in
the end of Race Meet report can be prescribed in the rule.\35\ The
Authority prefers the current language in the rule, which states that
the report shall be submitted ``in such form as the Authority may
prescribe.'' This provides greater flexibility, and the Authority will
outline in an appropriate form the precise information required, all of
which will pertain to Racetrack safety matters and requirements as set
forth in the rules of the Authority. Another commenter suggested that
the deadline for the report should be 60 days rather than 30 days.\36\
The Authority believes the 30-day requirement is appropriate and not
burdensome, and notes that the end of meet report consists only of data
reporting; no narrative composed by the Racetrack is required. The
sooner the information is provided to the Authority after the end of
the meet, the more likely it is to be accurate.
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\35\ Minnesota Racing Commission.
\36\ Tom Robbins.
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New proposed rules will require Racetracks to maintain a list of,
and contact information for, key personnel at the Racetrack. Racetracks
will also be required to authorize third party system providers who
collect information regarding Covered Persons, Covered Horses, and
Covered Racetracks to provide data upon request, and to authorize any
video replay or video service provider to provide to the Authority upon
request high-resolution video replays of Covered Horseraces at the
Racetrack. These new provisions will ensure the Authority may access
data relative to Covered Persons, Covered Horses, or Covered Horseraces
that is submitted by the Racetrack to the third-party system provider
(such as, fatality information submitted to the Equine Injury Database
or video replays to be used for injury and fatality review). These new
requirements will further the Authority's goal of increased racehorse
welfare and aid in making accreditation determinations.
Finally, new provisions in the rule permit the Authority to obtain
upon request information pertaining to accreditation or suspected
violations of Authority rules. Tracks are also made subject to on-site
inspection by the Authority at any time so that any suspected safety
violation can be promptly investigated and addressed.
All of these modifications refine the reporting requirements in
Rule 2115, so that the Authority possesses the information it needs to
review Racetrack compliance and make appropriate decisions concerning
Racetrack accreditation. The painstaking review of all aspects of
Racetrack operations are of vital importance in securing the health,
safety and welfare of Covered Horses and Covered Persons.
2116. Suspension and Revocation of Accreditation
Rule 2116 establishes the procedures for situations in which a
Racetrack is in material non-compliance with the Accreditation
requirements. In addition to stylistic changes, a new provision is
added which states that the Authority may consider all factors that it
deems important, including factors established in Rule 8360(e)(1)-(5).
Commenters suggested that the factors for material non-compliance
should be clearly established in the rules.\37\ The Authority prefers
to leave ``material non-compliance'' as an open term; the circumstances
under which a Racetrack might be in material non-compliance are many
and varied, and difficult to anticipate and articulate in their
entirety in a rule. In response, however, the Authority proposed new
language clarifying that the Authority shall consider all factors that
it deems appropriate, including the factors established in Rule
8360(e)(1)-(5).
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\37\ This is a comment jointly submitted by NYRA, Del Mar,
Keeneland, Churchill Downs, Breeders' Cup, and 1/ST Racing.
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2117. Provisional Suspension of Racetrack Accreditation
Rule 2117, Provisional Suspension of Racetrack Accreditation, is a
new proposed rule. This provision permits the Authority to suspend
racing activity in a short period of time if ``the Authority has
reasonable grounds to believe that the conditions or operations of a
Racetrack present an imminent danger to the health, safety, or welfare
of Covered Horses or Riders arising from specific violations by the
Racetrack of
[[Page 24580]]
the Authority's Racetrack safety or accreditation rules.'' \38\
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\38\ Rule 2117(a)(1).
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Proposed Rule 2117 was distributed for public comment in July 2023.
Since that time, the Authority has received numerous comments and has
worked with industry stakeholders to address due process concerns that
were raised during the informal public comment period. This proposed
rule is the result of both collaboration with industry stakeholders and
the Authority's input. Under this rule, the Authority may issue a show-
cause notice concerning a provisional suspension of a Racetrack's
accreditation if the Authority has reasonable grounds to believe that
the conditions or operations of the Racetrack present an imminent
danger to the health, safety, or welfare of Covered Horses or Riders
arising from specific violations by the Racetrack of the Authority's
Racetrack safety or accreditation rules. The show-cause notice will
include an itemization of the rules which the Racetrack is believed to
have violated, the corrective actions suggested to achieve compliance,
a request for a written response from the Racetrack, and a statement
indicating that the Racetrack may request a provisional hearing within
3 business days of receipt of the notice. Notably, the Racetrack's
accreditation would not be suspended during the time between receipt of
the show-cause notice and the provisional hearing.
The Racetrack is afforded significant procedural due process
protections under this rule; first at the provisional hearing stage
and, later, at the final hearing. For instance, if the Racetrack
requests a provisional hearing, the provisional hearing will be
promptly held within 3 business days of receipt of the Racetrack's
request for a hearing. The provisional hearing will be conducted by a
3-person panel consisting of 1 industry member of the Board, 1
independent member of the Board, and 1 member of the Arbitral Body
selected by the Chair of the Board. The sole issue to be determined at
the provisional hearing is whether the Racetrack's provisional
suspension of Accreditation shall go into immediate effect following
the provisional hearing, be stayed pending a final hearing under this
rule, or be withdrawn. The burden is on the Authority to demonstrate
good cause why the provisional suspension of the Racetrack's
accreditation should go into immediate effect or be stayed pending a
final adjudication. Within 7 business days of the conclusion of the
provisional hearing, the 3-person panel will issue a written decision
imposing an immediate provisional suspension of the Racetrack's
accreditation, staying the provisional suspension, or dismissing the
notice.
The Racetrack may seek prompt review of any decision rendered at
the provisional hearing by requesting a final hearing, which will take
place within 14 calendar days of the Racetrack's request for a final
hearing. The final hearing will be conducted by a quorum of the Board
and the 2 Board members who participated in the provisional hearing
will be precluded from participating in the final hearing. The final
hearing will be conducted pursuant to the procedural rules established
in Rules 8340(d) through (j), which provide for a full presentation of
evidence and place the burden on the Authority to demonstrate, by a
preponderance of the evidence, that the Racetrack is in violation of
the Accreditation rules.
Within 7 business days of the conclusion of the final hearing, the
Board may (1) order that the Racetrack's accreditation be reinstated,
suspended, or revoked; (2) reinstate accreditation subject to any
requirements the Board deems necessary to address the specific safety
violations; and/or (3) impose a fine in an amount not to exceed
$50,000.
The outcome of the final hearing of the Authority will be
considered a final civil sanction subject to appeal and review in
accordance with the provisions of 15 U.S.C. 3058.
2120. Accreditation Requirements
2121. Racetrack Risk Management Committee
The title of the Committee has been changed to Racetrack Risk
Management Committee. As noted in several comments, the previous title,
the Racetrack Safety and Welfare Committee, was sometimes confused with
the Racetrack Safety Committee established by the Act.
The Rule sets forth the composition of the Committee. Revisions are
proposed which rename several positions; the term ``Horsemen's
representative'' has been replaced by ``Owners' representative'' and
``Trainers' representative,'' as Owners and Trainers are often
collectively referred to as ``Horsemen.''
The Racetrack may alter the composition of the Racetrack Risk
Management Committee, if approved by the Racetrack Safety Committee.
This allows the Racetrack to adapt the structure of the Racetrack Risk
Management Committee to well-functioning structures already in place in
states such as California.\39\
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\39\ Prompted by a comment from the CHRB.
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The current rule specifies the responsibilities of the Racetrack
Risk Management Committee in paragraph (c); several modifications
clarify terminology and duties. New provisions require interviews of
witnesses to be conducted in the case of Human Injury, and to interview
Racetrack personnel when appropriate in the review of Catastrophic
Injuries and Equine Mortalities. In addition, the Rule expands upon
current language to specify that the Racetrack Risk Management
Committee must file a certified end of meet report, with attached
meeting minutes, within 60 days of the end of a race meet of fewer than
60 days (this is separate from the Racetrack's obligation to submit an
end of meet report 30 days after the meet). Quarterly reports are
required for race meets of 60 days or more. The Racetrack Safety
Committee will specify the contents of the post-meet report, in
response to a commenter who queried concerning the contents of the
report.\40\
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\40\ Minnesota Racing Commission.
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A new paragraph (b)(2) clarifies that the Regulatory Veterinarian
shall chair the Racetrack Risk Management Committee, unless there is no
agreement between the Authority and the State Racing Commission. If
there is no agreement, a Lead Veterinarian shall be appointed by the
Racetrack and shall chair the Racetrack Risk Management Committee, and
the cost of this position will be funded by the Racetracks.
The purpose of the Racetrack Risk Management Committee is to
review, with the input of members from multiple disciplines,
information and occurrences relevant to equine and human safety. This
allows the Racetrack Risk Management Committee to take action to
improve safety at the Racetrack. The purpose of the Racetrack Risk
Management Committee is not to impose discipline upon Covered Persons,
but rather to facilitate the process of discussion, risk analysis,
education and implementation of strategies for injury prevention.
A commenter asked whether all of the members of the committee are
required to perform all of the responsibilities outlined in
2121(c).\41\ Another commenter expressed concern that provision was not
being made for small groups.\42\ As noted above, a Racetrack may alter
the composition of the committee upon approval of the Racetrack Safety
Committee. The
[[Page 24581]]
Authority further notes that the rule does not require the Safety
Director to perform all of the work of the Committee; the various
members of the Committee will perform much of the work. The role of the
Safety Director is to oversee the Committee's work to make sure that
the work is performed in a coordinated manner, and to provide
assistance and additional resources where necessary to ensure the tasks
of the Committee are thoroughly and efficiently performed. It is
anticipated that members of the Committee may perform as sub-groups to
assist in accomplishing the Committee's various duties and tasks.
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\41\ HBPA.
\42\ CHRB.
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A commenter suggested that Starting Gate Persons and Track
Superintendents should be among those persons required to be
interviewed after a Catastrophic Injury or Equine Mortality.\43\ The
Authority notes that such interviews are covered by the rule, with
flexibility to adjust for individual cases; the rule currently requires
interviews when appropriate with ``Racetrack personnel.''
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\43\ The Breeders' Cup.
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Commenters opined that an attending veterinarian should be a member
of the committee.\44\ The Authority believes the committee is best
served by the membership of the Regulatory Veterinarian or Association
Veterinarian.
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\44\ THA, Dr. Scott Hay.
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2130. Required Safety Personnel
2131. Safety Director
Rule 2131 concerning the Safety Director is modified in several
provisions in addition to minor clarifications of terminology. The most
significant change is the new provision, establishing a new
responsibility for the Safety Director: ``(c)(4) Establishing a formal
protocol by which health, safety, and welfare issues are reported,
investigated, and resolved by the Racetrack. The protocol shall address
coordination between racetrack management, Veterinarians, safety
stewards, and Stewards, so that all persons involved have a clear
understanding of their roles and further action may be taken where
appropriate.'' This provision tasks the Safety Director with creating a
comprehensive protocol that systematizes the methods by which health,
safety and welfare issues are addressed and resolved. The provision
also requires that the protocol address vital issues concerning how the
various officials will cooperate in addressing issues. The protocol
ensures that officials may work together in a pre-determined and
coordinated way, rather than in an ad hoc manner with no consistent
approach.
Commenters have expressed concern that the Safety Director cannot
perform all of the duties set forth in the rule.\45\ The rule, however,
does not require the Safety Director to perform all of the work of the
Committee; the various members of the Committee will perform the work
in collaboration. The role of the Safety Director is to oversee the
Committee's work to make sure that the work is performed in a
coordinated manner, and to provide assistance and additional resources
where necessary to ensure the tasks of the Committee are thoroughly and
efficiently performed. In response to a comment expressing concern
about the Safety Director's oversight of Regulatory and Association
Veterinarians,\46\ the Authority emphasizes that the veterinarian's
prerogative and medical judgment of equine welfare issues will not be
limited or constrained by the Safety Director.
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\45\ The Jockeys' Guild and a comment jointly submitted by NYRA,
Del Mar, Keeneland, Churchill Downs, Breeders' Cup, and 1/ST Racing.
\46\ This is a comment jointly submitted by NYRA, Del Mar,
Keeneland, Churchill Downs, Breeders' Cup, and 1/ST Racing.
---------------------------------------------------------------------------
Paragraph (c)(8) is modified to state that the Safety Director
shall be responsible for: ``(8) Report[ing] all equine injuries that
required equine ambulance assistance and fatalities to the Racetrack's
Risk Management Committee and the Authority within 72 hours of an
injury, and within 24 hours of a fatality[.]'' The provision, suggested
by a commenter,\47\ more precisely limits the reporting of equine
injuries to those that required ambulance assistance, rather than minor
injuries that do not require extensive medical care. The provision also
now requires that equine fatalities be reported to the Racetrack Risk
Management Committee and the Authority within 24 hours. The reporting
of equine fatalities is vital to ensure that Racetrack officials may
take prompt action to determine the cause of fatalities and take action
to mitigate the possibility of further injuries to Covered Horses on
Racetrack grounds. It is important to note that the reporting
requirement does not require the filing of a written report; verbal
notification satisfies the initial 24-hour reporting requirement.
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\47\ Tom Robbins.
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A commenter asked whether the Safety Director will also be
responsible for emergency drills concerning, for example, weather-
related events.\48\ In response, the Authority notes that the Safety
Director is not charged with personally directing emergency drills, but
is charged with the oversight function of ensuring that the drills are
conducted pursuant to Rule 2161.
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\48\ Breeders' Cup.
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A commenter urged that the Equine Injury Database be used for the
reporting of equine injuries within 24 hours of a fatality, and 72
hours of an injury.\49\ The veterinarians do not have to report to both
the Equine Injury Database and the Authority, provided the Racetracks
permit the Authority to access the Equine Injury Database. If the
Racetrack does not permit access, the reporting must be made directly
to the Authority in addition to the Equine Injury Database.
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\49\ The Jockey Club.
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2132. Medical Director
There are several significant additions to Rule 2132. Rule 2132 is
modified with the following language: ``The Medical Director shall be
either a licensed physician, a board-certified athletic trainer, or an
individual qualified to perform the duties and responsibilities set
forth in this Rule with the assistance of the Authority's National
Medical Director.'' While the engagement of a licensed physician is
ideal, this is not possible at this time at some Racetracks. The rule
allows, for example, a qualified medical provider (such as a nurse
practitioner) to perform the duties of the Medical Director, with the
proviso that the Medical Director shall have the assistance of the
Authority's National Medical Director in performing the duties.
An additional significant provision is added to the duties of the
Medical Director. The provision states that the Medical Director shall:
``(c)(3) Require notification of Human Injuries during racing or
training to the Authority's National Medical Director within 1 hour of
transport of the individual(s) from the scene of the injury.'' This
rule will enhance the safety of Riders by ensuring that HISA's National
Medical Director is informed of Human Injuries very quickly, so that
the Medical Director can assist in providing any services needed by the
Rider or the medical responders. A commenter questioned whether 1 hour
was realistic, recommending 24 hours instead.\50\ The Authority
disagrees with this view, and notes that all the rule requires is
``notification,'' which can include verbal notification. No written
report or communication is required to satisfy the 1-hour requirement.
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\50\ Tom Robbins.
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An early draft of Rule 2132 implied that all human injuries be
reported
[[Page 24582]]
under the rule. Commenters noted,\51\ and the Authority agrees, that
the reporting of all human injuries that occur at a Racetrack is
impractical. The definition of Human Injuries was therefore modified to
limit Human Injuries to those injuries requiring medical attention and
that may restrict a Covered Person's current or future participation or
employment in racing.
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\51\ Tom Robbins, HBPA.
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In the provision requiring the Racetracks to reimburse the
Authority for the costs associated with the employment of the Medical
Director, the clause that provides for the reimbursement to be based on
``total handle wagered in the applicable state in the prior calendar
year'' has been removed. This change is made to conform to substantive
changes in the Authority's Rule 8500 Series concerning the allocation
of costs.
A provision is modified to state that the Medical Director shall
``develop and implement a process for certifying a Jockey's fitness to
resume riding.'' This clarifies that the Medical Director is not
required to certify the Jockey's fitness to ride, but instead is
charged with the development of the certification process.
A provision is modified to require the reporting of Human Injuries
to the Racetrack Risk Management Committee and the Authority within 24
hours rather than the current requirement of 72 hours. This allows the
Racetrack Risk Management Committee and the Authority's National
Medical Director to review the factors contributing to the injury more
rapidly.
Finally, a provision is added that requires the Safety Director to
coordinate with the Authority's National Medical Director. This ensures
effective coordination between these two officials in addressing Human
Injuries.
2133. Stewards
In Rule 2133, paragraph (b) is amended to state: ``Unless the
Authority determines that the applicable individual is otherwise
qualified, to qualify for appointment as a Steward, the appointee shall
meet the experience, education, and examination requirements necessary
to be accredited by [the Racing Officials Accreditation Program
(``ROAP''].''
A commenter expressed opposition to the amended introduction,
stating that it might undermine standards of racing experience.\52\ The
Authority understands the need for competent and experienced Stewards,
and will carefully consider any individual who is not accredited by
ROAP.
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\52\ Dan Fick and ROAP.
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A commenter suggested that the term ``or contracted with'' should
be added to Rule 2133(c), which concerns the contractual agreements
entered into by the Authority and State Racing Commissions.\53\ This
change was made, so that Rule 2133(c) now reads as follows: ``The
requirements of Rule 2133 for any Steward employed by or contracted
with a State Racing Commission are subject to the applicable State
Racing Commission electing to enter into an agreement with the
Authority.''
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\53\ CHRB.
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2134. Regulatory Veterinarian
Rule 2134 sets forth the requirements and duties concerning
Regulatory Veterinarians at the Racetrack. A new proposed rule is added
as paragraph (a) which requires Racetracks to ensure that that no fewer
than 2 Regulatory Veterinarians (as defined in Rule 1020 and excluding
test barn veterinarians) are present at the Racetrack during all live
racing. Upon a request and a showing of undue hardship by the
Racetrack, the Racetrack Safety Committee may permit a Racetrack to
have 1 Regulatory Veterinarian present at the Racetrack during all live
racing. Some commenters observed that the shortage of veterinarians
nationwide will make it difficult for Racetracks to have 2 Regulatory
Veterinarians present at the track.\54\ The Authority recognizes that a
shortage exists, and in response to these concerns has added a
provision allowing the Racetrack Safety Committee to permit a Racetrack
to have 1 Regulatory Veterinarian present at the Racetrack upon a
showing of undue hardship. The Racetrack Safety Committee will
scrutinize any such request very carefully, and always with the safety
of Covered Horses firmly in mind.
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\54\ ROAP, Washington Horse Racing Commission.
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Other commenters questioned how a Racetrack can be charged with
controlling the number of Regulatory Veterinarians on the grounds of
the Racetrack.\55\ In response, the Authority notes that Racetracks are
permitted (and encouraged) to appoint a veterinarian to supplement the
duties of the Regulatory Veterinarians and to comply with the
requirement in proposed Rule 2134(a). Such veterinarians are referred
to as ``Lead Veterinarians'' and have the same duties, obligations, and
responsibilities of the Regulatory Veterinarians under these rules.
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\55\ ROAP, Mike Hopkins, Joe Wilson.
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Paragraphs (b)(1) and (2) of this rule are modified to clarify that
the Regulatory Veterinarians may be contracted or appointed by a State
Racing Commission or the Authority, and that Regulatory Veterinarians
need only be licensed to practice in the state in which the Regulatory
Veterinarian is performing the duties established under the rule, if
required in the applicable jurisdiction. A number of commenters
expressed viewpoints concerning proposed amendments to this rule,
weighing in favor of retaining the requirement that Regulatory
Veterinarians must be licensed to practice in the state in which they
perform their regulatory duties. The Rule is amended for greater
flexibility in light of the nationwide veterinary shortage and
accommodates the possibility that a jurisdiction might not require the
Regulatory Veterinarians to be licensed by the state in which they
perform regulatory duties, in which case no license is required. Of
course, if the applicable jurisdiction requires the veterinarian to be
licensed in the jurisdiction, this rule does not alter that
requirement.
Paragraph (b)(4) is amended to clarify that the Regulatory
Veterinarian is restricted from prescribing ``medications'' for any
Covered Horse within the applicable jurisdiction except in cases of
emergency, accident, or injury. A comment had noted that Regulatory
Veterinarians must be able to prescribe diagnostics; the term
``medications'' more precisely states the activity intended to be
prohibited.\56\
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\56\ This is a comment jointly submitted by NYRA, Del Mar,
Keeneland, Churchill Downs, Breeders' Cup, and 1/ST Racing.
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Paragraph (c) contains changes to the provisions concerning the
appointment of a Lead Veterinarian. In those jurisdictions where the
state racing commission does not elect to enter into an agreement with
the Authority to establish a Regulatory Veterinarian, the Racetrack is
required to appoint a Lead Veterinarian to carry out the duties,
obligations, and responsibilities of the Regulatory Veterinarian under
the rules. New language is added to this rule to clarify that even in
jurisdictions where the applicable state racing commission does elect
to enter into an agreement with the Authority to establish a Regulatory
Veterinarian, the Racetrack may still appoint a Veterinarian(s) to
serve as the Lead Veterinarian(s) to supplement the duties of the
Regulatory Veterinarian(s) and to comply with the requirements in Rule
2134(a). In both cases, the appointment of the Lead
[[Page 24583]]
Veterinarian(s) is subject to the Racetrack Safety Committee's
approval.
A comment stated that the sharing of a Lead Veterinarian may be
impractical in some states in which racing dates overlap.\57\ In
response, the Authority notes that nothing in the rule requires
Racetracks within a state to share a Lead Veterinarian.
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\57\ This is a comment jointly submitted by NYRA, Del Mar,
Keeneland, Churchill Downs, Breeders' Cup, and 1/ST Racing.
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2135. Responsibilities and Duties of Regulatory Veterinarian
Paragraph (a)(5) of this rule is revised to clarify that the
Stewards retain the authority to scratch horses, upon receiving
notification from the Regulatory Veterinarian that the horse is
injured, ill, otherwise unable to compete due to a medical or health
related condition, or poses a hazard to other horses or racing
participants. This codifies pre-existing industry practice and is in
accord with the preference of several commenters who opined that the
Stewards should retain the ultimate authority to scratch horses.\58\
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\58\ ROAP, Tom Robbins, ROCO, Washington Horse Racing
Commission.
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Paragraph (a)(7) is revised to clarify that, notwithstanding Rule
2220 (specifying that only Attending Veterinarians may attend to
Covered Horses at any location under the jurisdiction of the State
Racing Commission), a Regulatory Veterinarian may provide emergency
medical care and effect case transfer to the Attending Veterinarian.
This is necessary for the health and safety of Covered Horses. The
addition of ``training'' is intended to cover emergency situations
where an Attending Veterinarian is not present on the Racetrack
grounds.
Paragraph (a)(9) is amended to state that the Regulatory
Veterinarian must ``report to the Safety Director and the Authority
within 24 hours the names of all Covered Horses who are euthanized or
which otherwise die at the meeting and the reasons therefor.'' The
addition of ``and the Authority within 24 hours'' is intended to
facilitate prompt notice to the Authority of potentially emerging
safety situations.
A commenter suggested that the reference to the Safety Director
should be deleted from this rule.\59\ The Authority prefers to retain
the reference to the Safety Director because regular communication of
safety and welfare issues with the Authority is expected and is in the
best interest of equine safety and welfare.
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\59\ 1 S/T Racing.
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Paragraph (a)(10) is modified as follows: ``collaborate with the
Safety Director, Chief Veterinarian of the State Department of
Agriculture (or comparable State government official), Equine Disease
Communication Center (EDCC), and other regulatory agencies to take
measures to control communicable or reportable equine diseases.'' This
provision was developed while considering a comment that suggested the
inclusion of the ``comparable State government officials'' phrase,
since states vary as to the specific state officials responsible for
the communicable diseases.
Paragraph (b) is amended to clarify that a Regulatory Veterinarian
may access Covered Horses on Racetrack grounds, perform inspections of
Covered Horses, observe Covered Horses during training activities, and
place a Covered Horse on the Veterinarians' List. This codifies pre-
existing industry measures intended to reduce the number of injured or
at-risk horses participating in racing activities.
Paragraph (c) is modified to permit the Authority to retain
additional veterinarians if it determines that the Regulatory
Veterinarian identified in the agreement with the Authority requires
additional assistance to perform the regulatory duties set out under
these rules. The modification is necessary to address situations where
a vacancy can be difficult to fill, especially as a stop gap measure,
and the Authority may be able to deploy additional veterinary personnel
in the short term.
Paragraph (d) is modified to clarify that the Regulatory
Veterinarian identified in the agreement with the Authority or, if
there is no Regulatory Veterinarian, the Lead Veterinarian has
jurisdiction over all veterinarians within the grounds of the
Racetrack. A commenter noted that jurisdiction over the Attending
Veterinarian should be vested in the Association Veterinarian where
there is no Regulatory Veterinarian filing such as role, as in the
state of Florida.\60\ In response, the Authority states that the
Racetrack can appoint the Association Veterinarian as a Lead
Veterinarian, which obviates the concern raised in this comment.
However, only the Regulatory Veterinarian may review and consult with
the Stewards and State Racing Commission regarding licensing
applications under paragraph (d) of this rule.
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\60\ 1 S/T Racing.
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2136. Racetrack Safety Officer
Rule 2136 sets out the duties of the Racetrack Safety Officer. This
rule contains minor modifications. The rule in paragraph (b) specifies
the duties the Safety Officer must carry out, and modifies the
prefatory sentence as follows: ``The Safety Officer or the Safety
Officer's designee shall. . . .'' This phrase referring to the Safety
Officer's designee is added to make clear that the Safety Officer may
designate other individuals to assist in the performance of the
specified duties. This addition is in response to concerns expressed by
a commenter that the Safety Officer's duties are too expansive.\61\
Under the modified rule, the Safety Officer may enlist assistance in
the performance of the prescribed duties.
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\61\ The Jockeys' Guild.
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One of these duties, as set forth in paragraph (b)(5), is modified
to state that the Safety Officer shall monitor ambulance and medical
personnel protocols for Covered Horses and Riders in cooperation with
the Medical Director. This addition is made to emphasize that the
Safety Officer will monitor protocols in conjunction with, and with the
benefit of, the medical knowledge and expertise of the Medical
Director.
Finally, the rule is modified in (b)(8) to specify that the Safety
Officer will conduct ``HISA registration checks,'' rather than
``license checks;'' the latter term is more applicable to State Racing
Commission licenses, whereas registration is a function of the
Authority under the Rule 9000 Series.
A commenter observed that the Safety Officer should ``either
participate in the creation of or be the sole individual to draft
standard operating protocols for racetrack safety and equine welfare.''
\62\ The Safety Director is charged with the development of the
protocols pursuant to Rule 2131(c)(4), but the Safety Officer under
Rule 2136(b)(13) may make recommendations to Racetrack management and
officials to ensure the safety and welfare of Covered Horses and
Riders. The Safety Officer may certainly make recommendations
concerning the protocols.
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\62\ Jeanne Schnell.
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2137. Horseshoe Inspector; 2138. Responsibilities and Duties of
Horseshoe Inspector; 2139. Horseshoe Inspections
The Authority proposes a set of three new rules aimed at reducing
equine injuries and riding-related incidents attributable to
noncompliant horseshoes. The first rule, Rule 2137, establishes a
requirement on Racetracks (or State Racing Commissions where the
applicable State Racing Commission elects to enter into an agreement
with the Authority), to employ or contract
[[Page 24584]]
with a Horseshoe Inspector (defined in Rule 2010) to perform the duties
and responsibilities specified in Rule 2138. The Authority believes it
is important to have a designated individual at each Racetrack
responsible for inspecting horseshoes and ensuring compliance with the
Authority's rules. Not all Racetracks currently have an individual who
is solely responsible for inspecting horseshoes prior to racing.
Rule 2137 was originally circulated for informal industry comment
in April 2023. That version of the rule required the Horseshoe
Inspector to be licensed by the State Racing Commission. The Authority
received a comment in response to this rule, noting that this is not a
position which is licensed by State Racing Commissions.\63\ The
Authority believes that it is likely that the position will require
licensure but has revised this rule to only require licensing if such
licensing is required in the applicable jurisdiction. In addition to
licensing, this rule requires the Horseshoe Inspector to be
knowledgeable of matters pertaining to hooves, horseshoes, and the
Authority's rules pertaining to these subjects. The rule also includes
a continuing education requirement for Horseshoe Inspectors.
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\63\ HBPA.
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The second rule, Rule 2138, sets out the specific responsibilities
and duties of the Horseshoe Inspector--that is, conducting inspections
of horseshoes and other orthotics on all Covered Horses entered in a
Covered Race on Race Day and notifying the Stewards of any Covered
Horse that is shod with horseshoes that are not compliant with the
Authority's rules. The rule instructs the Horseshoe Inspector to
perform additional inspections if requested by the Steward. Involving
Stewards in this process provides an additional safeguard as they have
the authority to scratch a Covered Horse from a race. Reducing the
number of Covered Horses competing with noncompliant shoes will lead to
fewer Racetrack incidents and injuries and enhance the overall safety
of Covered Riders and Covered Horses.
Finally, Rule 2139 contains the process for pre-race horseshoe
inspections. The rule specifies that the trainer of each Covered Horse
must present the Covered Horse for inspection on the day of the race
and that the Horseshoe Inspector's inspection must include, at a
minimum, identification of the Covered Horse and examination of the
horseshoe and other orthotics and documentation of features relating to
a violation of horseshoe rules of the Authority. If, prior to starting
a Race, the Horseshoe Inspector is unable to make a determination, or
determines that a Covered Horse is wearing non-compliant horseshoes,
the Horseshoe Inspector shall notify the Stewards prior to the Covered
Horse leaving the paddock. Again, this measure ensures that the
Stewards are notified of Covered Horses that should not be competing
and can take the appropriate steps to remove the horse from the race.
Intervention on the part of the Horseshoe Inspector or Steward has the
potential to prevent or reduce the number of incidents and injuries
associated with the use of shoes that are not compliant with the
Authority's rules.
2140. Racehorse Inspections and Monitoring
2141. Veterinary Inspections
Rule 2141 establishes that Veterinary inspections shall be
performed by the Regulatory Veterinarians on all Covered Horses entered
in a Race, and that such inspections shall include the items listed in
Rule 2142. The current rule specifies that if the Regulatory
Veterinarian determines that a Covered Horse is unfit for competition,
or if the Regulatory Veterinarian is unable to make a determination of
racing soundness, the Regulatory Veterinarian shall have the
unconditional authority to scratch the Covered Horse from the race, and
shall notify the Stewards that the Covered Horse shall be scratched.
The rule is modified in paragraph (a) to change the phrase ``unfit
for competition'' to ``unsound for competition,'' because the word
``unsound'' is a more holistic veterinary term that embraces a wider
range of conditions that could potentially compromise the horse's
safety and welfare. In addition, the rule is modified to state that if
the Regulatory Veterinarian determines that the Covered Horse should be
scratched for the specified reasons articulated in the rule, the
Regulatory Veterinarian shall notify the Stewards that the horse shall
be scratched, and the Stewards shall then scratch the horse from the
race. This change was suggested and supported by commenters,\64\
because it accords with existing state racing commission rules which
provide only the Stewards with the authority to scratch a horse from a
race.
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\64\ Tom Robbins, ROCO.
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2142. Assessment of Racing Soundness
Rule 2142 details the various reports, inspections and procedures
that promote equine welfare and safety. A commenter suggested the
removal of a provision in the modified rule as originally drafted that
required the Layoff Report to be submitted not less than 30 days prior
to entry.\65\ The Racetrack Safety Committee considered this suggestion
and removed the provision; the committee concluded that the Racetrack
entry schedule (under which entries routinely close several days in
advance of the race) provides adequate time for the Regulatory
Veterinarian to review the lay-off reports.
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\65\ Gary Palmisano.
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Another commenter asked whether the Regulatory Veterinarian should
be required to sign off on the horse prior to entry.\66\ The California
rule requires an additional regulatory inspection. The intent of the
rule is to mirror more closely that in place in the Mid-Atlantic
region, which is to require that the information be made available to
the Regulatory Veterinarian to review. The intent is not to require an
additional pre-entry regulatory inspection.
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\66\ Tom Robbins.
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Concerning paragraph 2142(b), which governs post-entry screening,
the modification requires Layoff Reports to be reviewed (in accord with
the new provision concerning Layoff Reports in paragraph (a)). The
modification also adds a sentence which states: ``Additional physical
inspection and observation in motion may be performed by the Regulatory
Veterinarian.'' This addition makes clear that the Regulatory
Veterinarian may exercise the discretion to expand the inspection as
needed to ensure the safety and well-being of the horse under
inspection. At the suggestion of commenters,\67\ the Authority removed
a provision that required the Racetrack Safety Committee to approve any
additional inspection. This allows the Regulatory Veterinarian to
exercise immediate discretion according to the Regulatory
Veterinarian's professional judgement concerning the horse.
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\67\ Comment jointly submitted by NYRA, Del Mar, Keeneland,
Churchill Downs, Breeders' Cup, and 1/ST Racing.
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Commenters requested that the Authority develop a reporting form
that will provide the medical history of all horses entered, to aid in
the review of the last 30 days of medical history as required in the
current rule.\68\ The Authority agrees and is working on developing the
form.
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\68\ Comment jointly submitted by NYRA, Del Mar, Keeneland,
Churchill Downs, Breeders' Cup, and 1/ST Racing.
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A commenter asked whether hindlimbs should be included in the
current requirement that digital
[[Page 24585]]
palpation be performed on forelimbs.\69\ The Racetrack Safety Committee
will consider this proposed requirement in future rulemaking. Nothing
in the proposed rule prohibits a Regulatory Veterinarian from palpating
hindlimbs.
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\69\ Tom Robbins.
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The current rule in paragraph (b)(3) requires that a report
summarizing the results of pre-race inspections shall be submitted to
the Authority on the day of the inspection. A commenter suggested that
the Responsible Person be provided a copy of the report immediately in
the event of a scratch by the Regulatory Veterinarian, so that all
parties are kept informed as to the horses' condition.\70\ The
Authority will consider this suggestion in future rulemaking.
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\70\ THA.
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A minor modification is made to the current rule which requires
that a Covered Horse be presented for inspection with bandages removed,
and with legs in clean and dry condition. The current rule specifies
that Covered Horses ``may not be placed in ice,'' to which the
modification adds the clarifying language that the horse may not be
placed in ice ``until the Regulatory Veterinarian has completed the
veterinary inspection.'' This clarification is made in response to
inquiries concerning the meaning of the rule. The rule makes clear that
the practice is permitted once the regulatory inspection is complete.
With regard to various reporting requirements in various portions
of the rule, a comment suggested that reporting be accomplished through
InCompass, for the sake of efficiency.\71\ Currently, the Authority is
encouraging Racetracks to provide the Authority with access to their
InCompass Equine Examination modules so that Regulatory Veterinarians
do not have to report to both the Authority and InCompass. Under
proposed Rule 2115(d), Racetracks will be required to authorize third-
party system providers to provide this type of information directly to
the Authority.
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\71\ This is a comment jointly submitted by NYRA, Del Mar,
Keeneland, Churchill Downs, Breeders' Cup, and 1/ST Racing.
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2143. Racehorse Monitoring
Rule 2143 provides the procedures by which necessary vaccinations
of Covered Horses are monitored. This is very important in the
prevention or mitigation of the transmission of infectious diseases,
which benefits the health and safety of Covered Horses. Paragraph (a)
of the rule is modified to specify that the paragraph applies to all
horses entering Racetrack grounds ``directly from any location or
facility other than a Designated Equine Facility or licensed racing
facility within the same state as the receiving Racetrack.'' (The new
proposed Rule 2144 establishes the concept of Designated Equine
Facilities and will be discussed further under Rule 2144 below). The
purpose of this exemption for Designated Equine Facilities and licensed
racing facilities within the same state as the receiving Racetrack is
to reduce the compliance burden on Responsible Persons and Attending
Veterinarians when horses are stabled at auxiliary training centers
where the risk of infectious disease transmission is deemed low.
The rule is also modified to require a ``current'' health
certificate; the modification is necessary to clarify questions as to
whether horses would be accepted from these facilities without any
health certificate at all.
The rule is modified at the suggestion of a commenter \72\ to
permit the acceptance of a current health certificate or, in the
alternative, ``other health documentation sufficient for importation to
the United States and approved by the [United States Department of
Agriculture-Animal and Plant Health Inspection Service (``USDA-
APHIS'')] representatives.'' This phrase is added because horses at
times arrive to race in the United States from foreign countries and
are under USDA-APHIS surveillance, which includes surveillance for
signs of infectious disease. This surveillance is documented and is
considered to sufficiently mitigate the risk of infectious disease
transmission.
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\72\ Breeders' Cup.
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Finally, the rule is modified to impose the requirements upon
``Pony Horses'' as well as Covered Horses, because Pony Horses often
travel with, are stabled next to, and work in close proximity to
Covered Horses. As such, transmission of infectious disease is
increased. Extending the requirement to Pony Horses will mitigate that
risk.
Concerning current Rule 2143(a)(1), which requires a certificate of
veterinary inspection (``CVI'') within the prior 5 days, or fewer days
if high risk situations dictate, a commenter opined that ``5-day health
certificates do not work in many situations; consider something
intrastate or go back to 30 days.'' \73\ In response, the Authority
notes that the Designated Equine Facility was a compromise created to
reduce the compliance burden of Rule 2143(a)(1) in those situations
deemed to be at lower risk for transmission of infectious disease while
still affording a reasonable level of protection to Racetracks and
stakeholders who have a shared financial interest in keeping the stable
area and racing program safeguarded from infectious disease outbreak.
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\73\ HBPA.
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Another commenter opined that there ``should be explicit language
allowing the racetrack to require in-state horses to provide a CVI in
the face of an outbreak.'' \74\ In response, the Authority replies that
there is nothing in the rule that would prohibit this, and notes that
the requirement was implemented by several Racetracks in 2023 during
periods of heightened infectious disease concern.
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\74\ 1/ST Racing.
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A commenter expressed frustration with the varying health
certificate rules in different jurisdictions.\75\ The Authority
understands the issue, but adopting, for example, a uniform flu-rhino
requirement would eliminate the ability of Racetracks and state
Departments of Agriculture to respond with shorter vaccination window
requirements in high-risk situations. These entities believe this
flexibility is needed to manage outbreaks of disease of economic
importance to protect the equine industry at large.
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\75\ Dr. Scott Hay.
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A new paragraph (b) is included in Rule 2143, which states as
follows: ``(b) The applicable Racetrack shall maintain records that
document that the requirements of Rule 2143(a) have been satisfied for
each Covered Horse entering racetrack grounds. Such records shall be
subject to inspection and audit by the Authority.'' This provision is
added in response to stakeholder requests for clarification about whose
responsibility it is to maintain these records beyond the time of entry
into the stable gate.
A commenter asked: ``Is the racetrack responsible for maintaining
records of all vaccinations or is the trainer themselves? Isn't the
trainer responsible for adding them to each individual horse record
through HISA?'' \76\ In response, the Authority notes that Rule 2143
does not relieve the Responsible Person from the duty to keep the
vaccines current in the horse's health record in the HISA portal. The
Racetrack, in turn, is responsible for maintaining records that
document that the horse's vaccination status was verified when the
horse entered the Racetrack grounds.
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\76\ Minnesota Racing Commission.
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A new paragraph (c) is added which states as follows:
[[Page 24586]]
(c) Exemption for vaccination requirements. Covered Horses that are
imported to the United States to participate in a specific race or
races or to enter race training in the United States may, upon
application to the Authority, be exempted from the vaccination
requirements, with the exception of requirements for Influenza and
Rhinopneumonitis, for the following periods:
(1) if the Covered Horse is leaving the United States immediately
following the specific race or races, then for the period of USDA
temporary importation or transit to an approved USDA location, or
(2) if the Covered Horse is remaining in the United States, then
for the period of 14 days following the specific race or races, or from
arrival at a Racetrack, whichever is longer.
The proposed provision governs the health certificate rules for
imported horses, with certain exemptions from vaccine requirements as
specified. This takes into account the fact that certain vaccines are
not available in some foreign nations, and a temporary exemption
process in the rule provides a mechanism by which imported horses enter
the U.S. Department of Agriculture quarantine facility; the rule
provides a window of time within which any vaccines that the horse
lacks can be administered once the horse arrives at the Racetrack. A
commenter noted: ``Just want to make sure that should such foreign
horses stay beyond 14 days if okay. Del Mar had a Japanese horse stay
beyond 14 days post Breeders' Cup that remained under USDA observation/
isolation before shipping to run In Hong Kong.'' \77\ In response, the
Authority notes that extensions may be granted by the Racetrack Safety
Committee on a case-by-case basis upon consideration of the
circumstances.
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\77\ Tom Robbins.
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Commenters opined that the vaccination exemption for imported
horses should not include EHV/EIV.\78\ The Authority agrees, and the
rule was changed accordingly. This is because Equine Influenza and
Equine Rhinopneumonitis are the two respiratory diseases of greatest
concern in racehorses.
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\78\ 1/ST Racing and a comment jointly submitted by NYRA, Del
Mar, Keeneland, Churchill Downs, Breeders' Cup, and 1/ST Racing.
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Paragraphs (b) and (c) of the current rule (now restyled as
paragraphs (d) and (e)), enumerate the items of information that must
be submitted to the Authority by the Racetrack with respect to each
Covered Horse on its grounds, and each Covered Horse leaving its
grounds. This rule is modified to state in each case that the
information must only be provided ``upon request by the Authority.''
This change is made to clarify that Racetracks are not required to
upload this detailed information on a daily basis to the Authority.
2144. Designated Equine Facility
A new proposed Rule 2144 will establish a procedure by which
Racetracks may seek to designate equine facilities as Designated Equine
Facilities under the rules. The reason for the adoption of this rule is
to balance the interest in safeguarding the equine population from
infectious disease outbreak with the compliance burden imposed by a
health certificate requirement.
The proposed rule states in full:
(a) To qualify an equine facility as a Designated Equine Facility,
the applicable Racetrack shall certify to the Authority in such form as
the Authority may prescribe that it has reviewed and determined that
the biosecurity protocols and procedures of the Designated Equine
Facility are consistent with the biosecurity protocols and procedures
of the Racetrack.
(b) The applicable Racetrack shall maintain records that document
that the requirements of Rule 2144(a) have been satisfied for each
Designated Equine Facility, including but not limited to the written
biosecurity protocols and procedures of the Designated Equine Facility.
Such records shall be subject to inspection and audit by the Authority.
In essence, the rule allows Racetracks to designate certain
facilities as exempt from specified health certificate requirements, on
the condition that the Racetrack certifies to the Authority that it has
confirmed that the biosecurity protocols at the facility are consistent
with those at the Racetrack.
A commenter maintained that if the Authority chooses ``to certify
Designated Training Facilities that are not owned by a racetrack, [the
Authority] should be responsible for certifying their biosecurity
protocols and oversight of compliance.'' \79\ The commenter further
asserted that ``[a]s an independent entity, the racetrack has no
authority over their operations or right of entry.'' \80\ In response,
the Authority notes that it will not be certifying Designated Equine
Facilities, though it will, as part of a Racetrack's Accreditation
process, review the records referenced in paragraph (b) of this rule.
The risk assessment and Designation determination is left to the
Racetrack, and Racetracks are free to require 5-day health certificates
(or lesser, in high-risk situations) for horses coming from any
property at any time. A commenter stated: ``Please note, not all
training facilities are affiliated with Covered Racetracks. Will HISA
be recognizing and allowing horses to run off of training facilities
that are not affiliated or designated by Covered Racetracks? Regardless
if the training facility is affiliated with a Racetrack or if it is
independent operation, there are certain safety precautions and
protocols that must be adhered to, similar to a Racetrack.
Additionally, the Authority should be reviewing and approving all
protocols and procedures of the training facilities, and not just those
pertaining to the biosecurity.'' \81\ In response, the Authority notes
that the Racetrack Safety Committee considered the risk assessment with
regard to nearby, intrastate facilities was best left to the Racetrack
operators whose familiarity with the local landscape and ability to
respond quickly to emerging diseases exceeds that of the Authority. The
alternative was to keep the original 5-day health certificate intact
for all horses coming from off-site, and the Racetrack Safety Committee
felt the creation of the Designated Equine Facility was a reasonable
compromise.
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\79\ This is a comment jointly submitted by NYRA, Del Mar,
Keeneland, Churchill Downs, Breeders' Cup, and 1/ST Racing. A
previous version of this proposed rule referred to the facilities
contemplated in this rule as ``Designated Training Facilities.''
\80\ Id.
\81\ The Jockeys' Guild.
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Another commenter stated: ``Designated Training Facilities should
be subject to their own accreditation process, tailored to that
particular circumstance. As the Racetrack Safety and Antidoping and
Medication Control Programs continue to develop, it is very likely that
owners and trainers will relocate their Covered Horses to such
facilities in order to avoid the increased protocols being observed on
Racetrack grounds. This calls for regulation of such facilities in
greater depth which will, in turn, bring with it increased levels of
safety and integrity protections while also providing further sources
of data and information for the Authority's programs.'' \82\ In
response, the Authority notes the intent of the comment, and does not
disagree in principle. However, the comment does not appear to be
directly relevant to the creation of a compromise proposed solution to
the requirement of a 5-day health certificate in certain situations.
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\82\ The Jockey Club.
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[[Page 24587]]
2150. Racetrack and Racing Surface Monitoring and Maintenance
2151. Data Collection, Recordkeeping and Submission
The Authority is proposing minor clarifying language to this rule.
2152. Testing Methods
The Authority is not proposing any modifications to this rule.
2153. Racetrack Facilities
Rule 2153 is modified with the addition of the following
requirement in paragraph (b)(2): ``The top of the inner and outer rails
on dirt and turf courses must be at least 40 inches but not more than
50 inches above the top of the race surface.''
Commenters expressed concerns about the reasonable allowances for
variations in rail height.\83\ The Authority believes that the 10-inch
span for compliance with the top inner and outer rails on dirt and turf
courses provides considerable latitude for variation. In response to a
comment concerning the sources of information concerning rail
height,\84\ the Authority states that it consulted extensively with
experienced racetrack superintendents in specifying the appropriate
dimensions.
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\83\ Comment jointly submitted by NYRA, Del Mar, Keeneland,
Churchill Downs, Breeders' Cup, and 1/ST Racing.
\84\ Mike Hopkins.
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A commenter expressed the view that more precise specifications
concerning metrics, measurement devices, and time and space intervals
should be prescribed in the rule.\85\ The Authority will be considering
all requirements in the course of its ongoing study and analysis of
Racetrack facility requirements and their relationship to equine and
rider safety.
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\85\ CHRB.
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A current provision under new paragraph (d)(2) requires protective
padding on starting gates; the modification adds Riders and Starting
Gate Persons to the persons whose safety is to be ensured. This
addition is made to ensure that the specific safety requirements of
these persons be considered when addressing padding requirements.
Commenters asked whether there should be a requirement for backup
starting gate batteries on Racetrack grounds.\86\ The Authority's rule
requires a functioning starting gate; track management is given the
latitude to determine how that shall be accomplished, whether by using
backup batteries or other functionalities.
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\86\ Comment jointly submitted by NYRA, Del Mar, Keeneland,
Churchill Downs, Breeders' Cup, and 1/ST Racing; Breeders Cup.
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A modification of the paragraph clarifies the requirement that the
Racetracks have in place a written plan for the removal of the starting
gate after the start of each Race in a safe and timely manner. The
modification will also require the plan to be reviewed annually. This
further enhances the safety of starting gate operation and procedures.
An important new modification now states: ``(8) A Racetrack shall
ensure there is at least 1 Starting Gate Person present for each
Covered Horse starting in a Covered Horserace.'' Although some
commenters expressed concern about complying with the requirement,\87\
the requirement is a vital component of ensuring the safety of all
persons working at the starting gate.\88\
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\87\ Comment jointly submitted by NYRA, Del Mar, Keeneland,
Churchill Downs, Breeders' Cup, and 1/ST Racing; Mike Hopkins.
\88\ This new language was suggested by the Jockeys' Guild.
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A new rule is added stating as follows: (f) The Racetrack shall
provide a suitable area for jogging claimed horses in or near the Test
Barn or, if approved by the Authority, a secured area used for claimed
horse exams. The jogging area shall be of sufficient length to jog the
claimed horse in hand in a straight line of not fewer than 5 strides
and have consistent, firm, and level footing, and shall be out of the
view of persons not authorized in the Test Barn or secured area. The
purpose of the rule is to provide adequate space for the jogging of
claimed horses. The ``out-of-view requirement'' is a component of
maintaining the integrity of the examination.
A commenter expressed the view that the emergency warning system
should be more specifically defined in Rule 2153(d)(1) of the current
rule (now restyled as paragraph (e)(1)).\89\ The Authority requires an
emergency warning system to be in place, but the rule properly allows
Racetracks the discretion to conform to the rule requirements as local
track conditions dictate.
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\89\ The Jockeys' Guild.
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2154. Racetrack Surface Monitoring
In addition to minor terminological changes, the language in Rule
2154(b) is modified to more clearly state that Racetracks shall perform
pre-meet inspections on surfaces; the current language does not specify
the person or entity charged with performing the inspections.
Rule 2154(d) is modified to explicitly state that the surface
equipment inventory, surface maintenance logs, and surface material
addition or renovation logs specified in the current rule are to be
documented daily and uploaded weekly by the Racetrack to an electronic
database designated by the Authority; the current language does not
make clear to whom the information is submitted, and the rule will now
establish the timing of the documentation and upload requirements,
rather than leaving this unspecified.
At the suggestion of commenters,\90\ the words ``and speed'' are
added to the specified contents of the daily surface maintenance logs
addressed in Rule 2154(d)(1). Additionally, the words ``material
specifications'' are added to the documentation requirements concerning
additions to surfaces set forth in Rule 2154(d)(2). These are minor
modifications intended to ensure that all important informational items
are included within the requirements of these rules.
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\90\ Dan Fick and ROAP.
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2160. Emergency Preparedness
2161. Emergency Drills
Rule 2161 governing emergency drills is modified to require
emergency protocols to be reviewed periodically during each Race Meet,
in addition to prior to the Race Meet as required under the current
rule. Modifications also add Starting Gate Person injury and medical
emergencies to the list of emergencies to be included in the protocols,
and the term ``Jockey'' is deleted in favor of the term ``Rider'' in
two provisions, widening the ambit of the injury scenarios that must be
anticipated and included in the protocols. These modifications will
benefit Covered Horses and Riders by enhancing a Racetrack's response
to the emergencies specified in the rule.
2162. Catastrophic Injury
Rule 2162 concerning Catastrophic Injury is modified with minor
changes in terminology. A modification deletes a provision that
currently requires communication to the public to be a component of the
protocols required in the rule. The need for communication is difficult
to specify when Racetracks are responding to an emergency, and may have
little information to provide until the situation is assessed.
2163. Fire Safety
This rule is unchanged.
2164. Hazardous Weather
Rule 2164 is modified to include a new provision requiring
Racetracks to
[[Page 24588]]
comply with State Racing Commission rules governing the delay or
cancellation of races due to inclement weather, extreme heat, extreme
cold, lightning or other hazardous racing conditions. In the absence of
state rules, Racetracks are required, in conjunction with the
Racetrack's Stewards, Jockeys, and Horsemen, to develop Racetrack-
specific protocols for the delay or cancellation of races due to
inclement weather, extreme heat, extreme cold, lightning or other
hazardous racing conditions. The terms ``extreme heat'' and ``extreme
cold'' were added at the suggestion of a commenter to the list of
environmental conditions that must be addressed in the hazardous
weather protocols that are developed under the rule.\91\ The terms
cover extremes of weather that are prevalent at some Racetracks. In
addition, new provisions are added to provide a structured method by
which Air Quality Index may lead to a cessation of racing. Air quality
is an important consideration in preserving the health and safety of
Covered Horses and Riders. The Authority will consider in future
rulemaking suggested provisions provided by a commenter concerning
lightning protocols.\92\
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\91\ ROCO.
\92\ The Jockeys' Guild.
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2165. Infectious Disease Management
Rule 2165 is largely unchanged, except for the modification of the
word ``symptoms'' to ``signs'' in paragraph (b). A particular condition
of a Covered Horse may be difficult initially to identify as symptom of
a particular infectious disease. ``Signs'' refers only to an observed
physical condition or behavior. The Authority is also proposing a
modification to paragraph (d) to expand the reporting requirements in
the event of a disease outbreak at the Racetrack. The proposed
modification will now require reporting to the Authority in addition to
the applicable state official.
2166. Human Ambulance Support
The Authority proposes several modifications to its human ambulance
rule. These modifications were the subject of considerable debate and
discussion, and this revised rule has undergone numerous iterations in
response to important and thoughtful comments submitted by industry
stakeholders over the last few months. All of the proposed changes are
intended to improve the efficiency and speed of the medical response to
an on-track riding incident, which, in turn, improves the health and
safety of all racing participants, including Covered Persons and
Covered Horses.
A new proposed rule is added as paragraph (a), which will require
Racetracks to ensure that no fewer than 2 properly staffed and equipped
Advanced Life Support (``ALS'') ambulances or ALS adapted vehicles are
present at the Racetrack during training and racing hours. This is in
accord with a comment submitted by the Jockeys' Guild. ALS ambulances
are staffed by a minimum of 1 paramedic and 1 emergency medical
technician, who are trained in a variety of first aid and resuscitation
techniques. The Authority recognizes the economic burden this
requirement may place on Racetracks, and in response to these concerns
has added a provision allowing the Racetrack Safety Committee to permit
a Racetrack to have 1 ALS ambulance or ALS adapted vehicle present
during racing and training hours. The Racetrack Safety Committee will
scrutinize any such request very carefully, and always with the safety
of Riders and Covered Horses firmly in mind.
Paragraph (c) requires Racetracks that operate a training track in
addition to a main track to provide at least 1 of the following medical
response vehicles dedicated to the training track during training
hours: 1 ALS ambulance, ALS adapted vehicle, Basic Life Support
(``BLS'') ambulance or BLS adapted vehicle. Requiring a medical
response unit to be present on the training track is necessary to
effectively and swiftly respond to medical events and incidents that
take place at the training track. The Authority again recognizes the
economic burden this may place on Racetracks, and in response to these
concerns has provided tracks with some flexibility as to the type of
ambulance or adapted vehicle present at the track.
Paragraphs (e), (f), and (g) require the tracks to develop and
implement (1) a training program for all ambulance staff to ensure they
are familiar with and adequately trained on the unique safety and
incident response issues present in horseracing; (2) protocols for
incidents involving injuries to more than one Covered Person during the
same race; and (3) an incentive program to retain skilled and certified
ambulance staff experienced in the medical response issues present in
horseracing. The Authority believes these measures are critical to
ensure on-site medical staff are properly trained and experienced in
the unique safety and incident response issues associated with
horseracing. Commenters noted that mandating creation of an incentive
program for retaining personnel is an overreach into the business
operations of the Racetrack.\93\ The Authority appreciates this comment
and recognizes that incentive programs can take many forms. Thus, the
Authority has intentionally left it to the tracks to identify the
type(s) and details of the incentive program that will be most
effective for that track.
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\93\ Comment jointly submitted by NYRA, Del Mar, Keeneland,
Churchill Downs, Breeders' Cup, and 1/ST Racing.
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Finally, paragraph (h) imposes a requirement on tracks to have an
ALS ambulance or ALS adapted vehicle to follow the field at a safe
distance during the running of races. The Authority received comments
expressing concern over mandating the use of a chase vehicle without
accounting for poor weather conditions or narrow Racetrack.\94\ The
Authority appreciates and agrees with these commenters and has modified
the rule to clarify the steps the track should take in the event
Racetrack surface conditions prevent the ALS ambulance or ALS adapted
vehicle from safely following the racing field.
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\94\ Mike Hopkins, Tracks.
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2167. Rider Injury Reporting Procedure
Rule 2167 is modified to change the title of the rule from
``Accident Reporting System'' to ``Rider Injury Reporting Procedure''
as this better identifies the subjects addressed in this rule.
The rule is also modified to specify that State Racing Commissions
that enter into an agreement with the Authority shall develop the
procedures outlined in the rule, rather than the Racetracks. The term
``Rider'' will replace ``Jockey and exercise rider,'' and the
modification specifies that data collected under the rule shall be
submitted to the Racetrack Risk Management Committee, in addition to
the Authority. This change ensures that the Racetrack Risk Management
Committee is provided with Rider injury data, a critical element in the
Committee's endeavor to ensure the safety of Riders and Covered Horses.
A final change is the inclusion of ``safety equipment used'' in the
listing of data elements to be collected.
The Jockeys' Guild asked several important questions concerning how
the data will be collected and stored. In any Rider injury situation,
the first responders and racetrack safety personnel will have available
data and information that is submitted by the Jockey to the Authority's
electronic platform designated for collection and storage of Jockey
eligibility documentation. This system is designed for use at the scene
of the injury for
[[Page 24589]]
entry of data concerning the Jockey and the circumstances of the
injury. The system will provide an accident report form into which
injury information will be entered in detail. The Jockey's records will
be stored in a database maintained by the electronic platform
referenced above. It will also be available to the Authority for use in
further analysis of issues pertaining to Jockeys and Covered Horses.
The Jockeys' Guild asked if the information may be shared with the
Guild. The Authority is willing to provide the information, provided
the transfer is authorized by the Jockey and in compliance with all
applicable laws.
2168. Equine Ambulance
Several modifications are proposed for this rule to establish
specified performance and equipment requirements. The requirements
specify that the ambulance must be able to operate in all weather
conditions, that it is properly equipped to stabilize distal limb
injuries, and that it is capable of removing a recumbent horse from the
racetrack and safely transporting the horse off of association grounds.
These requirements will enhance the safety of Covered Horses by
ensuring that the ambulance is properly equipped to respond effectively
to any equine injury.
2169. Paddock Safety
Rule 2169 is amended to specify that when State Racing Commissions,
rather than racetracks, enter into an agreement with the Authority, the
State Racing Commissions shall ensure that the protocols outlined in
the rule are in place. This provides greater flexibility to the rule,
and allows State Racing Commissions that agree to do so to perform the
duties in Rule 2169.
2170. Necropsies
Rule 2170 is modified significantly. The current rule states that
``field necropsies are strongly discouraged.'' (In the racing industry,
``field necropsies'' means necropsies performed at the Racetrack.)
Field necropsies are extremely rare today and are not favored. The
modified rule specifies that necropsies shall be performed at a
laboratory. The rule mandates necropsies to be performed on all Covered
Horses that die or are euthanized on Racetrack grounds. In addition,
the rule is extended to include all horses that die or are euthanized
due to, or related to, a musculoskeletal injury within 72 hours of
leaving Racetrack grounds. The rule specifies musculoskeletal injuries
because these injuries are usually sustained as a result of high-speed
training and racing. If the horse leaves the Racetrack after sustaining
the injuries, a necropsy must be performed if the horse dies or is
euthanized within 72 hours. The 72-hour benchmark is an industry
standard; for example, the existing Equine Injury Database by InCompass
operates according to a 72-hour reporting criteria for many types of
injuries. The 72-hour reporting requirement does not apply to other
types of injuries. If, for example, a horse leaves a Racetrack and dies
or is euthanized soon afterward due to colic (which has nothing to do
with racing and might as easily develop on a farm), a necropsy is
required only if the horse dies or is euthanized on Racetrack grounds.
Several Racetracks encouraged the Authority to include the
musculoskeletal injuries 72-hour specification, and the Authority
agrees.\95\
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\95\ This is a comment jointly submitted by NYRA, Del Mar,
Keeneland, Churchill Downs, Breeders' Cup, and 1/ST Racing.
---------------------------------------------------------------------------
The modified rule requires Racetracks to establish standard
operating procedures that specify various elements of necropsy
procedure, including contact and coordination between persons and
organizations necessary to perform the necropsy, transportation
options, secure storage procedures, sound infection control practices,
and procedures for reporting necropsy findings.
The modified rule requires Racetracks, or State Racing Commissions
that have an agreement with the Authority, to coordinate with a
diagnostic laboratory that performs necropsies. A contract is not
required because, as noted by several Racetrack commenters, ``it is
difficult to require a contract between a state laboratory and the
racetrack. Simply, the diagnostic laboratory chosen for a particular
necropsy is often based upon volume of horses that can be examined.
Some facilities are very limited in the number of horses they can take
at one time. This often necessitates sending other horses to another
facility. Mandating a contract decreases flexibility in these instances
and will lead to an increase in field necropsies which are less
effective.'' \96\ The requirement in the rule to coordinate with a
diagnostic laboratory that performs necropsies means that arrangements
concerning means of communication, transportation, and intake
procedures must be established. In some states, laboratories may lack
the resources necessary to conduct musculoskeletal injury examinations;
in this case, the rule authorizes Racetracks and/or diagnostic
laboratories to contract with a laboratory that specializes in
musculoskeletal injury racehorse examinations. The rule requires
initial necropsy findings and subsequent reports to be filed with the
Regulatory Veterinarian, the Racetrack Risk Management Committee, and
the Authority within 72 hours of receipt.
---------------------------------------------------------------------------
\96\ Id.
---------------------------------------------------------------------------
The modified rule imposes the cost of necropsies upon ``those
persons who are responsible for necropsy costs pursuant to existing
state rules. In jurisdictions that do not provide for necropsy costs or
address the responsibility for payment, the Racetrack shall be
responsible for payment.'' Some commenters expressed that Racetracks
should not have to bear some or any of the costs of necropsies.\97\
Nationwide, Racetracks do bear much of the cost, though states have
varying rules and agreements by which the Racetracks, state racing
commissions, and horsemen's groups share the cost together. While the
Racetracks do bear the cost in the absence of state rules or
agreements, nothing in the rule inhibits Racetracks from entering into
such agreements.
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\97\ ROCO, Joe Wilson.
---------------------------------------------------------------------------
Necropsies are a vital source of information in the effort to
prevent equine fatalities. The information obtained from
musculoskeletal injury examinations can help determine the cause of
breakdowns and injuries, and can lead to the discovery or enhancement
of preventive measures. The necropsy rule as modified will ensure that
necropsies are performed effectively and efficiently, and will thereby
benefit Covered Horses.
2180. Safety Training and Continuing Education
2181. Uniform National Trainers Test
This rule is unchanged, except for the capitalization of the word
``State'' and additional language clarifying that Trainers shall be
knowledgeable of the rules set out in the Racetrack Safety Rule and the
Anti-Doping and Medication Control Program.
2182. Continuing Education
Several modifications are proposed for Rule 2182 which establishes
continuing education (``CE'') requirements. The rule is modified to
make clear that Jockeys and Exercise Riders are required to complete at
least 2 hours of safety and rider protocols on an annual basis.
Paragraph (4) concerning CE for Stewards is modified to refer generally
to continuing education programs that might be approved by the
Authority, rather than
[[Page 24590]]
to the specialized ROAP. ROAP is approved by the Authority and provides
high quality CE programs; the modification will allow the Authority to
identify other useful CE programs as well.\98\
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\98\ ROAP suggested the continued use of the term ``ROAP,'' but
the Authority believes the better course is to avoid identifying a
particular program by name, since a number of programs may
ultimately be identified.
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New requirements are added for Safety Directors and for the
Farriers and Horseshoe Inspectors who will have roles and
responsibilities under new Rules 2137, 2138, and 2139, which together
create a structured procedure for horseshoe inspections. Minor changes
include the modification to refer to the new proposed defined term
``Starting Gate Persons,'' rather than starters and assistant starters.
Several commenters asked who will provide the CE and monitor
compliance, sanction non-compliance, and set the curriculum.\99\ The
Authority is developing a CE program that will be a component of the
registration portal and will be made available to Covered Persons
participating in states where the State Racing Commission has not
entered into an agreement with the Authority to implement the provision
of Rule 2182. It will allow the entry and monitoring of CE credit hours
for the convenience and benefit of all Covered Persons required to
complete CE hours.
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\99\ ROCO, HPBA, Washington Horse Racing Commission.
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A state racing commission asked if it would be required to provide
CE, rather than identify existing training opportunities.\100\ The
current rule and modified proposed rule both require a State Racing
Commission that has an agreement with the Authority to ``identify
existing, or provide locally, training opportunities.'' The State
Racing Commission may fully comply with the rule by identifying CE
rather than providing it.
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\100\ Kentucky Horse Racing Commission.
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2183. Sexual Harassment Prevention
Rule 2183 is a new provision requiring Covered Racetracks to
implement and enforce a sexual harassment and non-discrimination policy
that offers protection to Covered Persons by prohibiting discriminatory
behavior at its facilities. The Authority proposes this new rule in
response to reports it received from racing participants pertaining to
sexual harassment and discrimination at the Racetrack or in a racing
workplace. The reports focused primarily on the absence of an
established reporting process for harassing and discriminatory
behavior, and other comments touched on a lack of confidence in the
reporting system (if any). The Authority aims to address, at least in
part, some of these issues by requiring each Racetrack to develop and
implement and enforce a sexual harassment and non-discrimination policy
that offers protection to Covered Persons by prohibiting discriminatory
behavior at its facilities. At a minimum, the policy must define and
prohibit sexual harassment and discrimination against Covered Persons
within the applicable legal protected classifications and provide an
effective process for reporting and investigation of prohibited sexual
harassment and discrimination. The policy must also memorialize the
Racetrack's authority to impose discipline on any individual found to
be in violation of the policy, including but not limited to exclusion
from the Racetrack (and all related Racetrack grounds and facilities)
and any racing activities.
Several commenters expressed the view that this rule exceeds the
scope of the Authority's jurisdiction under the Act.\101\ The Authority
disagrees. Part of the Authority's statutory mandate is to exercise
independent and national authority over the safety, welfare, and
integrity of Covered Persons. This rule is consistent with that
mandate.
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\101\ See, e.g., comment jointly submitted by NYRA, Del Mar,
Keeneland, Churchill Downs, Breeders' Cup, and 1/ST Racing; comment
submitted by Mike Hopkins.
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In further support of this Rule, the Authority refers the Federal
Trade Commission to a report recently commissioned by controlling
bodies of racing in Australia (Racing Victoria Limited, Harness Racing
Victoria, and Greyhound Racing Victoria), which demonstrates that
harassment and discrimination are widespread in the racing industry and
underscores the need for well-defined channels for reporting sexual
harassment and discrimination in the racing workplace.\102\
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\102\ See Racing Integrity Commissioner, Independent Review into
Victorian Racing Industry Victim Support and Complaint Processes
(Aug. 31, 2023), available at https://racingintegrity.vic.gov.au/__data/assets/pdf_file/0026/201869/Independent-Review.pdf.
---------------------------------------------------------------------------
2190. Jockey and Starting Gate Person Health
2191. Drug and Alcohol Testing
Currently, Rule 2191 requires State Racing Commissions electing to
enter into an agreement with the Authority to develop and implement a
testing program for drugs and alcohol for Jockeys. The rule is modified
to add Starting Gate Persons to the testing program. Starting Gate
Persons perform a vital role in handling horses and loading them into
the starting gate. Ensuring that Starting Gate Persons are not impaired
is important for their safety and the safety of Jockeys and Covered
Horses. The Jockeys' Guild urged that the program be required for
additional categories of racing officials.\103\ The Authority agrees
that this is an important proposal to consider in future rulemaking. At
present, the most immediate need is to ensure that both Jockeys and
Starting Gate Persons are subject to drug and alcohol testing, and that
will be accomplished under the terms of the proposed rule modification.
---------------------------------------------------------------------------
\103\ The Jockeys' Guild.
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2192. Concussion Management
A minor modification is proposed for Rule 2192, Concussion
Management. Paragraph (a)(1) is amended to make clear that the
requirement that Jockeys must acknowledge in writing that they have
been made aware of the Concussion protocols is an annual requirement,
rather than a requirement to review the protocols ``in place for the
facility at which they are riding;'' the quoted phrase will be deleted
in the modification.
The Jockeys' Guild stressed the importance of developing a unified
national concussion management protocol with return to ride guidelines
established by medical experts in concussions. The Jockeys' Guild
emphasized that the return to ride protocol should operate to clear a
Jockey to return to riding for all Jockey injuries, and not just
concussions. The Authority's return to ride protocol does embrace all
Jockey injuries. The Authority recognizes the vital importance of these
components of racing safety. The Authority has developed a national
concussion management protocol, as well as a return to ride protocol in
collaboration with the third-party medical records storage organization
with which the Authority has partnered. Both protocols are currently
being implemented nationwide.
2193. Insurance
Rule 2193 requires Racetracks, in states that do not afford Jockeys
workers compensation insurance, to maintain primary accidental medical
expense coverage for all Jockeys. The rule is modified to clarify that
the insurance covers training as well as racing. In addition, the
modified rule will require that the current policy's declaration page
shall be posted in the Jockeys'
[[Page 24591]]
quarters prior to the beginning of the racing season.
Medical insurance is a vital component of ensuring the well-being
of Jockeys, and the extension of medical insurance to training
activities is a natural and beneficial extension of insurance coverage.
The majority of Racetracks across the United States already provide
this coverage, but the rule makes it an explicit and uniform
requirement. The requirement that the declaration page be posted in the
Jockey's quarters allows Jockeys to review the coverage, and to obtain
the name of the insurance company involved in case a Jockey wishes to
inquire further about coverage.
2200. Specific Rules and Requirements of the Racetrack Safety Program
2210. Purpose and Scope
The Authority proposes minor stylistic modifications to this rule
along with elimination of the preemption language referenced in
paragraph (c) as it is a general statement of law that need not be
included in this rule.
2215. Welfare and Deprivation of Care
The Authority proposes this new rule to establish a prohibition on
abusive practices, neglect and mistreatment of Covered Horses that is
not otherwise covered by the rules and to incorporate existing industry
principles and standards codified in the National Thoroughbred Racing
Association Safety and Integrity Alliance Code of Standards and the
Association of Racing Commissioners International Model Rules.
Commenters requested that the Authority describe with particularity
the types of conduct prohibited under this rule.\104\ Abuse, neglect or
mistreatment of a Covered Horse, however, may take many forms and is
not easily capable of definition. Thus, the Authority believes that
this rule, like the Code of Standards and the ARCI Model Rules, should
remain open-ended to provide flexibility in its application to varied
circumstances that could constitute abuse, neglect or mistreatment of a
Covered Horse.
---------------------------------------------------------------------------
\104\ Dr. Jeff Blea and the CHRB.
---------------------------------------------------------------------------
2220. Attending Veterinarian
The Authority proposes new language to Rule 2220(a) to specify that
an Attending Veterinarian must be licensed by a ``State's board of
veterinary examiners (or applicable veterinary licensing board),'' in
addition to the current requirement of licensure by the State Racing
Commission in the jurisdiction in which the Attending Veterinarian is
attending to Covered Horses.\105\
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\105\ The additional language was suggested by the HBPA.
---------------------------------------------------------------------------
Several commenters noted that treatment should not be limited to
Attending Veterinarians, as Association Veterinarians often provide
emergency care as well as supportive care for Covered Horses that are
injured.\106\ The Authority agrees and has proposed new introductory
language to Rule 2220(a), authorizing Regulatory Veterinarians and Lead
Veterinarians (which are appointed by the Authority and may include
Association Veterinarians) to administer emergency treatment to Covered
Horses on Racetrack grounds when the Attending Veterinarian is not
present.\107\ This exception is necessary to protect the safety and
welfare of Covered Horses in emergency situations.
---------------------------------------------------------------------------
\106\ This is a comment jointly submitted by NYRA, Del Mar,
Keeneland, Churchill Downs, Breeders' Cup, and 1/ST Racing.
\107\ The new introductory language in Rule 2220(a) provides,
``[s]ubject to Rule 2230(d), only Attending Veterinarians . . . may
attend to Covered Horses at any location under the jurisdiction of
the State Racing Commission.'' (emphasis added). Rule 2230(d)
authorizes the Regulatory Veterinarian to administer emergency
treatment to horses on Racetrack grounds when the Attending
Veterinarian is not present. Rule 2134(c) provides that the ``Lead
Veterinarian(s) shall perform all of the duties, obligations and
responsibilities of the Regulatory Veterinarian(s) as specified in
these Rules.'' Thus, this exception permits the Regulatory
Veterinarian(s) and Lead Veterinarian(s) to attend to Covered Horses
in emergency situations.
---------------------------------------------------------------------------
2221. Treatments by Attending Veterinarian
In addition to minor modifications to include the words
``Responsible Person'' and ``Covered Horse,'' the word ``drug'' is
replaced by ``Controlled Medication'' in the rule's prohibition against
prescribing, dispensing, or administering a Controlled Medication
except in the context of a valid Veterinarian-client patient
relationship. The term ``Controlled Medication'' is preferred to avoid
confusion, to clarify what is being referenced in this rule, and to
correspond to the term as used and defined in the Anti-Doping and
Medication Control Program Rules.
2230. Treatment Restrictions
Paragraph (a) of the rule is modified to remove the qualifier ``at
locations under the jurisdiction of the State Racing Commission'' from
the provision that now states in pertinent part that only Responsible
Persons ``or their designees shall be permitted to authorize veterinary
medical treatment of Covered Horses under their care, custody, and
control.'' The language is deleted as improperly restrictive; the
restriction concerning the authorization of veterinary medical
treatment exists regardless of where the Covered Horse is located. This
further promotes the welfare of Covered Horses.
Paragraph (b) restricts to Veterinarians the power to prescribe
medication with instructions for administration by a Responsible Person
for a Covered Horse. Paragraph (b) is modified to make clear that a
Veterinarian must be licensed to practice veterinary medicine in the
applicable state only if such licensure is required in the State.
Veterinarians often travel from state to state, and should not be
required to be licensed to practice veterinary medicine in a particular
state if that state does not require such licensure. In addition,
paragraph (b) is modified to delete the requirement that the
Veterinarian be licensed by the State Racing Commission; instead, the
rule now explicitly requires that the Veterinarian be registered with
the Authority.
Paragraph (c) generally prohibits contact by an Attending
Veterinarian with a Covered Horse within the 24 hours before post-time
of race in which the Covered Horse is scheduled to compete. The current
rule permits an exception to this restriction in ``an emergency.'' This
phrase is replaced by more precise language that permitting contact if
``such contact is necessitated by an imminent risk to equine welfare,
health, or safety.'' The rule is also modified to require that any
contact with the Covered Horse within the specified 24 hours be
reported to the Regulatory Veterinarian. This reporting requirement is
necessary to prompt intervention by the Regulatory Veterinarian to
determine whether a Covered Horse should be scratched from the race.
The introductory clause ``notwithstanding Rule 2220(a)'' is added
to paragraph (d). This clause clarifies that paragraph (d), which
permits the Regulatory Veterinarian (and, by extension, the Lead
Veterinarian) to administer emergency treatment to Covered Horses on
Racetrack grounds when the Attending Veterinarian is not present, is an
exception to Rule 2220(a), which states that only Attending
Veterinarians may attend to Covered Horses at locations under the
jurisdiction of the State Racing Commission. Paragraph (g), governing
the ability of persons with medical conditions to possess a syringe at
locations under the jurisdiction of the State Racing Commission, is
modified to require that any request for permission to possess a
syringe must be in writing, and to clarify that the person making the
request must submit a letter from a physician to the Stewards or the
State
[[Page 24592]]
Racing Commission in connection with the request. This modification is
necessary to clarify the process for submitting requests to possess a
syringe on Racetrack grounds.
2240. Veterinarians' List
This rule establishes the Veterinarians' List, which is a list of
Covered Horses that have compromised health or unsoundness and
prohibits these Covered Horses from racing. Rules 2240 through 2242
outline the process by which Covered Horses are determined to have
recovered from their illness or unsoundness and may return to racing.
Covered Horses that participate in a race while medically or physically
compromised are at risk for exacerbating the illness or physical
injury, and in some cases having a career ending or catastrophic
injury, also risking severe injury to the Jockey. The rule prevents
affected Covered Horses from racing until the Covered Horses have
recovered from their illness or injury. The rule is designed to protect
Covered Horses from worsening an existing condition, and allow for
recovery, rehabilitation, and return to racing in a healthy state. The
rule is intended to protect Jockeys from injury associated with a fall
from a Covered Horse due to the Covered Horse incurring a severe injury
during a race and falling at high speed. Racetracks will benefit from
the prevention of horse fatalities during races. Racetracks and Racing
Commissions will benefit because the Veterinarians' List will be shared
among all racing jurisdictions so that Covered Horses put on the list
at one jurisdiction will be identifiable when the Covered Horse moves
to another jurisdiction.
The Authority proposes several modifications to this rule.
Paragraph (b) is modified to state with more precision, and in specific
respects to alter, the current rule governing those Covered Horses
required to be placed on the Veterinarians' List. The modification
deletes the phrase ``positive test or overage, administration of a
medication invoking a mandatory stand down time,'' and the phrase
``positive Out of Competition Test.'' The Authority proposes deletion
of these phrases as no longer necessary with the implementation of the
ADMC Program. Covered Horses with a positive test may be subject to
periods of ineligibility under the ADMC Program, which, like the
Veterinarians' List, prevents the Covered Horse from racing while in a
compromised state.
The current language setting out the triggering conditions or
events that require placement on the Veterinarians' List is re-written
to distinguish placement on the Veterinarians' List by the Regulatory
Veterinarian from placement on the Veterinarians' List by the
Authority. Generally speaking, the Regulatory Veterinarian regulates
and monitors the physical condition of Covered Horses at the Racetrack,
and may place Covered Horses on the Veterinarians' List for physical
conditions such as unsoundness, injury, Epistaxis, and other conditions
listed in the rule. In the new language, three conditions in particular
(unsoundness, injury, Epistaxis) prohibit Covered Horses from
participating in a Workout for 7 days. This is an added safety measure
for the Covered Horse.
The Authority is permitted to place Covered Horses on the
Veterinarians' List for any of the grounds specified in Rule
2240(b)(3)(i) through (vii). These grounds correspond to treatments or
racing status that the Authority has the ability to monitor through
required reporting to the Authority by Responsible Persons and
Attending Veterinarians and include:
(i) Covered Horses which have not started in more than 365 days;
(ii) unraced Covered Horses which have not made a start prior to
January 1 of their 4-year-old year;
(iii) Covered Horses which have been administered Shock Wave
Therapy;
(iv) Covered Horses which have been administered an intra-articular
injection;
(v) Covered Horses which have been administered clenbuterol;
(vi) Covered Horses designated by the Agency; and
(vii) Covered Horses currently on a Veterinarian's List in any
state, if trying to enter in a Covered Horserace.
Several of these categories are added to this rule to harmonize
with the ADMC Rules and to ensure that all reasons for placement on the
Veterinarians' List are included in a single location for easy
reference by stakeholders. Category (vii) is included to account for
Covered Horses that race in Covered Horseraces and non-Covered
Horseraces over the course of their career. This ensures that any
Covered Horse placed on any Veterinarians' List--regardless of
jurisdiction--is accurately captured by the Authority's Veterinarians'
List.
Rule 2240(c) is modified to use the phrases ``Responsible Person''
and ``Designated Owner'' in place of the words ``trainers and owners.''
The essential requirement of the rule remains the same: the Responsible
Person and Designated Owner are required to be notified within 24 hours
that their Covered Horse has been placed on the Veterinarians' List.
The Authority received several comments pertaining to this 24-hour
notification requirement, asking who is responsible for sending the
notification as well as the method for notifying the Responsible Person
and Designated Owner.\108\ Under current practice, notifications are
being delivered through the Authority's portal to the Responsible
Person and the Designated Owner (their contact information is on file
with the Authority) when the Covered Horse is placed on the
Veterinarians' List for a category that requires the Covered Horse to
complete a workout for removal from the Veterinarians' List, such as
Epistaxis, unsoundness, no starts within the last 365 days, and no
start prior to January 1 of the Covered Horse's 4-year-old year. The
Authority is currently developing a system to notify the Responsible
Person and Designated Owner when the Covered Horse is placed on the
Veterinarians' List for all other reasons. The Authority anticipates
this notification system will be live when these rules take effect.
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\108\ Graham Motion, Tom Robbins, Breeders' Cup, ROCO, Dr. Lynn
Hovda, and a comment submitted jointly by submitted by NYRA, Del
Mar, Keeneland, Churchill Downs, Breeders' Cup, and 1/ST Racing.
---------------------------------------------------------------------------
2241. Duration of Stay on the Veterinarians' List
Rule 2241 specifies the duration of periods for which Covered
Horses must remain on the Veterinarians' List. The provisions
concerning multiple placements on the Veterinarians' List for
unsoundness and Epistaxis remain essentially the same--multiple
placements on the Veterinarians' List within a 365-day period could
subject the Covered Horse to an extended period of time on the
Veterinarians' List. This rule is designed to identify Covered Horses
that may be at an increased risk of injury and mandate additional
recovery time.
Physical distress, medical compromise, injury, infirmity, and heat
exhaustion are added to illness in paragraph (a)(5) as conditions
requiring a Covered Horse to remain on the Veterinarians' List for 7
days. These additions are intended to correct an oversight in the
original safety rules which did not provide a duration of stay for
these conditions. The 7-day period on the Veterinarians' List is
consistent with standard industry practice. The phrase ``a minimum'' is
also added to this paragraph to provide discretion to the Regulatory
Veterinarian to extend the duration on the Veterinarians' List.
[[Page 24593]]
The Authority received a comment in response to paragraph (a)(6),
questioning whether a Covered Horse is permitted to participate in
training activities while on the Veterinarians' List following Shock
Wave Therapy treatment.\109\ The Authority supplemented the language in
this rule to clarify that Covered Horses treated with Shock Wave
Therapy are prohibited from participating in a Workout for 14 days.
This permits the Covered Horse to continue light training while
undergoing Shock Wave Therapy treatment, which was a request submitted
by various industry participants.\110\
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\109\ Tom Robbins.
\110\ See, e.g., Dr. Scott Hay.
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Language is added to paragraph (a)(7) to incorporate the provisions
in Rule 4222 of the Anti-Doping and Medication Control Program
regarding the standdown times following administration of an intra-
articular injection to a Covered Horse. The Authority believes the use
and regulation of intra-articular injections is a safety issue that is
best addressed in the Rule 2000 Series. This paragraph (a)(7) requires
Covered Horses administered any intra-articular injection to be placed
on the Veterinarians' List for 14 days and further prohibits the
Covered Horses from participating in a Workout for 7 days. However,
consistent with Rule 2271(a)(12), if the Covered Horse is administered
a corticosteroid intra-articular injection in the fetlock joint, the
duration on the Veterinarians' List is extended to 30 days.
The Authority received a question asking whether a Covered Horse
may apply to perform a Workout 7 days into the 14-day period on the
Veterinarians' List following administration of an intra-articular
injection.\111\ As noted above, this rule has been modified to clarify
that, with the exception of corticosteroid intra-articular injections
in the fetlock joint, a Covered Horse may participate in a Workout and
resume training activities 7 days after being placed on the
Veterinarians' List.
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\111\ Breeders' Cup.
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2242. Removal of Covered Horses From the Veterinarians' List
Rule 2242 sets forth the criteria for removal of a Covered Horse
from the Veterinarians' List. Under the current rule, a process is
established by which the Trainer and the Attending Veterinarian, after
observing the horse jog, may submit a co-signed statement that the
Covered Horse is fit to perform a Workout. New language will address
diagnostics required by the Regulatory Veterinarian and application by
the Trainer for permission to perform a Workout, such application to be
made no less than 48 hours in advance of the Workout. A new provision
in this rule specifies that: ``If the Covered Horse does not perform
the Workout for the Regulatory Veterinarian within 7 days, the Trainer
and Attending Veterinarian must observe the Covered Horse again at the
jog and submit a new co-signed statement.'' This is to ensure that the
co-signed statement and Workout are taking place as contemporaneously
as practically possible to avoid any significant changes to the health
of Covered Horse between the time of the jog (and co-signed statement)
and the Workout.
Under the current rule, a Covered Horse may be released if the
Regulatory Veterinarian determines that there are no signs of
Epistaxis, physical distress, medical compromise, or unsoundness. New
language requires this determination to be made after the Workout, but
during a period that is no less than 30 minutes and no greater than two
hours after the Workout.\112\ This range enhances safety and is in the
best interests of the health and welfare of the Covered Horse.
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\112\ This is in response to comments received from Dr. Lynn
Hovda, Tom Robbins, Dr. Jeff Blea, and a comment jointly submitted
by NYRA, Del Mar, Keeneland, Churchill Downs, Breeders' Cup, and 1/
ST Racing.
---------------------------------------------------------------------------
Additional new language requires the collection of a blood sample
after the Workout, and requires the Regulatory Veterinarian who
conducts the Workout to communicate the results to the Regulatory
Veterinarian who placed the Covered Horse on the Veterinarians' List.
Currently, some racing jurisdictions require a blood test before a
Covered Horse may be removed from the Veterinarians' List. The
Authority agrees with this requirement as it enhances equine welfare.
Thus, the Authority proposes this new requirement as a measure to
improve equine safety and welfare of Covered Horses and to benefit the
industry by creating a uniform standard for removal of Covered Horses
from the Veterinarians' List.
A new provision, in paragraph (c), states: ``A Covered Horse which
has not started in more than 365 days or has not made a start prior to
January 1 of its 4-year-old year may perform a Workout in the presence
of the Regulatory Veterinarian beginning 335 days since its last start
or, if unraced, December 1st of its 3-year-old year. If the Covered
Horse has not started within 60 days of being released by the
Regulatory Veterinarian, the Covered Horse must fulfill the
requirements in 2242(a) again.'' This ``pre-clearance process'' is
proposed at the request of stakeholders and provides a mechanism
whereby the Covered Horse may complete a Workout and submit to a blood
sample beginning 335 days since the last start. If cleared by the
Regulatory Veterinarian, the Covered Horse will be permitted to enter a
race immediately (provided it is no later than 60 days from the date
the Covered Horse was cleared by the Regulatory Veterinarian) as
opposed to starting or restarting the clearance process beginning on
day 365 or later. The practical effect is that horses that are
approaching race readiness will not have an additional wait time
imposed if they can be pre-authorized. The time between requesting an
appointment to work off the Veterinarians' List, being cleared by the
testing lab, and having the right race come up for entry can be in
excess of 30 days. The 60-day reset is consistent with pre-existing
standard industry practice.
The following language is to be deleted from the rule: ``In
addition to the requirements set forth herein and any requirements of
the Protocol, if a Horse is placed on the Veterinarians' List for a
positive test or overage of a primary substance invoking a mandatory
stand down time, a positive Out-of-Competition test, or any other
veterinary administrative withdrawal, the Horse shall be prohibited
from entering a Race and may be released from the Veterinarians' List
only after also undergoing a post-Workout inspection by the Regulatory
Veterinarian.'' As noted above, the Authority is deleting language from
Rule 2240 regarding the placement of Covered Horses on the
Veterinarians' List for positive tests. Accordingly, the Authority
proposes deletion of the language in Rule 2242 concerning the
corresponding procedures for removal of these horses from the
Veterinarians' List.
Multiple commenters requested clarification as to the permitted
activities while a Covered Horse is on the Veterinarians' List.\113\
Placement on the Authority's Veterinarians' List restricts a Covered
Horse from participating in a Covered Horserace during the applicable
period of time but, unless expressly prohibited in the rules, the
Covered Horse may participate in a Workout and other training
activities.
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\113\ Breeders' Cup and the Kentucky Horse Racing Commission.
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[[Page 24594]]
2250. Covered Horse Treatment History and Records
2251. Veterinary Reports
Rule 2251 sets forth the reporting requirements imposed upon
Veterinarians who treat Covered Horses. The current rule specifies the
information that must be provided; these requirements are modified to
apply to ``treatments, procedures, and surgeries performed at a
location licensed by a State Racing Commission or a Training
Facility.'' An additional category is established in new paragraph (c):
``For treatments, procedures, and surgeries performed at a location
that is not a Training Facility or is not licensed by a State Racing
Commission, and in addition to the information required to be submitted
by Veterinarians pursuant to Rule Series 3000, every Veterinarian who
examines or treats a Covered Horse shall, within 24 hours of ambulatory
care, outpatient care, or discharge from a clinic or hospital, submit
to the Authority the following information in an electronic format
designated by the Authority:. . .'' In response to industry feedback,
the Authority proposes separate reporting requirements to ease the
administrative burden on referral clinics and other medical facilities
that are not licensed by the State Racing Commission. In some
instances, these clinics may be providing multiple treatments per day
to a Covered Horse. To reduce their compliance obligation, the
Authority has limited the reporting requirements of these facilities to
information that is relevant to racing eligibility and the safety and
health of Covered Horses.
A commenter suggested that ``all HISA Registered Vets'' should be
included at the beginning of paragraph (a) of this Rule.\114\ All
veterinarians that treat Covered Horses are required to register with
the Authority. Thus, the Authority does not believe the addition of
this language is necessary. Moreover, the Authority does not want to
exclude unregistered veterinarians from reporting information to the
Authority pertaining to the treatment of Covered Horses. Another
commenter asked what is meant by the term ``treatments'' as used in
this rule.\115\ This term is intended to capture the types of treatment
or practices that would require the Veterinarian to generate a written
record under applicable state veterinary laws.
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\114\ The Jockey Club.
\115\ Keeneland.
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Finally, the Authority is proposing new language to this Rule to
explicitly authorize it to utilize the information included in the
treatment records for purposes of research conducted by the Authority
in accordance with its mandate under the Act.
2252. Responsible Persons' Records
Rule 2252 imposes upon Responsible Persons the requirement to
maintain specified categories of records of medical, therapeutic, and
surgical treatments and procedures for every Covered Horse under their
control. The rule specifies that treatment includes ``the
administration of medications that are prescribed by a Veterinarian but
administered by the Responsible Person or the Responsible Person's
designee . . . and specifically excludes medications or procedures
directly administered by a Veterinarian.'' The Authority proposes
deleting all references to ``Veterinarians licensed by the State Racing
Commission'' as duplicative of the definition of Veterinarian in Rule
1020, which already includes a licensing requirement.
A commenter questioned whether the current version of (b)(3)
(``specifically excludes medications or procedures directly
administered by a Veterinarian. . . .'') contradicts with the wording
in Rule 3040(8).\116\ The Authority agrees with this comment and has
revised (b)(3) to include the introductory phrase ``notwithstanding
Rule 3040(8)'' to avoid any potential conflict between the rules.
---------------------------------------------------------------------------
\116\ HBPA.
---------------------------------------------------------------------------
Additional language is added to clarify that the approval of the
Authority is required for State Racing Commissions and Stewards to
access treatment records, and that no provision of the rules shall
limit the Authority's use of records submitted under the Rule 2000
Series. These changes are made to ensure the Authority may use the
information for purposes of research conducted by the Authority in
accordance with the Horseracing Integrity and Safety Act to enhance the
safety and welfare of Covered Horses.
2253. Records for Covered Horses Shipping to the Racetrack
The Authority proposes a few modifications to Rule 2253 pertaining
to records for Covered Horses shipping to a Racetrack. Currently, the
rule requires the Responsible Person to maintain specified treatment
information regarding the Covered Horse for the ``previous thirty (30)
days.'' The Authority proposes removing this requirement to ensure all
treatment information is being maintained by the Responsible Person.
Moreover, the Authority proposes the addition of new categories of
information to be maintained by the Responsible Person, including daily
logs of exercise activities and daily logs of treatments and
procedures. Finally, consistent with Rule 2251 and Rule 2252, the
Authority has proposed new language authorizing it to use the
information for purposes of research in accordance with the Act.
A commenter asked whether the trainer is responsible for
maintaining these records or whether this rule requires submission to
the Authority or someone else.\117\ This Rule 2253 requires the
Responsible Person to obtain and maintain the information set out in
the Rule; there is no language in this Rule requiring the information
to be submitted to the Authority, though the Authority may request the
information at any time.
---------------------------------------------------------------------------
\117\ ROCO.
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2260. Claiming Races
2261. Transfer of Claimed Covered Horse Records
Claiming races are races in which horses entered in the race may be
purchased for the claiming price by a new trainer/owner. The horse
becomes the property of the new trainer/owner as soon as the horse
leaves the starting gate in the race. In the case of a successful claim
(horse purchase), Rule 2261 effects transfer of medical records of the
horse to the new trainer/owner. Knowledge of the past medical history
provides information to the new trainer/owner so that the horse may be
managed appropriately, given its history, and obtain the best training
and medical care for the horse's optimal health. The proposed
modifications to this Rule clarify the records to be transferred to the
new owner as well as the process for effectuating the transfer of
information.
2262. Void Claim
Rule 2262 contains the Authority's void claim rule. The rule
currently in effect provides the claim exceptions that if the horse
dies, is euthanized, is vanned off (due to the inability of the horse
to exit the racecourse), becomes unsound or medically compromised,
bleeds from the nostrils (and presumably the lungs) after the race, or
has a positive drug test, then transfer of the horse does not occur.
The rule protects the purchaser of the horse from acquiring an injured,
compromised, or dead horse and provides disincentives to trainers/
owners to enter a horse that is compromised from latent injury or
ailment in a race with the intent for another trainer/owner to take
responsibility by claiming the horse in
[[Page 24595]]
the race. The rule does permit the claimant the option not to void the
claim if, prior to the race in which the Covered Horse is claimed, the
claimant elects to claim the Covered Horse by checking the appropriate
box on the claim slip regardless of whether the Regulatory Veterinarian
determines the Covered Horse will be placed on the Veterinarians' List
for Epistaxis or as unsound or lame. The option not to be voided by the
potential new trainer/owner is useful in circumstances in which a
compromised horse may be rehabilitated after the race, or where the new
trainer/owner desires to acquire a horse for breeding purposes as
opposed to continuing to train and race.
The void claim rule protects Covered Horses from being raced when
they are not physically or medically fit to do so. The rule protects
Covered Persons from purchasing a compromised horse. Racetracks, racing
commissions, and the racing industry benefit because compromised horses
in races are more likely to suffer a catastrophic injury, and thus the
rule prevents some catastrophic or career ending injuries. The rule is
now modified in a number of ways to enhance equine safety.
The current rule requires the claimed horse to go to the test barn
for observation by the Regulatory Veterinarian. New provisions are
added that provide more detailed requirements for the observation. A
modification specifies that the horse may be sent to a test barn ``or
approved secured area,'' since the test barn at some Racetracks is not
large enough to accommodate claimed horse inspections. New provisions
include a minimum period of 30 minutes during which the horse shall be
periodically observed, unless excused by the Regulatory Veterinarian; a
requirement that the horse be jogged to determine if the horse exhibits
signs of Epistaxis or is unsound or lame; and a specific direction that
the horse be observed for Epistaxis, or any other clinical
abnormalities. If a horse is placed on the Veterinarians' List for
Epistaxis, or is unsound or lame, a new rule requires the Regulatory
Veterinarian to inform the Stewards, who may order the claim to be
voided.
Current language has been re-worked and new provisions added
stating that if a post-race sample collected from a horse that is
claimed results in an Adverse Analytical Finding (as that term is
defined in the Rule 1000 Series), the claimant is provided 48 hours to
exercise the option to void the claim. This rule was the subject of
much analysis and consideration during its development, and comments
expressed a number of divergent views concerning the rule. If a
Prohibited Substance is determined to be present in the Covered Horse,
the claimant should have the option to void the claim in part because
the Prohibited Substance may have enhanced the performance of the
horse. Claimants should have the option to void the claim under these
circumstances, since the horse's performance in the race is not
reflective of its actual abilities in a race. However, in those
instances in which the Prohibited Substance does not alter the value of
the horse to the claimant, the claimant should have the option to keep
the horse. This might be the case if the claimant desires to purchase
the horse for breeding purposes, rather than to run the horse in future
races.
New provisions are added that specify that the claim may not be
voided if the Covered Horse makes a start under the new owner, if the
new owner fails to exercise due care in maintaining and boarding the
Covered Horse, makes material alterations to the horse, or if the
Covered Horse dies or is euthanized, as these acts demonstrate an
intent on the part of the claimant to exercise ownership of the horse
and could result in physical changes to the horse. The meaning of the
term ``material alterations'' is left open-ended to provide flexibility
in its application to varied circumstances that can constitute and
alteration.
Finally, a new provision is added to permit the claimant whose
claim is voided to recover all sums paid, as well as reasonable
expenses incurred for care of the horse while the horse was in the
care, custody, and control of the claimant. This conforms with pre-
existing industry practice.
2263. Waiver Claiming Option
Under the Waiver Claiming Option Rule, if a horse trainer/owner has
rehabilitated a horse and wishes to start the horse in a race, the
trainer/owner can start the horse in a claiming race without the
possibility of the horse being claimed by another trainer/owner. This
allows a horse trainer/owner to take time to rehabilitate a horse and
then start the horse in a race without the possibility of losing the
horse to another trainer/owner. The rule incentivizes trainers/owners
to rehabilitate horses for long term health and an extended racing
career. A new provision is added which allows a Responsible Person to
declare a Covered Horse to be ineligible to be claimed for a second
consecutive race provided certain conditions are met, including (1) the
waiver was asserted in the first race back; (2) the horse does not win
its first race back; (3) no change in majority ownership; and (4) the
horse is entered in a claiming race with a claiming price equal to or
greater than the claiming price for which it last started. Permitting a
second consecutive waiver encourages owner/trainer continuity and is in
the best interest of the Covered Horse.
2270. Prohibited Practices and Requirements for Safety and Health of
Covered Horses
2271. Prohibited Practices
This rule regulates the use of practices that: (1) mask pain to
allow horses to train and race with injuries or joint disease (e.g.,
neurectomy, shock wave therapy, electrical medical devices); (2) induce
inflammation and pain with the intent to speed healing of injured
structures (e.g., pin-firing); or, (3) cause pain to stimulate a horse
to run faster (e.g., electrical shock). Certain specific practices
(such as shock wave therapy) are also addressed in specific rules in
this section. The rule is intended to prevent abuse of racehorses by
preventing the masking of pain that allows horses to train and race
while injured, and by preventing the stimulation of pain to coerce
racehorses to perform beyond their athletic potential. Inhumane and
dangerous practices on racehorses will be prevented.
This rule also prohibits horses within the foal crop of 2023 or
later from participating in a Covered Horserace or a Timed and Reported
Workout if they have been subject to pin-firing of any structure or
freeze-firing of the shins (dorsal surface of the third metacarpal/
metatarsal bones). These procedures are associated with permanent,
material alterations to the horse and this rule is designed to deter
owners, trainers, and veterinarians from performing these practices on
future Covered Horses.
Paragraph (a)(9) is modified to prohibit use of any medical
therapeutic device requiring an external power source within 48 hours
prior to the start of the published post time for which a Covered Horse
is scheduled to race. The Authority received two comments suggesting
the addition of ``battery operated devices'' to this list; however, the
Authority believes these devices are already captured by the rule as
written.\118\
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\118\ Dr. Lynn Hovda and a comment jointly submitted by NYRA,
Del Mar, Keeneland, Churchill Downs, Breeders' Cup, and 1/ST Racing.
---------------------------------------------------------------------------
Sections (a)(11) and (a)(12) of the rule contain mandatory
standdown times following the administration of an intra-articular
injection. Any Covered Horse treated with any intra-articular injection
of any joint shall not be permitted to
[[Page 24596]]
perform a Workout for 7 days following treatment or participate in a
Covered Horserace for 14 days following treatment. However, if the
Covered Horse is treated with a corticosteroid intra-articular
injection of the metacarpophalangeal or metatarsophalangeal joint, the
horse shall not be permitted to perform a Workout for 14 days following
treatment or participate in a Covered Horserace for 30 days following
treatment. One commenter opposed this increased standdown time for
fetlock joint injections, claiming that these joints should be treated
the same way as other joints.\119\ The Authority disagrees.
Approximately 50 percent of musculoskeletal fatalities are attributable
to an injury to the fetlock joint. The administration of
corticosteroids to the fetlock joint can alleviate inflammation and
pain associated with abnormalities that promote injury in this joint,
leading to potential overexertion, injury, and catastrophic breakdown.
Introduction of a mandatory standdown time from training and racing
activities provides an additional safety margin for horses to recover
from abnormalities that promote injury and reduce susceptibility to
catastrophic injury to this high-risk joint.
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\119\ Dr. Scott Hay.
---------------------------------------------------------------------------
One commenter stated that the increased standdown time for fetlock
joint injections should be limited to corticosteroids.\120\ The
Authority agrees with this recommendation and the proposed language
limits the increased standdown time to corticosteroid injections.
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\120\ Dr. Jeff Blea.
---------------------------------------------------------------------------
Finally, a new penalty section sets forth escalating fines and
suspension periods to be assessed against the Responsible Person for
successive violations within a 365-day period. In addition, if the
Covered Horse involved is the subject of two or more violations with a
365-day period, the Covered Horse may be placed on the Veterinarian's
List for 30 days.
2272. Shock Wave Therapy
This rule regulates the use and monitoring of a treatment (Shock
Wave Therapy) used on bone, tendon, and ligament injuries. Shock Wave
Therapy can also provide pain relief that allows affected horses to
continue to train and race on a mild injury. Continued training and
racing on a mild injury could precipitate a career ending or
catastrophic injury. The rule addresses the problem by closely
monitoring treatments and requiring treated horses to refrain from
training at high speed or racing until an appropriate time for
rehabilitation of the injury that was treated. The rule enhances safety
of Covered Horses by reducing the incidence of career ending and
catastrophic injuries. Because Jockey injuries are associated with
horse falls due to catastrophic injuries during high-speed training and
racing, the rule also enhances Jockey safety and welfare.
There are new reporting requirements incorporated into this rule.
The industry has long recognized the concern that underreported Shock
Wave treatments could be associated with equine musculoskeletal injury.
Administration of Shock Wave Therapy must be reported by the treating
Veterinarian to the Authority within 24 hours after treatment and by
the Responsible Person to the Regulatory Veterinarian within 48 hours
after treatment. This dual-reporting requirement is essential for
promoting Rider and equine welfare and ensures the Covered Horse is
placed on the Veterinarians' List following Shock Wave Therapy
treatment.
This rule also contains a slight expansion to the registration
requirement for machines used to administer Shock Wave treatment. The
rule now makes clear that these machines are required to be registered
with the Authority, if they are being used to treat Covered Horses. The
Authority's previous registration requirements reflected the industry's
interest in understanding the locations where Shock Wave treatments
were being administered. Knowing that Shock Wave treatment machines are
in use at facilities not licensed by State Racing Commissions, this new
registration requirement is intended to extend the industry's pre-
existing registration requirements to include unlicensed locations.
Finally, this rule contains enhanced penalties for a failure to
report Shock Wave Therapy treatment. A commenter expressed concern over
the leniency of the existing penalties for a failure to report
treatment, which included a 5-day suspension for a first offense.\121\
The commenter urged the Authority to adopt the penalty schedule
established in the ARCI Model Rules, which carries a minimum 1-year
suspension and $10,000 fine for a first offense. The Authority agreed
that enhanced penalties are in the best interests of Covered Horses and
Riders and has proposed a penalty structure that more closely aligns
with the ARCI Model Rules.
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\121\ The Jockeys' Guild.
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2273. Other Devices
This rule currently prohibits the possession of any device which is
designed to increase or retard the speed of a Covered Horse, with the
exception of riding crops. The rule is in place in all US racing
jurisdictions. The penalty for noncompliance is not standard across
jurisdictions and varies from a 10-year loss of racing license to
suspensions and fines. The rule is intended to standardize the language
nationally and standardize sanctions. Stewards will have national
standardized language and sanctions when adjudicating cases and issuing
sanctions. Covered Persons will know that the industry considers the
use of performance-affecting devices a serious issue.
Initially, the rule was intended to cover horses in racing and
training. Now the coverage of the rule is expanded to embrace horse
welfare in the context of any use of prohibited devices upon Covered
Horses. The rule is modified to prohibit devices that are ``purchased,
designed, or used with the intent'' to retard or increase the speed of
a Covered Horse. This will preclude, for example, use of a cattle prod
on the grounds, even though a cattle prod is not specifically designed
to be used on a horse. The phrase ``or during a Workout'' is deleted as
unnecessary due to the fact workouts are conducted on Racetrack
grounds.\122\
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\122\ A comment by the CHRB prompted deletion of the reference
to ``Workout.''
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A commenter suggested that various specific items that might be
used as prohibited devices be specifically listed.\123\ The Authority
prefers to the more flexible language referring to ``electrical,
mechanical, or other devices,'' as it expresses more broadly any type
of device is prohibited that may be used to retard or increase the
speed of a Covered Horse and will also capture devices that are not
currently known by the Authority.
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\123\ ROCO.
---------------------------------------------------------------------------
2274. Other Device Penalties
Rule 2274, which provides the penalties for violation of Rule 2273,
is modified to impose restrictions upon registration with the Authority
as the penalty for violations of Rule 2273. The modification deletes
the reference to loss of eligibility ``to obtain a racing license in
all racing jurisdictions.'' The change is made because restrictions
upon registration with the Authority are more appropriate penalties
imposed by the Authority.
[[Page 24597]]
2275. Communication Devices
Rule 2275, which regulates the use of communication devices by
Riders, is modified to clarify that the prohibition upon the use of a
hand-held communication device applies to a Rider who is mounted on a
``Covered Horse or Pony Horse.'' Two commenters questioned whether this
rule should be revised to clarify whether this prohibition applies to
just the racing surface or all areas of the racetrack.\124\ The term
``Rider'' is limited to persons mounted on a Covered Horse or Pony
Horse on the racing surface. Therefore, the rule is already clear that
the prohibition on the use of hand-held communication devices applies
just to the racing surface.
---------------------------------------------------------------------------
\124\ Dr. Jeff Blea and 1/ST Racing.
---------------------------------------------------------------------------
Several commenters expressed concerns that the rule might prohibit
the use of two-way radios entirely.\125\ The rule does not prohibit
two-way radios that, as an example, clip onto a vest and are equipped
with a shoulder microphone. The purpose of the rule is to prohibit the
use of devices that are hand-held and interfere with a Rider's control
of the horse.
---------------------------------------------------------------------------
\125\ Barbara Borden, ROCO, Jockeys' Guild, The Jockey Club.
---------------------------------------------------------------------------
In addition to the above, a new provision is added that states: ``A
Rider, while on a Covered Horse or Pony Horse, shall not wear an audio
device that obstructs or impairs the Rider's ability to hear other
horses, Riders, hazards, or the Racetrack's emergency warning system.''
This rule does not prohibit the use of hearing aids, which enhances
hearing, but rather is intended to prohibit, for example, audio devices
on both ears with noise cancelling features.
2276. Horseshoes
The rule limits the height of rims used as traction devices on
forelimb and hindlimb horseshoes. The rule prohibits use of any other
traction devices except in specific circumstances. Traction devices
affect the interaction of the hoof with the racetrack surface, altering
movement of the hoof through the racetrack surface. That reduction of
movement contributes to catastrophic breakdowns and skeletal injuries.
The rule follows the scientific evidence that shows that traction
devices increase equine injuries. The rule is intended to increase the
safety of Riders and Covered Horses by reducing the number of accidents
resulting from injuries associated with the use of traction devices.
The rule will standardize traction device use nationwide.
The Authority proposes modifications to this Rule to establish
specific prohibitions on the use of traction devices based on the type
of racing surface (dirt, synthetic, and turf). A commenter requested
clarification as to whether certain inserts and wear plates would be
considered a prohibited traction device under this rule.\126\ The
Authority has addressed this question through the creation of a new
definition for ``Traction Device'' in the definitions section of Rule
2010. This definition clarifies that ``Traction Device'' includes ``any
device that extends beyond the ground surface of the horseshoe and
includes but is not limited to inserts, wear plates, rims, toe grabs,
bends, jar calks, stickers, ice nails, frost nails, and mud nails.''
---------------------------------------------------------------------------
\126\ Dan Burke.
---------------------------------------------------------------------------
2280. Use of Riding Crop
Allowing use of the crop enhances safety of Covered Horses and
Riders. The rule limits the number of times the crop can be used for
encouragement. The rule unifies crop design and use of the crop across
all jurisdictions. The rule unifies penalties for crop abuse or use of
prohibited devices across jurisdictions. There has been heated debate
about use of the riding crop, especially for encouragement. Some
believe the new crops do not hurt the horse at all, while others remain
concerned about the public perception of using a crop for
encouragement. The rule allows riding crop use for safety of the horse
and Jockey. It also limits the number of times the crop can be used for
encouragement during a race. This compromise of use of the crop for
safety, and limited use for encouragement that will be unified across
racing jurisdictions is in the best interest of the horses, horsemen,
the owners, the Jockeys, the betting public, racing commissions, and
the general public. The rule is intended to protect horses from
excessive use of the crop. Jockeys will have a clear understanding of
crop use rules and will be able to adapt their usage due to uniformity
of the rules.
The Authority proposes additional language clarifying that a tap to
the shoulder of the horse is permitted and does not count towards the 6
permitted uses of the crop as set forth in Rule 2280. The Rule is
modified to make clear that the rule applies to Jockeys who use a
riding crop on a ``Covered Horse.'' A new provision is added that
prohibits a Jockey from striking a Covered Horse with any other object
than a riding crop that conforms to the requirements established in
Rule 2281.
Commenters urged that additional strikes be permitted depending
upon the length of the race, or that the number of permitted strikes be
increased under varying circumstances.\127\ The Authority believes that
6 strikes is an appropriate limit, and that the length of the race is
less significant as most crop use takes place in the final stretch. The
Authority also notes that the exception concerning use of the crop for
safety purposes provides proper flexibility in the use of the crop.
---------------------------------------------------------------------------
\127\ The Jockeys' Guild, HBPA, Christine Sanchez.
---------------------------------------------------------------------------
Commenters suggested that the language in this rule be modified to
make clear that the riding crop rules apply only to Covered Horseraces
so that Racetracks and State Racing Commissions can further limit the
use of the crop during training activities.\128\ The Authority believes
this is an appropriate modification and has revised this rule to
clarify that it only applies ``during a Covered Horserace.''
---------------------------------------------------------------------------
\128\ Comment jointly submitted by NYRA, Del Mar, Keeneland,
Churchill Downs, Breeders' Cup, and 1/ST Racing.
---------------------------------------------------------------------------
2281. Riding Crop Specifications
The Authority proposed numerous modifications to Rule 2281.
Paragraph (c) is modified to include the word ``flap'' in addition to
``smooth foam cylinder'' to permit the use of riding crops that
incorporate a flap, rather than a foam cylinder. This will permit the
use of additional riding crops which may be used safely and effectively
by Jockeys. Paragraph (c)(6) is modified to require riding crops to
``have a mark identifying the name and manufacturer of the crop.'' This
language was suggested by a commenter and will assist in ensuring
compliance with the riding crop specifications.\129\ The requirement
that the riding crop bear a label stating that the riding crop meets
the Rule 2281 standards is deleted as unnecessary.
---------------------------------------------------------------------------
\129\ The Jockeys' Guild.
---------------------------------------------------------------------------
A commenter suggested that the rule explicitly require riding crops
to be tested for durability and use.\130\ The Authority appreciates the
comment. There are currently no standards for durability testing of
crops. The Authority has initiated the process for development of a
durability test and will reconsider this comment when an appropriate
test is available.
---------------------------------------------------------------------------
\130\ Id.
---------------------------------------------------------------------------
2282. Riding Crop Violations and Penalties
The proposed modification for Rule 2282 will alter the system of
penalties applicable to riding crop violations. The new system
establishes a scale of
[[Page 24598]]
penalties that escalate in severity as the purse value of the race
increases. Some members of the industry believe that the imposition of
the same penalties upon Jockeys regardless of purse size, is too severe
as applied to Jockeys running at small tracks for small purses, and
that the Jockeys running in high stakes races should be penalized more
heavily for violations. The rule will be based upon five tiers of purse
levels, and will impose fines, suspensions and disqualifications that
are tailored to the particular tier. The rule will benefit Jockeys and
other Covered Persons by ensuring that riding crop violations result in
meaningful penalties that are fairly administered. The number of riding
crop violations has declined significantly since the implementation of
the riding crop rule on July 1, 2022. The Authority believes that the
rule is having the desired effect upon excessive use of the crop at
Covered Horseraces.
A commenter suggested increasing the purse level on the lowest
tier, which is set at $9,000.00 in the proposed rule.\131\ The
Authority believes the current purse levels as matched with penalties
are appropriate and fair to Jockeys at all levels of competition.
Another commenter opined that horses should not be disqualified as part
of the penalty against the Jockey.\132\ The Authority believes the
penalty of disqualification is appropriate as applied to violations by
the penalty scheme. Among other things, this penalty disincentivizes
trainers/owners from encouraging Jockeys to violate the crop rule for
purposes of winning races, and in some instances paying the jockey
penalty for the Jockey. The Authority's Racetrack Safety Committee
studied all aspects of the riding crop rule thoroughly and over a
prolonged period, and received a great deal of comment and advice from
Jockey experts in the industry. The Authority believes the penalties
achieve an equitable balance as applied to all Jockeys.
---------------------------------------------------------------------------
\131\ Breeders' Cup.
\132\ HPBA.
---------------------------------------------------------------------------
Another commenter asked who is responsible for adjudicating the
initial violation of the riding crop rule.\133\ This question is
addressed by Rule 8320, which states that the Stewards shall adjudicate
all alleged violations of Rule 2280 relating to the use of the riding
crop.
---------------------------------------------------------------------------
\133\ Keeneland.
---------------------------------------------------------------------------
2283. Multiple Violations
Rule 2283 is modified by the establishment of a new set of rules
concerning multiple violations of the Rule 2280 riding crop rules. The
point system in the current rule will be deleted, and replaced by a
system in which an escalating multiplier is applied to repeated
violations in the previous 180 days. A commenter has urged that the
severity of the penalties is excessive.\134\ The Authority closely
studies and monitors the riding crop use and the imposition of
appropriate penalties, and will consider all views expressed by members
of the industry. As one commenter noted, ``multiple violation penalty
rules for riding crop violations were recommended to better ensure
compliance, deter excessive use of the riding crop, and give teeth to
the new requirements.'' \135\ The Authority agrees. The Authority
believes that the riding crop rule is operating very effectively as a
deterrent, and this multiple violation rule is vital to the safety and
welfare of Covered Horses as it disincentivizes ``jockeys who routinely
flout the new riding crop rules.'' \136\
---------------------------------------------------------------------------
\134\ The Jockeys' Guild.
\135\ THA.
\136\ Id.
---------------------------------------------------------------------------
2284. Redistribution of Purse
Rule 2284 is a proposed new rule, which states: ``Upon the
disqualification of a Covered Horse from a Covered Horserace pursuant
to the Rule 2000 Series, the purse shall be redistributed in accordance
with the revised order of finish.'' The rule is meant to resolve any
confusion concerning whether post-race redistribution of purses should
be carried out by the Stewards upon disqualification of a horse under
the Rule 2000 Series; the rule affirmatively requires the
redistribution of the purse in accordance with the order of finish.
2285. Intermediate Appeal of Violations
A new proposed Rule 2285 establishes a level of intermediate appeal
of rulings issued to Jockeys by the Stewards for violations of the
riding crop provisions in Rules 2280 and 2281. The rule provides that
the appeals shall be heard initially by a three-member appeal panel
appointed from the pool of adjudicators who constitute the Internal
Adjudication Panel as established under the Rule 7000 Series. Any
decision rendered by the Internal Adjudication Panel is appealable to
the Board of the Authority, who may hold a hearing on the matter, or in
the alternative may decide the appeal based upon the record and any
written submissions required to be filed by the Board. The Board also
has the option to adopt the decision of the Internal Adjudication
Panel. The rule will benefit Jockeys by affording a prompt appeal to
the Internal Adjudication Panel. The expeditious nature of the appeal
process will benefit the administration of the riding crop rule
generally, a rule which is vital to serve the safety and welfare of
Covered Horses.
2286. Procedures for Adjudications of Violations in the Rule 2200
Series
New proposed Rule 2286 is strictly procedural in nature, and
establishes that the violation cases referred to the Internal
Adjudication Panel or an Arbitral Body pursuant to Rules 8320(b)(1) and
(b)(2) shall be adjudicated according to the procedures set forth in
Rule 8340(c) through (j).\137\ The Rule 8340 procedures are a
comprehensive set of rules that will provide the necessary structure
for efficient administration of appeals by the Internal Adjudication
Panel and the Arbitral Body.
---------------------------------------------------------------------------
\137\ The Internal Adjudication Panel is also referred to as the
National Stewards Panel throughout the Authority's Rule Series. The
Authority's proposed modifications to its various Rule Series
include updating all references to the National Stewards Panel to
the Internal Adjudication Panel.
---------------------------------------------------------------------------
2287. Provisional Suspension of Registration
This proposed Rule 2287, Provisional Suspension of Covered Person's
Registration, was distributed for public comment in July 2023. The
Authority received numerous comments and made significant revisions to
address the concerns raised in the industry comments. Under this rule,
the Authority may issue a show-cause notice concerning a provisional
suspension of a Covered Person's registration if the Authority or the
Stewards have reasonable grounds to believe that the actions or
inactions of a Covered Person present an imminent danger to the health,
safety, or welfare of Covered Horses or Riders arising from specific
violations by the Covered Person of the Authority's safety rules. The
show-cause notice will include an itemization of the rules which the
Covered Person is believed to have violated, the corrective actions
suggested to achieve compliance, a request for a written response from
the Covered Person, and a statement indicating that the Covered Person
may request a provisional hearing within 3 days of receipt of the
notice. The Covered Person's registration would not be suspended during
the time between receipt of the show-cause notice and the provisional
hearing unless the Stewards or the Authority have clear and convincing
evidence that the actions or inactions of the Covered Person present
[[Page 24599]]
an immediate threat of serious injury or death to Covered Horses or
Riders.
A Covered Person who has received a show-cause notice or whose
registration has been provisionally suspended is entitled to a
provisional hearing to be conducted by the Internal Adjudication Panel,
an independent Arbitral Body, the state Stewards, or a panel of 3 board
members appointed by the Board chair. The provisional hearing would be
conducted within 3 business days of receipt by the Authority of the
Covered Person's request for a provisional hearing. The sole issue to
be determined at the provisional hearing is whether the Covered
Person's provisional suspension of registration shall remain in effect,
go into immediate effect following the provisional hearing, be stayed
pending a final hearing under this rule, or be withdrawn. The burden is
on the Authority to demonstrate good cause why the provisional
suspension should remain in effect, go into immediate effect, or be
stayed pending a final adjudication. Within 72 hours of the conclusion
of the provisional hearing, the adjudicatory panel will issue a written
decision determining whether the provisional suspension shall remain in
effect, go into immediate effect, be stayed pending a final
adjudication, or be withdrawn.
The Covered Person may seek prompt review of any decision rendered
at the provisional hearing by requesting a final hearing, which will
take place within 14 days of the Covered Person's request for a final
hearing. The final hearing will be conducted by a quorum of the Board
and, if the provisional hearing was conducted by a panel of Board
members, the Board members that participated in the provisional hearing
would be precluded from participating in the final hearing. The final
hearing will be conducted pursuant to the procedural rules established
in Rules 8340(d) through (j), which provide for a full presentation of
evidence and place the burden on the Authority to demonstrate, by a
preponderance of the evidence, that the Covered Person is in violation
of the Authority's safety rules.
Within 7 days of the conclusion of the final hearing, the Board may
(1) order that the Covered Person's registration be reinstated,
suspended, or revoked; (2) reinstate registration subject to any
requirements the Board deems necessary to address the specific safety
violations; and/or (3) impose a fine in an amount not to exceed
$50,000. The outcome of the final hearing of the Authority will be
considered a final civil sanction subject to appeal and review in
accordance with the provisions of 15 U.S.C. 3058.
2290. Requirements for Safety and Health of Riders
2291. Jockey Eligibility
Rule 2291 requires that a Jockey have a physical examination,
including baseline concussion testing, in order to be eligible to ride
in races. The rule ensures that Jockeys are physically fit and capable
of riding without endangering themselves or other participants during a
race.
Rule 2291 is modified to make more explicit the requirements for
the physical examination and baseline concussion test required of
Jockeys on an annual basis or more frequently as needed following
illness, injury, or other circumstances impacting a Jockey's fitness to
participate. The modified rule will serve to specify the concussion
assessment tools applicable to the baseline concussion test. New
provisions are added by the modified rule that require Jockeys to
submit to the Authority documentation concerning fitness to ride,
physical examination and the concussion test.
Some commenters raised concerns concerning HIPAA laws and medical
record privacy issues.\138\ These issues have been resolved, as the
Authority has engaged with a third-party HIPAA compliant medical
records organization to receive medical information. The new rule
directs all Jockey medical records to be submitted to the third-party
electronic platform. Another new provision requires Jockeys to execute
a written authorization permitting the release of medical information
as needed to assist in the collection or receipt of Jockey eligibility
documentation and coordination of care in response to racing related
injury or illness.
---------------------------------------------------------------------------
\138\ 1/ST Racing; Tracks.
---------------------------------------------------------------------------
A commenter recommended referencing the rules applicable to
international Jockeys who arrive in the United States for a specific
event.\139\ There is no need to revise Rule 2291 in this way; the rules
of the Authority apply in all respects to international Jockeys in the
same way as they apply to all other jockeys. Another commenter urged
the Authority to require cross-track concussion reporting for
Jockeys.\140\ The Authority agrees and this is being undertaken by the
Authority as part of the partnership with the third-party medical
records organization.
---------------------------------------------------------------------------
\139\ Breeders' Cup.
\140\ THA.
---------------------------------------------------------------------------
2292. Rider Medical History Information
Rule 2292 is modified to replace the words ``Jockey and exercise
rider'' with the word ``Rider.'' Rider is a newly proposed defined
term, which states: ``Rider means any person who is mounted on a
Covered Horse or Pony Horse on the Racetrack, including a Jockey.'' The
modification of Rule 2292 thus extends the requirements concerning
medical information cards to all persons mounted on a Covered Horse or
Pony Horse on the racetrack. This enhances the safety and welfare of
additional mounted racing participants. If a Rider is injured, the
medical information card provides medical responders with vital
information about the injured Rider's medical history and condition,
which may be important for the provider.
2293. Equipment
Rule 2293 sets forth the standards for helmets and vests. The rule
is modified to delete the term ``stable pony'' and include instead the
word ``Pony Horse,'' in accordance with the new definition for that
term. A new rule in paragraph (b)(2) requires all Starting Gate Persons
to ``securely attach to their safety vest one or more medical
information cards describing their medical history and any conditions
pertinent to emergency care, including a listing of any previous
injuries, drug allergies, and current medications.'' The addition of
this rule was suggested by a commenter, and parallels the similar rule
medical card for Riders in Rule 2292.\141\
---------------------------------------------------------------------------
\141\ Breeders' Cup.
---------------------------------------------------------------------------
2294. Weight of Riders
Rule 2294 is a new proposed rule, which states: ``The weight of an
approved safety helmet and an approved safety vest will be excluded
from the required weight to be carried by a Jockey during a race.''
This rule encourages use of helmet and safety vest without
consideration of the effect on applicable weight requirements.
Jurisdictions vary in their rules concerning whether helmets and
vests are to be included in required weight. Under Rule 2294, the rule
is standardized. A commenter suggested that the Authority address the
issue of establishing the minimum weights for Jockeys nationwide.\142\
The Authority will consider this proposal in future rulemaking.
---------------------------------------------------------------------------
\142\ The Jockeys' Guild.
---------------------------------------------------------------------------
III. Compliance With the Commission's March 27, 2023 Order
In accordance with the Commission's March 27, 2023 Order, the
Authority's
[[Page 24600]]
submission in support of the proposed rule modification discusses each
of the suggestions made by commenters on the Federal Register from the
original Racetrack Safety Rule submission where the Authority in its
February 2, 2022 Letter committed to further consider the suggestions.
The Authority's response to each of the suggestions is set out below.
1. A commenter urged the Authority to establish a sub-committee of
the Safety Committee formed to propose and draft ``Jockey, Exercise
Rider, and Horsemen Health Protocols.''
The Authority has not yet established any subcommittees of the
Racetrack Safety Committee. To date, the Committee has relied upon, and
frequently seeks input from, industry participants and subject matter
experts to assist the Committee in developing safety rules and
otherwise implementing the Racetrack Safety Program. The Authority
believes there is value in utilizing subcommittees to research and dive
more deeply into the racetrack safety issues and will consider
developing subcommittees in the near future.
2. Two commenters criticized the removal of the purse to claim
price ratio that was contained in earlier drafts of the Racetrack
Safety Rules.
The Racetrack Safety Committee again considered the issue of
developing and implementing rules regarding a purse-to-claim ratio. The
Committee received comments urging it to adopt a purse-to-claim ratio
and this topic was debated extensively by the Committee over the last
several months. The Committee declined to adopt such a rule,
determining that it lacks sufficient data at this time. The Committee
will continue to study this issue and may, at the appropriate time,
develop rules regarding a purse-to-claim ratio. The Authority notes
that, until that time, existing racetrack rules and state laws
concerning a purse-to-claim ratio will continue to apply.
3. Two commenters stated that the definition of Claiming Race is
not clear.
The safety rules currently in effect contain the following
definition of ``Claiming Race'': ``a Race in which a Horse after
leaving the starting gate may be claimed in accordance with the rules
and regulations of the applicable State Racing Commission.'' The
Authority is proposing a modification to this definition, which will
incorporate the definition of ``Claiming Race'' from the Rule 1000
Series of the ADMC Program: ``a Covered Horserace in which a Covered
Horse after leaving the starting gate may be claimed in accordance with
the rules and regulations of the applicable State Racing Commission.''
This proposed modification clarifies that application of the definition
is limited to Covered Horses and Covered Horseraces. The Authority did
not receive any comments on this definition during the informal comment
periods and believes this modification makes this definition
sufficiently clear.
4. Two commenters suggested that the term exercise rider and
catastrophic injury be added to the definitions.
The Authority agrees and has proposed adding both ``Catastrophic
Injury'' and ``Exercise Rider'' to the list of defined terms in the
definitions section of the Rule 2000 Series.
5. A commenter urged the Authority to develop rules permitting it
to suspend accreditation in emergency situations.
The Authority has proposed Rule 2117, which, if approved, will
permit the Authority to suspend racing activity in a short period of
time if ``the Authority has reasonable grounds to believe that the
conditions or operations of a Racetrack present an imminent danger to
the health, safety, or welfare of Covered Horses or Riders arising from
specific violations by the Racetrack of the Authority's racetrack
safety or accreditation rules.'' See Rule 2117(a)(1).
6. A commenter urged that the period of accreditation in Rule
2114(2) be changed from one to seven years to one to five years.
It is important to note that under Rule 2114(a)(1), accreditation
is effective for three (3) years, and the one (1) to seven (7) year
period modification in Rule 2114(a)(2) is only utilized if the
Authority determines that such modified period will be consistent with
the requirements of Accreditation outlined in the Rule 2100 Series. To
further alleviate the concerns expressed by this commenter, the
Authority notes that it has the authority--regardless of the number of
years of Accreditation granted under Rule 2114(a)(2)--to suspend or
revoke a Racetrack's accreditation if the Racetrack is in material
noncompliance with the Accreditation requirements. See Rules 2116 and
2117.
7. One commenter suggested that the Medical Director should oversee
the medical needs not only of jockeys, but of all covered persons and
invitees while on covered racetracks.
The Horseracing Integrity and Safety Act recognizes the Authority
to exercise exclusive national authority over Covered Persons, which
are defined in the Act as ``all trainers, owners, breeders, jockeys,
racetracks, veterinarians, persons (legal and natural) licensed by a
State racing commission and the agents, assigns, and employees of such
persons and other horse support personnel who are engaged in the care,
training, or racing of covered horses.'' The Authority does not have
jurisdiction over non-Covered Persons.
8. A commenter maintained that the first sentence of Rule 2133(c)
needs to be amended to include the following italicized words: ``The
requirements of this Rule for any steward employed or contracted by a
State Racing Commission are subject to the applicable State Racing
Commission electing to enter into an agreement with the Authority.''
The Authority agrees and has proposed this amendment to Rule
2133(c).
9. One commenter noted that Rule 2142(b) requires that all entered
horses must be inspected no later than one (1) hour prior to scratch
time. The commenter states that racing jurisdictions have different
scratch times ranging from a few hours to one day prior to the race.
Therefore, the rule should be changed to require inspection on race day
not later than one (1) hour prior to scratch post time for the race in
which the horse is to compete.
In recognition of this comment, the Authority has proposed an
amendment to this rule to require the inspection of the horse to be
completed ``prior to starting in the Race for which it is entered on
Race Day.'' (The provision has been renumbered and now appears at
2142(c)).
10. One commenter suggested that the phrase ``may be placed on the
Veterinarians' List'' be changed to ``shall be placed on the
Veterinarians' List'' in Rule 2142(d).
In recognition of this comment, this change has been proposed by
the Authority. (The provision has been renumbered and now appears at
2142(e).
11. Two commenters requested stricter requirements for the
construction of the racetrack rails and the elimination of the use of
wooden rails in Rule 2153.
The Racetrack Safety Committee consulted several of the industry's
safety rail experts and proposed amendments to Rule 2153 to require
specific rail heights. The Racetrack Safety Committee will, through the
Accreditation process, evaluate Racetrack rails to determine compliance
with 2153(a)(1), which requires that the rails be ``designed,
constructed and maintained to provide for the safety of Riders and
Covered Horses.'' Regarding the elimination of the use of wooden rails,
the Racetrack Safety Committee
[[Page 24601]]
maintains that this issue deserves additional discussion and
deliberation. If this deliberation concludes that it is appropriate to
eliminate wooden rails, this issue will be addressed in future
modifications of the rules.
12. One commenter opined that the emergency warning system should
include mandatory use of lights and sirens for both racing and training
[Rule 2153].
Rule 2153(e) (previously (d)), states that each Racetrack ``shall
have an operational emergency warning system on all racing and training
tracks. The emergency warning system shall be approved by the State
Racing Commission, subject to the applicable State Racing Commission
electing to enter into an agreement with the Authority. If such
agreement does not exist, the emergency warning system shall be
approved by the Authority.'' The Racetrack Safety Committee believes
that Racetracks and, where applicable, the State Racing Commissions are
in the best position to determine the type of warning system that is
most effective in their racing environment. Further discussions
regarding the standardization of a warning system will continue as
additional data is gathered.
13. A commenter stated that Rule 2162 needs to add a requirement
that biological samples be collected in all instances of catastrophic
injury, not just those injuries that occur during racing and training.
The language regarding collection of biological samples has been
struck from the safety rules, following the program effective date of
the ADMC rules. It is HIWU protocol to collect samples from all
fatalities when practical, and proposed rule 5436(l) will require
samples to be collected ``in case of any fatality howsoever
occurring.''
14. One commenter objected to the stewards making the determination
of whether a Jockey who falls or is thrown from a horse may continue
riding.
Proposed Rule 2166(d) addresses this commenter's concern as the new
language in the rule clarifies that it is a medical provider who is
making the determination of whether a Jockey should continue riding
following an incident: ``Any Jockey who falls or is thrown from a
Covered Horse during a race shall be examined by a medical provider
experienced in concussion management and familiar with the HISA
Concussion Protocol. The medical provider shall report their findings
to the Stewards who, upon the recommendation of the medical provider
shall order the Jockey taken off any remaining mounts.''
15. One commenter suggested that insurance coverage should be
included in the collected data under Rule 2167, and asked who will
analyze the data and how the data will be used. The commenter also
enquired concerning private medical data.
Racetracks are responsible for designating a person to collect the
data in their respective standard operating procedures. The data
collected can be analyzed to determine risk factors for injury and can
thus be used to further develop and implement injury prevention
measures. The Racetrack Safety Committee does not currently believe
that insurance information should be included in the list of
information collected under this rule as it is not relevant to the
evaluation of contributory factors and safety intervention measures.
16. The commenter stated that Rule 2168 does not provide minimum
standards for equipment necessary to treat a horse or remove a horse
from the track.
The Authority has proposed modifications to the Equine Ambulance
Rule (Rule 2168) to now include the following minimum standards for the
track's dedicated equine ambulance: (1) navigate on the racetrack
during all weather conditions; (2) safely transport a horse off the
association grounds; (3) contain equipment to stabilize distal limb
injuries; and (4) remove a recumbent horse from the racetrack.
17. One commenter claimed that section (b) of Rule 2170 contradicts
itself by first stating that necropsies should be performed by
personnel with capabilities and expertise to perform necropsy
examination of racehorses and subsequently implying that a veterinarian
always performs a necropsy. The commenter suggests that the second
sentence could be amended to read: ``An Attending Veterinarian of the
affected Horse should never perform the necropsy.''
Rule 2170 has been significantly revised and the language of
concern has been struck altogether.
18. One commenter stated that it is not practical for Jockeys to
complete 2 hours of continuing education before each meet.
Under the Authority's proposed modifications to Rule 2182, Jockeys
will need to complete just 2 hours of continuing education each year.
Thus, the concerns raised in this comment have been addressed.
19. Commenters made the following significant comments regarding
Rule 2182: (i) the burden to create training content should not fall on
the State racing commissions; (ii) continuing education specific to
racetrack regulatory and racetrack practice is not consistently offered
and available; (iii) the rule requires grooms to complete continuing
education offered in English and Spanish and asked whether it is a
violation of the rule if a groom completes a training that is only
available in English, or only available in Spanish; (iv) bilingual
continuing education be available for trainers and outriders; and (v)
asked who is responsible for arranging and administering the continuing
education.
It is important to note that any role for a State Racing Commission
in the continuing education rule is subject to the State Racing
Commission entering into an agreement with the Authority. In response
to (i), (ii), and (v), the Authority states that Rule 2182 requires the
State Racing Commission to identify existing, or provide locally,
training opportunities for the individuals referenced in Rule 2182(b).
The State Racing Commissions are not required to create content to
comply with this Rule. The Authority is currently developing a process
for approval of continuing education content. Regarding (iii), the
Authority states that it would not be a violation of Rule 2182 for a
groom to complete training that is only available in English or only
available in Spanish. Finally, in response to (iv), the Authority
states that bilingual continuing education will be made available for
trainers and outsiders.
20. One commenter stated that all racing officials and licensees in
positions that allow them to affect the outcome of a race or diminish
the conditions of safety or decorum should also be subject to drug and
alcohol regulations.
The Racetrack Safety Committee recognizes the Jockey's uniquely
hazardous role in horseracing and feels strongly that a testing program
for drug and alcohol use for Jockeys is critical to increasing safety
during training and racing. The expansion of testing to include
Starting Gate Persons is currently being proposed by the Authority in
Rule 2191. The Racetrack Safety Committee will consider adding
additional categories of Covered Persons to this rule in the future.
21. The commenter stated that the rule [2193] should include a
requirement that the Racetrack shall have an actual copy of the policy
on file with the Commission and send a copy to the Guild at least 10
days prior to the start of the meet. The commenter also stated that the
rule should also require that any changes to the policy and/or carrier
must be provided to all
[[Page 24602]]
concerned parties in writing prior to the changes being implemented.
The Racetrack Safety Committee considered these comments from the
Jockeys' Guild and has proposed modifications to this rule to require
insurance coverage to be in place for all training and racing
activities and a copy of the current policy's declaration page to be
posted in the Jockeys' quarters prior to the beginning of the racing
season.
22. One commenter stated that the rule [2230] should require an
onsite central pharmacy at each racetrack to control and monitor
medication use and to prevent abuse.
The Racetrack Safety Committee believes this issue deserves further
study but did not believe such a rule was ripe for adoption at this
time.
23. One commenter suggested the following changes to Rule 2230:
first, in (a) after the phrase ``. . . care, custody and control'',
delete ``at locations under the jurisdiction of the State Racing
Commission''; second, change (g) to read: ``. . . that person must
request permission of the stewards or the State Racing Commissioning in
writing'' and delete the word ``may''; and third, add language to (e)
to allow the Regulatory Vet (as well as the commission) to approve the
use of these items.
The Racetrack Safety Committee considered all of these comments and
is proposing modifications consistent with the first two suggested
revisions noted in this comment.
24. One commenter suggested that the Safety Director be removed
from the list of persons in Rule 2240(d) who may require diagnostic
testing for any Horse placed on the Veterinarian's List.
In recognition of this comment, the Authority is recommending
removing the Safety Director from the list of persons authorized to
require veterinary diagnostics be performed.
25. One commenter was opposed to the practice of placing a horse
treated with shock-wave therapy on the Veterinarians' List for 30 days.
The commenter recommended placing horses on the List for only 10 days,
stating that a 10-day period is sufficient to safeguard the welfare of
the horse.
The Racetrack Safety Committee carefully considered industry input
and has proposed an amendment to the prohibition on Workouts from 30
days to 14 days. This permits the horse to continue in light training
during the course of therapy. The Committee opted not to amend the 30-
day prohibition on racing.
26. One commenter stated that Rule 2242 should require a post-work
blood test for unsound horses and those horses placed on the
Veterinarians' List for a positive test.
In recognition of this comment, the Authority has added the
requirement for a post-Workout blood test for horses placed on the
Veterinarians' List as unsound, having experienced Epistaxis, not
having started in more than 365 days, and unraced horses after January
1st of their 4-year-old year. (The provision has been renumbered and
may be found at 2242(b)(6)). The language placing horses on the
Veterinarians' List for a ``positive test'' has been struck from the
safety rules.
27. One commenter believed that ``individual Horse risk factors''
in Rule 2142(b) was too subjective in identifying the risk factors and
suggested that language be added to identify the risk factors to ensure
compliance with the rules.
Individual horse risk factors, while inclusive of horse age and
sex, will expand as data are collected and analyzed to identify
additional individual horse factors. Consequently, an explicit
statement of all individual horse risk factors would preclude useful
assessment. However, individual horse risk factors will be considered
for revision in future rule modifications as data and analysis dictate.
28. One commenter suggested that sections (a) and (b) [of Rule
2253] be amended to state ``. . . maintain the information for the
previous 30 days and make available to the Regulatory Veterinarian
within 1 hour of request.''
Because of the importance of this information, the proposed rule
eliminates the time restriction of 30 days. The Racetrack Safety
Committee did not propose a time requirement be adopted for production.
29. A commenter noted that not all horses vanned off are unsound
[Rule 2262].
In recognition of this comment, the revised rule specifies
categories of Veterinarians' List placement that trigger the voiding of
the claim. The provision has been renumbered and now appears at
2262(e)(2).
30. Several commenters noted that the definition of claiming races
varies between states and these commenters believe that a standard
definition is needed.
See the Authority's response to question no. 3 herein.
31. In response to comments on ``Prohibited Practices'' (Rule
2271), the Authority noted that, while Rule 2271 is appropriate as
written, the phrase ``or a counter-irritant effect'' will be the
subject of future study by the Racetrack Safety Committee, and if
necessary future rule modifications will be considered.
Rule 2271 is the subject of extensive revision. Language has been
added to make clear that a ``counter irritant effect'' is only
prohibited if it is produced via injection of a substance, not
topically. (The provision has been renumbered and now appears at
2271(a)(7)).
32. One commenter suggested that the term ``workout'' should be
substituted for the use of the undefined term ``breeze'' in section
(a)(3).
The term ``breeze'' has been deleted where it previously appeared
in the safety rules and has been replaced by the defined term
``Workout.''
33. One commenter stated that section (a)(1) requires disclosure 48
hours prior to use, while (a)(2) requires disclosure within 48 hours of
treatment. The commenter suggests requiring the disclosure of shock
wave therapy at any time prior to use and notes that veterinarians
often do not know that shock wave treatment will be necessary 48 hours
in advance of the treatment.
Non-enforcement of the 48-hour pre-treatment notification
requirement was the subject of an announcement dated December 21, 2022.
The elimination of the provision is codified in these proposed rules.
34. One commenter suggested that Rule 2273 could be interpreted to
prohibit outriders and pony riders from using spurs.
A horse being utilized by an outrider or a pony rider is unlikely
to be a Covered Horse. Therefore, the Authority does not believe
further modifications are necessary in response to this comment.
35. One commenter asked what license or registration would be
suspended under Rule 2274.
This rule is modified to impose restrictions upon registration with
the Authority as the penalty for violations of Rule 2273. The
modification deletes the reference to loss of eligibility ``to obtain a
racing license in all racing jurisdictions.'' The change is made
because restrictions upon registration with the Authority are more
appropriate penalties imposed by the Authority.
36. One commenter stated that ``communication device'' should be
defined in Rule 2275.
The Racetrack Safety Committee proposed new language to the rule
that further prohibits any audio device that ``. . . obstructs or
impairs the Rider's ability to hear other horses, Riders, hazards, . .
.''. The Authority feels that these changes assist in defining
``communication device''.
[[Page 24603]]
37. The commenters submitted a wide range of comments on Rule 2280.
PETA and the Animal Welfare Institute stated that crop use should be
banned. The CHRB, NJRC, Senator Feinstein and the Humane Society stated
that the overhand use of the riding crop should be prohibited. The
Jockeys' Guild submitted over four pages of comments and urged that
more permissive riding crop rules should be implemented.
There has been heated debate about use of the riding crop for
encouragement. The comments previously posted to the Federal Register
are consistent with the comments the Authority has received throughout
the development of the Racetrack Safety Rule. Some believe the new
crops do not hurt the horse at all, while others remain concerned about
the public perception of crop use. The Racetrack Safety Committee has
carefully considered all of these comments in developing the rule. The
rule permits use of the riding crop for the safety of the horse and
Jockey, but prohibits excessive use of the crop by limiting the number
of times the crop can be used during a race for encouragement. This
compromise, as embodied in the rule, will establish a uniform standard
across racing jurisdictions that is in the best interest of the horses,
horsemen, the owners, the Jockeys, the betting public, racing
commissions, and the general public. Jockeys will benefit from a single
uniform rule in all jurisdictions to which they can adapt their usage.
It is also important to note that the proposed rule is more restrictive
than the rules currently in place in numerous jurisdictions.
A modification has been made to Rule 2280, Use of the Riding Crop,
making clear that crop strikes to the shoulder of the horse are counted
in the total allowable strikes. Additionally, the penalties for misuse
of the crop have been structured to be more punitive as the level of
purses increases.
38. One commenter asked the Authority review section (c) of Rule
2281 to ensure that the rule does not refer to a crop specific to one
brand or vendor. The description of a ``smooth cylinder'' crop appears
to refer to a specific brand and the commenter opposes allowing one
vendor to have a monopoly on crop sales. One commenter stated that the
rule refers to a specific style and brand of crop and argues that none
of the crops used at Indiana Grand last year would be permitted under
the rule. Another commenter requested that the rule allow the use of
cushioned, shock absorbing and/or the cylinder popper.
The Racetrack Safety Committee has determined that the crop
specifications should be defined to prevent the use of crops that have
features likely to injure the horse. The rule is largely based on the
ARCI Model Rules and the NTRA Safety and Integrity guidelines with
modifications to ``soften'' the end of the crop that contacts the
horse. The Authority is proposing modification to this rule to include
a wider range of allowable crops. In addition to ``smooth cylinder''
crops, ``padded flat'' crops are allowed. To date, 6 ``smooth
cylinder'' crops have been approved by the Racetrack Safety Committee
for use as well as 1 ``padded flat'' crop.
39. One commenter asked regarding Rule 2282: ``if a horse is
disqualified from purse earnings under either (b)(2) or (b)(3), how is
it possible to also forfeit a percentage of the Jockey's portion of the
purse?'' Another commenter asked whether the suspension days are
calendar or racing days. One commenter noted that the rule fails to
specify penalties for violations other than exceeding the number of
strikes.
The Authority is proposing modifications to Rule 2282 to clarify
the forfeiture of a percentage of the Jockey's portion of the purse
when the horse is disqualified. The 8000 Rule Series provides for
Stewards to address crop violations other than exceeding the number of
strikes.
40. One commenter stated that a protocol was needed to share
concussion information across racetracks. Another recommended that the
Racetrack Safety Committee review New York's licensing requirements and
rider medical fitness for incorporation into the rules. One commenter
expressed the opinion that the rule should address exercise riders. One
commenter urged the Authority to create a banned substance list.
Another commenter noted that the rule does not contain a protocol for
weight practices.
The Authority has received several comments regarding cross-track
concussion reporting for Jockeys. The Authority agrees and this is
being undertaken by the Authority as part of the partnership with the
Authority's electronic platform designated for collection and storage
of Jockey eligibility documentation. As for the other issues raised in
this comment, the Authority states that this rule is being modified to
make more explicit the requirements for the physical examination and
baseline concussion test required of Jockeys on an annual basis. The
modified rule will serve to specify the concussion assessment tools
applicable to the baseline concussion test. New provisions are added by
the modified rule that require Jockeys to submit to the Authority
documentation concerning fitness to ride, physical examination and the
concussion test.
41. The commenter expressed support for the requirement in Rule
2292 that medical information cards be attached to the rider's vest.
The commenter urged that a centralized database be developed and
utilized.
Rule 2292 will now require all Riders to securely attach to the
Rider's safety vest one or more medical information cards describing
the Rider's medical history and any conditions pertinent to emergency
care, including a listing of any previous injuries, drug allergies and
current medications.
IV. Legal Authority
This rule is proposed by the Authority for approval or disapproval
by the Commission under 15 U.S.C. 3053(c)(1).
V. Date of Effectiveness
If approved by the Commission, this proposed rule will take effect
on July 8, 2024.
VI. Request for Comments
Members of the public are invited to comment on the Authority's
proposed rule. The Commission requests that factual data on which the
comments are based be submitted with the comments. The supporting
documentation referred to in the Authority's filing are available for
public inspection on the docket for this matter at https://www.regulations.gov.
The Commission seeks comments that address the decisional criteria
provided by the Act. The Act gives the Commission two criteria against
which to measure proposed rules and rule modifications: ``The
Commission shall approve a proposed rule or modification if the
Commission finds that the proposed rule or modification is consistent
with--(A) this chapter; and (B) applicable rules approved by the
Commission.'' \143\ In other words, the Commission will evaluate the
proposed rule for its consistency with the specific requirements,
factors, standards, or considerations in the text of the Act as well as
the Commission's procedural rule.
---------------------------------------------------------------------------
\143\ 15 U.S.C. 3053(c)(2).
---------------------------------------------------------------------------
Although the Commission evaluates the Authority's proposed rule for
its consistency with the Act and the Commission's procedural rule, the
Commission may consider broader questions--about the health and safety
of horses and jockeys, the integrity of horseraces and wagering on
horseraces, and the administration of the Authority
[[Page 24604]]
itself--in another context: ``The Commission . . . may abrogate, add
to, and modify the rules of the Authority promulgated in accordance
with this chapter as the Commission finds necessary or appropriate to
ensure the fair administration of the Authority, to conform the rules
of the Authority to requirements of this chapter and applicable rules
approved by the Commission, or otherwise in furtherance of the purposes
of this chapter.'' \144\ The Commission may exercise this rulemaking
power on its own initiative or in response to a petition from a member
from the public. If members of the public wish to provide comments to
the Commission about its use of the rulemaking power, they are
encouraged to submit a petition requesting that the Commission issue a
rule addressing the subject of interest. The petition must meet all the
criteria established in the Rules of Practice (part 1, subpart D);
\145\ if it does, the petition will be published in the Federal
Register for public comment. In particular, the petition for a
rulemaking must ``identify the problem the requested action is intended
to address and explain why the requested action is necessary to address
the problem.'' \146\
---------------------------------------------------------------------------
\144\ 15 U.S.C. 3053(e) (as amended by the Consolidated
Appropriations Act, 2023, H.R. 2617, 117th Cong., Division O, Title
VII (2022)).
\145\ 16 CFR 1.31; see FTC, Procedures for Responding to
Petitions for Rulemaking, 86 FR 59851 (Oct. 29, 2021).
\146\ 16 CFR 1.31(b)(3).
---------------------------------------------------------------------------
VII. Comment Submissions
You can file a comment online or on paper. For the Commission to
consider your comment, we must receive it on or before April 22, 2024.
Write ``HISA Racetrack Safety Rule Modification'' on your comment. Your
comment--including your name and your State--will be placed on the
public record of this proceeding, including the https://www.regulations.gov website.
Postal mail addressed to the Commission is subject to delay due to
heightened security screening. As a result, we strongly encourage you
to submit your comments online. To make sure the Commission considers
your online comment, you must file it at https://www.regulations.gov,
by following the instructions on the web-based form.
If you file your comment on paper, write ``HISA Racetrack Safety
Rule Modification'' on your comment and on the envelope, and mail your
comment to the following address: Federal Trade Commission, Office of
the Secretary, 600 Pennsylvania Avenue NW, Mail Stop H-144 (Annex H),
Washington, DC 20580. If possible, please submit your paper comment to
the Commission by overnight service.
Because your comment will be placed on the public record, you are
solely responsible for making sure that your comment does not include
any sensitive or confidential information. In particular, your comment
should not contain sensitive personal information, such as your or
anyone else's Social Security number; date of birth; driver's license
number or other State identification number or foreign country
equivalent; passport number; financial account number; or credit or
debit card number. You are also solely responsible for making sure your
comment does not include any sensitive health information, such as
medical records or other individually identifiable health information.
In addition, your comment should not include any ``[t]rade secret or
any commercial or financial information which . . . is privileged or
confidential''--as provided in section 6(f) of the FTC Act, 15 U.S.C.
46(f), and FTC Rule 4.10(a)(2), 16 CFR 4.10(a)(2)--including, in
particular, competitively sensitive information such as costs, sales
statistics, inventories, formulas, patterns, devices, manufacturing
processes, or customer names.
Comments containing material for which confidential treatment is
requested must be filed in paper form, must be clearly labeled
``Confidential,'' and must comply with FTC Rule 4.9(c), 16 CFR 4.9(c).
In particular, the written request for confidential treatment that
accompanies the comment must include the factual and legal basis for
the request and must identify the specific portions of the comment to
be withheld from the public record. See FTC Rule 4.9(c). Your comment
will be kept confidential only if the General Counsel grants your
request in accordance with the law and the public interest. Once your
comment has been posted publicly at https://www.regulations.gov--as
legally required by FTC Rule 4.9(b), 16 CFR 4.9(b)--we cannot redact or
remove your comment, unless you submit a confidentiality request that
meets the requirements for such treatment under FTC Rule 4.9(c), and
the General Counsel grants that request.
Visit the FTC website to read this document and any news release
describing it. The FTC Act and other laws that the Commission
administers permit the collection of public comments to consider and
use in this proceeding as appropriate. The Commission will consider all
timely and responsive public comments it receives on or before April
22, 2024. For information on the Commission's privacy policy, including
routine uses permitted by the Privacy Act, see https://www.ftc.gov/siteinformation/privacypolicy.
VIII. Communications by Outside Parties to the Commissioners or Their
Advisors
Written communications and summaries or transcripts of oral
communications respecting the merits of this proceeding, from any
outside party to any Commissioner or Commissioner's advisor, will be
placed on the public record. See 16 CFR 1.26(b)(5).
IX. Self-Regulatory Organization's Proposed Rule Language
The following language reflects the Racetrack Safety Rule with the
proposed modifications incorporated. A redline version that shows every
way in which the previously approved Racetrack Safety Rule would be
modified by the proposed rule modification is available as Exhibit B on
the docket at https://www.regulations.gov.
[insert new clean rule text]
Rule 2000 Series--Racetrack Safety Program
2010 Definitions
2015 Racehorse Epidemiology Database and Study
2100 Racetrack Accreditation
2110 Accreditation Process
2120 Accreditation Requirements
2130 Required Safety
2140 Racehorse Inspections and Monitoring
2150 Racetrack and Racing Surface Monitoring and Maintenance
2160 Emergency Preparedness
2170 Necropsies
2180 Safety Training and Continuing Education
2190 Jockey Health
2200 Specific Rules and Requirements of Racetrack Safety Program
2210 Purpose and Scope
2220 Attending Veterinarian
2230 Treatment Restrictions
2240 Veterinarians' List
2250 Racehorse Treatment History and Records
2260 Claiming Races
2270 Prohibited Practices and Requirements for Safety and Health of
Horses
2280 Use of Riding Crop
2290 Requirements for Safety and Health of Jockeys
2010. Definitions
When used in the Rule 2000 Series:
Act shall have the meaning set forth in Rule 1020.
Adverse Analytical Finding shall have the meaning set forth in Rule
1020.
Association Veterinarian shall have the meaning set forth in Rule
1020.
Attending Veterinarian shall have the meaning set forth in Rule
1020.
[[Page 24605]]
Authority shall have the meaning set forth in Rule 1020.
Catastrophic Injury means an Equine Injury that resulted in death
or euthanasia of a Covered Horse within 72 hours of injury.
Claim shall have the meaning set forth in Rule 1020.
Claiming Race shall have the meaning set forth in Rule 1020.
Commission shall have the meaning set forth in Rule 1020.
Concussion means an injury to the brain that results in temporary
loss of normal brain function.
Covered Horse shall have the meaning set forth in Rule 1020.
Covered Horserace or Race shall have the meaning set forth in Rule
1020.
Covered Person shall have the meaning set forth in Rule 1020.
Designated Equine Facility means an equine facility designated by a
Racetrack in accordance with the procedures established in Rule 2144,
whose biosecurity protocols are consistent with those of the Racetrack,
and from which the Racetrack will accept horses onto its grounds with a
valid health certificate issued within the last 30 days or in a shorter
period of time if high risk situations dictate.
Designated Owner shall have the meaning set forth in Rule 1020.
Epistaxis means that blood from one or both nostrils of a Covered
Horse has been observed after exercise, attributable to an episode of
exercise induced pulmonary hemorrhage.
Equine Injury means an injury to a Covered Horse that occurred
during racing or training for which intervention by the Regulatory
Veterinarian or reporting by the Safety Director pursuant to Rule 2131
is required, and for which an injury report must be submitted pursuant
to the Rule 2000 Series.
Equine Mortality means a fatality of a Covered Horse that is not
attributable to a Catastrophic Injury.
Exercise Rider means a rider of a Covered Horse during a training
activity that is not a Covered Horserace.
Farrier means a farrier (or horseshoer, plater or blacksmith) who
provides all aspects of hoof care or orthotic services to Covered
Horses, including trimming and/or the application of various orthotics
to the hoof.
Groom means a Covered Person who is engaged by a Responsible Person
to assist in the daily physical care of Covered Horses.
Horseshoe Inspector means a person (for example, a paddock farrier)
employed, contracted, or appointed by a State Racing Commission,
Racetrack, or the Authority, who has been trained in, and is
responsible for, inspecting horseshoes or other orthotics on hooves of
Covered Horses.
Human Injury means an injury to a Covered Person that requires
medical attention and, as a result, may restrict a Covered Person's
current or future participation or employment in racing, and for which
an injury report must be submitted.
Jockey means a rider licensed in any state and registered with the
Authority to ride a Covered Horse in a Covered Horserace.
Layoff Report means a report completed in a manner prescribed by
the Authority and submitted by the Trainer or Trainer's designee for a
Covered Horse that has not raced in a Covered Horserace for 150
consecutive days or more. The Layoff Report shall include, at a
minimum, information regarding all examinations, medical treatments,
surgical treatments, and exercise history of the Covered Horse during
the layoff period.
Lead Veterinarian means any Veterinarian appointed pursuant to Rule
2134(c).
Medical Director means an individual designated as Medical Director
in accordance with the provisions of Rule 2132.
Outrider means a rider employed or contracted by the Racetrack who
oversees and assists with the safety of all Riders, Trainers, and
horses on the Racetrack.
Owner shall have the meaning set forth in Rule 1020.
Person shall have the meaning set forth in Rule 1020.
Pony Horse means a horse, including the Outrider's horse, that
accompanies a Covered Horse(s) during training or racing activities.
Prohibited List shall have the meaning set forth in Rule 1020.
Prohibited Methods shall have the meaning set forth in Rule 1020.
Prohibited Substance shall have the meaning set forth in Rule 1020.
Protocol shall have the meaning set forth in Rule 1020.
Race Day shall have the meaning set forth in Rule 1020.
Race Meet means the entire period granted by the State Racing
Commission to a Racetrack for the conduct of Covered Horseraces on the
Racetrack's premises.
Racetrack means an organization licensed by a State Racing
Commission to conduct Covered Horseraces.
Racetrack Risk Management Committee means the committee established
pursuant to Rule 2121.
Racetrack Safety Accreditation or Accreditation means the process
for achieving, and the issuance of, safety Accreditation to a Racetrack
in accordance with Rules 2100 through 2193.
Racetrack Safety Committee means the committee (or its delegate)
established pursuant to 15 U.S.C. 3052(c)(2).
Regulatory Veterinarian shall have the meaning set forth in Rule
1020.
Responsible Person shall have the meaning set forth in Rule 1020.
Rider means any person who is mounted on a Covered Horse or Pony
Horse on the Racetrack, including a Jockey.
ROAP means the Racing Officials Accreditation Program.
Safety Director means an individual designated as, and having the
responsibilities of, a Safety Director as set forth in Rule 2131.
Safety Officer means an individual designated as, and having the
responsibilities of, a Safety Officer as set forth in Rule 2136.
Safety Program Effective Date means July 1, 2022.
Shock Wave Therapy means extracorporeal shock wave therapy or
radial pulse wave therapy.
Starting Gate Person means any individual licensed as a starter,
assistant starter, or any individual who handles Covered Horses in the
starting gate.
State Racing Commission shall have the meaning set forth in Rule
1020.
Steward or Stewards shall have the meaning set forth in Rule 2133.
Timed and Reported Workout shall have the meaning set forth in Rule
1020.
Traction Device means any device that extends beyond the ground
surface of the horseshoe and includes but is not limited to inserts,
wear plates, rims, toe grabs, bends, jar calks, stickers, ice nails,
frost nails, and mud nails.
Trainer shall have the meaning set forth in Rule 1020.
Training Facility shall have the meaning set forth in Rule 1020.
Veterinarian shall have the meaning set forth in Rule 1020.
Notwithstanding any provision set forth in the Rule 9000 Series
(Registration Rules), a Veterinarian who provides veterinarian services
to Covered Horses shall register with the Authority.
Veterinarians' List means a list maintained, or approved for use,
by the Authority of all Covered Horses that are determined to be
ineligible to compete in a Covered Horserace in any jurisdiction until
released by a Regulatory Veterinarian.
Vets' List Workout shall have the meaning set forth in Rule 1020.
Workout shall have the meaning set forth in Rule 1020.
[[Page 24606]]
2015. Racehorse Epidemiology Database and Study
(a) The Authority, in consultation with the Commission, shall
develop and maintain a nationwide database of Covered Horse safety,
performance, health, and injury information.
(b) The database shall consist of information from the following
sources:
(1) Post-inspection reports developed by the Racetrack Safety
Committee pursuant to Rule 2112, and all information and documentation
submitted by Racetracks and obtained from other sources that relate to
the post-inspection reports requested by the Authority pursuant to Rule
2112.
(2) Annual Racetrack Safety Accreditation Audits and any supporting
documentation submitted by Racetracks to the Authority pursuant to Rule
2115(b).
(3) End of meet reports submitted by Racetracks to the Authority
pursuant to Rule 2115(g).
(4) End of Race Meet Reports submitted by the Racetrack Risk
Management Committees to the Authority pursuant to Rule 22121(c)(8).
(5) Risk management and injury prevention programs and protocols
developed by the Racetrack Risk Management Committees and submitted to
the Authority pursuant to Rule 2131.
(6) The names of all Covered Horses that suffer an injury requiring
equine ambulance assistance, are euthanized, or which otherwise die, as
submitted to the Racetrack's Risk Management Committee and the
Authority by the Safety Director pursuant to Rule 22131(c)(8).
(7) The names of all Covered Horses euthanized, or which otherwise
die at a race meeting, as submitted to the Authority by Regulatory
Veterinarians pursuant to Rule 2135(a)(9).
(8) Reports summarizing the results of pre-Race inspection and
submitted to the Authority by Regulatory Veterinarians pursuant to Rule
22142(c)(3).
(9) Post-race inspection findings documented to the Authority by
Regulatory Veterinarians pursuant to Rule 2142(d)(1).
(10) Information documented to the Authority by Regulatory
Veterinarians pursuant to Rule 2142(d)(2) concerning any observed skin
lacerations, swellings, or welts resulting from crop use.
(11) Information reported to the Authority by Regulatory
Veterinarians concerning Covered Horses observed during training
pursuant to Rule 2142(e).
(12) Information concerning Racehorse Monitoring submitted by
Racetracks to the Authority pursuant to Rule 2143.
(13) Racetrack design records, racing and training surface
maintenance records, surface material tests, and daily tests data
submitted by Racetracks to the Authority pursuant to Rule 2151(b).
(14) Racetrack surface monitoring logs and documentation required
to be submitted by Racetracks to the Authority pursuant to Rule 2154.
(15) Information concerning infectious disease management submitted
to the Authority pursuant to Rule 2165.
(16) Information concerning Rider injuries collected by Racetracks
and submitted to the Authority pursuant to Rule 2167.
(17) Necropsies and any related information findings that are
required to be submitted to the Authority pursuant to Rule 2170.
(18) Any information concerning Jockey concussion management
required to be submitted to the Authority pursuant to Rule 2192.
(19) Covered Horse treatment records required to be submitted to
the Authority pursuant to Rule 2251.
(20) Records submitted to the Authority by Responsible Persons
pursuant to Rule 2252.
(21) Records, information, and data pertaining to Jockey Crop
violations.
(22) Records, information, and data pertaining to the basis for the
voiding of claims at Covered Racetracks.
(23) Any other records, information or data generated or obtained
by the Authority that is relevant to Covered Horse safety, performance,
health, and injury.
(c) Upon the written request of the Authority, a Racetrack shall
provide historical equine injury and fatality data for the previous 10
years from the date of the request. Such information may be included in
the national database at the discretion of the Authority.
(d) To the extent that records, information, or data are not
specifically required to be submitted under the rules of the Authority,
the Authority may require the production from Covered Persons of
records, information and data that are relevant to Covered Horse
safety, performance, health and injury.
(e) The Authority shall review the data received under this Rule to
conduct an epidemiological study pertaining to racehorse safety,
performance, health, and injury. Epidemiological studies may be
conducted on a periodic basis as deemed appropriate by the Authority.
2100. Racetrack Accreditation
2101. General
(a) The Racetrack Safety Committee and the Authority shall oversee
Racetrack Safety Accreditation in accordance with the provisions of
Rules 2100 through 2193.
(b) All Racetracks shall meet the requirements of Racetrack Safety
Accreditation with the Racetrack Safety Committee in accordance with
the provisions of Rules 2100 through 2193.
2110. Accreditation Process
2111. Interim and Provisional Accreditation
(a) Interim Accreditation.
(1) A Racetrack that is accredited by the National Thoroughbred
Racing Association as of the Safety Program Effective Date shall be
granted interim Racetrack Safety Accreditation, which shall be
effective until the later of:
(i) such time as the Racetrack Safety Committee completes an
Accreditation assessment under Rule 2112 with respect to such
Racetrack; or
(ii) the time period established by the Authority under Rule
2114(a).
(b) Provisional Accreditation.
(1) A Racetrack that is not accredited by the National Thoroughbred
Racing Association as of the Safety Program Effective Date shall be
granted provisional Racetrack Safety Accreditation, which shall be
effective until the later of:
(i) such time as the Racetrack Safety Committee completes an
Accreditation assessment under Rule 2112 with respect to such
Racetrack; or
(ii) the time period established by the Authority under Rule
2114(b).
(2) The Authority may at any time upon reasonable notice require a
Racetrack with provisional Racetrack Safety Accreditation to report on
its progress toward achieving full Accreditation. The Authority may
request any additional information from the Racetrack that the
Authority deems necessary or relevant to an Accreditation determination
and may conduct unannounced on-site inspections at any time.
2112. Accreditation Assessment
(a) Upon the initiation of an Accreditation assessment by the
Racetrack Safety Committee, the subject Racetrack shall submit or
provide access to any relevant information and documentation requested
by the Racetrack Safety Committee. The Racetrack Safety Committee may
request additional information and documentation as the assessment
proceeds. The Racetrack Safety
[[Page 24607]]
Committee may at any time propound written questions or inquiries to
the Racetrack, to which the Racetrack shall respond in writing by the
deadline established by the Racetrack Safety Committee.
(b) After review of all information submitted by the Racetrack
under Rule 2112(a), the Racetrack Safety Committee shall conduct an on-
site inspection of the Racetrack. The Racetrack Safety Committee shall
then prepare a post-inspection report identifying any aspects of the
Racetrack's operations that are not in compliance with the requirements
of Rules 2100 through 2193.
(c) Within 30 calendar days of the Racetrack's receipt of the post-
inspection report under Rule 2112(b), the Racetrack shall respond in
writing to the Racetrack Safety Committee setting forth all actions to
be taken by the Racetrack to remedy the areas of non-compliance
identified in the post-inspection report, and the timeframes necessary
for implementation of such remedial actions.
(d) The Racetrack Safety Committee shall assess the Racetrack's
response and make a written recommendation to the Authority whether to
issue or deny Accreditation or provisional Accreditation of the
Racetrack. As a condition of Accreditation, the Racetrack Safety
Committee may require a Racetrack to take any remedial or other action
that is consistent with the Authority's safety rules and Accreditation
standards established in the Rule 2100 Series and Rule 2200 Series.
2113. Issuance of Accreditation
(a) The Authority shall determine whether a Racetrack is entitled
to Accreditation by evaluating compliance with the requirements set
forth in Rules 2100 through 2193.
(b) In determining whether to grant, renew, or deny Accreditation
to a Racetrack, the Authority shall review all information submitted by
the Racetrack and the Racetrack Safety Committee's recommendation.
2114. Effective Periods of Accreditation
(a) Accreditation.
(1) Subject to Rule 2114(a)(2), Accreditation shall be effective
for a period of 3 years.
(2) The Authority may modify the Accreditation period to a period
of 1 to 7 years if the Authority determines that such modified period
will be consistent with the requirements of Accreditation outlined in
Rules 2100 through 2193.
(b) Provisional Accreditation.
(1) Provisional Accreditation shall be effective for an initial
period of 1 year.
(2) Upon the expiration of the initial 1 year period referenced in
paragraph (1) above, provisional Accreditation may be extended for
additional 1 year periods if the Authority determines that the subject
Racetrack is continuing to undertake good faith efforts to comply with
the requirements of Rules 2100 through 2193 and achieve Accreditation.
2115. Racetrack Reporting
(a) All Racetracks under these Rules shall participate in ongoing
reporting and review to the Authority.
(b) All Racetracks shall, by December 31 of each calendar year,
submit to the Racetrack Safety Committee a completed Racetrack Safety
Accreditation Audit along with any supporting documentation required by
the Authority demonstrating efforts to comply with all Accreditation
requirements. The Audit shall be certified by an appropriate Racetrack
official who can attest to the truth and accuracy of the information in
the Audit.
(c) All Racetracks shall maintain on file with the Authority an
accurate list of names and contact information for key personnel within
their organization as designated by the Authority.
(d) All Racetracks shall authorize any third-party system provider
who collects or returns data related to a Covered Person, Covered
Horse, or Covered Horserace, to provide to the Authority, upon request,
any data submitted by the Racetrack that relates to a Covered Person,
Covered Horse, or Covered Horserace.
(e) All Racetracks shall authorize any video replay or video
service provider of Covered Horseraces to make available to the
Authority, upon request, unedited, high-resolution video replays of all
Covered Horseraces taking place at the Racetrack.
(f) The Authority may request from the Racetrack any information
and records that it deems necessary or relevant to an Accreditation
determination or a suspected violation of the Accreditation rules and
may conduct unannounced on-site inspections at any time.
(g) All Racetracks shall submit a report within 30 calendar days of
the end of each Race Meet in such form as the Authority may prescribe.
The report shall be certified by an appropriate Racetrack official who
can attest to the truth and accuracy of the information in the report.
2116. Suspension and Revocation of Accreditation
(a) An accredited Racetrack that is in material noncompliance with
the Accreditation requirements, after having received notice of the
noncompliance and been given a reasonable opportunity to remedy the
noncompliance, may have its Accreditation suspended by the Authority.
(b) In determining whether a Racetrack is in material noncompliance
with the Accreditation requirements, the Authority shall consider all
factors that it deems appropriate, including but not limited to the
factors established in Rule 8360(e)(1)-(5).
(c) A Racetrack that has been granted provisional or interim
Accreditation and that is in material noncompliance with the
Accreditation requirements, after having received notice of the
noncompliance and been given a reasonable opportunity to remedy the
noncompliance, may have its provisional or interim Accreditation
suspended by the Authority.
(d) Notwithstanding Rule 8360(b), a Racetrack under suspension
shall not conduct any Covered Horserace during the period of the
suspension.
(e) A suspended Racetrack that fails to remedy the noncompliance in
a reasonable time may have its Accreditation or provisional
Accreditation revoked by the Authority.
2117. Provisional Suspension of Racetrack Accreditation
(a) Provisional Suspension of Racetrack Accreditation
(1) If the Authority has reasonable grounds to believe that the
conditions or operations of a Racetrack present an imminent danger to
the health, safety, or welfare of Covered Horses or Riders arising from
specific violations by the Racetrack of the Authority's racetrack
safety or Accreditation rules, the Authority may issue to such
Racetrack a written notice to show cause concerning a potential
provisional suspension of the Racetrack's Accreditation, which notice
shall include:
(i) an itemization of the specific Authority's safety and
Accreditation rules which the Racetrack is believed to have violated,
and a summary of the conditions, practices, facts, or circumstances
which give rise to each apparent violation;
(ii) the corrective actions suggested to achieve compliance;
(iii) a request for a written response to the findings, including
commitments to suggested corrective action or the presentation of
mitigating or opposing facts and evidence; and
[[Page 24608]]
(iv) a statement that the Racetrack may, within 3 business days of
receipt of the show-cause notice, request a provisional hearing, which,
absent exceptional circumstances necessitating a reasonable delay of
the hearing, shall be conducted within 3 business days of receipt by
the Authority of the Racetrack's request for a provisional hearing. If
the Racetrack does not request a provisional hearing within 3 business
days of the Racetrack's receipt of the show-cause notice, the Authority
shall conduct a provisional hearing in accordance with Rule 2117(b).
(2) Nothing in the Authority's Rules shall preempt or otherwise
impair the authority of a State Racing Commission to suspend racing at
a Racetrack in accordance with its provisions of licensure.
(b) Provisional Hearing.
(1) A Racetrack that has received a show cause notice pursuant to
Rule 2117(a)(1)) is entitled to a provisional hearing to be conducted
by the Authority. The provisional hearing shall be conducted within 3
business days of receipt by the Authority of the Racetrack's request
for a provisional hearing. If the Racetrack does not request a
provisional hearing, the Authority shall conduct the provisional
hearing within 7 business days of the date the show-cause notice was
issued to the track pursuant to Rule 2117(a)(1). The provisional
hearing is not a full hearing on the merits, and the sole issue to be
determined at the provisional hearing shall be whether the Racetrack's
provisional suspension of Accreditation shall go into immediate effect
following the provisional hearing, be stayed pending a final hearing
under section (c) of this Rule 2117, or be withdrawn.
(2) The provisional hearing shall be conducted by a 3-person panel
consisting of 1 industry member of the Board, 1 independent member of
the Board, and 1 member of the Arbitral Body selected by the Chair of
the Board. The hearing may be conducted in person, or by means of an
audio-visual teleconferencing system or a telephone audio system. The
panel may submit any findings and make any recommendation to the Board
that the panel deems appropriate. The panel shall, as appropriate,
submit to the Board a record of the proceedings conducted under this
subsection (b)(2).
(3) At the provisional hearing, the burden is on the Authority to
demonstrate good cause why the provisional suspension of the
Racetrack's Accreditation should go into immediate effect, or be stayed
pending a final adjudication. The panel shall consider all factors that
it deems appropriate, including but not limited to the factors
established in Rule 8360(e)(1)-(5). Within 7 business days of the
conclusion of the hearing, the panel shall issue a written decision
determining whether the provisional suspension of the Racetrack's
Accreditation shall go into immediate effect, be stayed pending a final
adjudication, or be withdrawn. As a condition of issuing a stay of the
provisional suspension, the panel may require the Racetrack to comply
with additional safety standards or other requirements necessary to
address the specific violations by the Racetrack of the Authority's
safety or Accreditation rules.
(c) Final Hearing by the Board.
(1) A final hearing on the matters giving rise to the provisional
suspension shall be adjudicated by at least a quorum of the Board in
accordance with the procedures set forth in Rule 8340(d) through (j).
The 2 Board members that participated in the provisional hearing shall
not participate in the final hearing. If the Racetrack has requested a
final hearing, the final hearing shall be conducted by the Board within
14 calendar days of the request by the Racetrack for a final hearing,
absent exceptional circumstances which necessitate a reasonable delay
of the hearing. If the Racetrack does not request a final hearing
within 10 calendar days of the date of the written decision referenced
in subsection (b)(3), the Board shall schedule the final hearing. The
Board in its discretion may adopt any portion of the record submitted
to the Board by a panel under subsection (b)(2) of this Rule 2117.
(2) Within 7 business days of the conclusion of the final hearing,
the Board may take one or more of the following actions:
(i) order that the Racetrack's Accreditation be reinstated,
suspended, or revoked, upon a vote in favor of reinstatement,
suspension, or revocation by two-thirds of a quorum of the members of
the Board;
(ii) reinstate Accreditation subject to any requirements the Board
deems necessary to address the specific violations by the Racetrack of
the Authority's racetrack safety or Accreditation rules. The Board may
also impose a fine upon reinstatement in an amount not to exceed
$50,000.00. The Board may require the Racetrack to report at reasonably
prescribed intervals on the status of Racetrack safety operations and
remedial efforts to address specific violations by the Racetrack of the
Authority's Racetrack safety or Accreditation rules.
(3) The outcome of the final hearing shall be the final decision of
the Authority as that term is used in Rule 8350 and Rule 8370, and
shall constitute a final civil sanction subject to appeal and review in
accordance with the provisions of 15 U.S.C. 3058.
2120. Accreditation Requirements
2121. Racetrack Risk Management Committee
(a) General. The Racetracks in each State shall form a Racetrack
Risk Management Committee to review the circumstances around
fatalities, injuries, and Racetrack safety issues with the goal of
identifying possible contributing risk factors that can be mitigated.
(b) Composition.
(1) Subject to Rule 2121(b)(4), the Racetrack Risk Management
Committee shall include, at a minimum, the following:
(i) Regulatory Veterinarian;
(ii) Association Veterinarian;
(iii) Medical Director;
(iv) Safety Officer or Steward;
(v) Jockeys' representative;
(vi) Trainers' representative;
(vii) Owners' representative;
(viii) Racing secretary;
(ix) Racetrack superintendent; and
(x) Horseshoe Inspector.
(2) In any jurisdiction where the applicable State Racing
Commission enters into an agreement with the Authority to establish a
Regulatory Veterinarian(s), the Regulatory Veterinarian(s) identified
in the agreement shall chair the Racetrack Risk Management Committee.
In any jurisdiction where the applicable State Racing Commission does
not elect to enter into an agreement with the Authority to establish a
Regulatory Veterinarian(s), the Lead Veterinarian(s) established
pursuant to Rule 2134(c) shall chair the Racetrack Risk Management
Committee. The Racetrack Safety Committee may approve the Association
Veterinarian to serve as the chair of the Racetrack Risk Management
Committee in place of the Regulatory Veterinarian or Lead Veterinarian
if the Racetrack Safety Committee determines that the Association
Veterinarian is capable of performing the duties of the chair of the
Racetrack Risk Management Committee.
(3) If the Safety Director is not a committee member, the Safety
Director shall be an ex officio member of the Racetrack Risk Management
Committee.
(4) Subject to the written approval of the Racetrack Safety
Committee, a Racetrack may alter the composition of the Racetrack Risk
Management Committee.
[[Page 24609]]
(5) No individual may concurrently occupy 2 or more of the
positions established in Rule 2121(b)(1)(i)-(x) on the Racetrack Risk
Management Committee absent prior written approval of the Racetrack
Safety Committee.
(c) Responsibilities. The Racetrack Risk Management Committee
shall:
(1) Review all findings relative to Catastrophic Injuries and
Equine Mortalities. For each Catastrophic Injury and Equine Mortality,
the Racetrack Risk Management Committee shall:
(i) interview Trainers, Jockeys, Exercise Riders, and Attending
Veterinarians, and, when appropriate, Racetrack personnel and a
qualified human health provider;
(ii) examine past performances, Workouts, pre-race inspection
findings, necropsy examination findings, and Trainer and Veterinary
treatment records;
(iii) review Race or training video footage, if available;
(iv) review Racetrack surface conditions and weather information;
(v) convene a meeting with the connections of the Covered Horse and
other interested persons who may have information relevant to the
Catastrophic Injury or Equine Mortality, including, at a minimum, the
Regulatory Veterinarian, Trainer, Jockey, Rider, and Attending
Veterinarian, and others if applicable to:
(A) convey the findings of the review;
(B) acquire additional information useful for developing strategies
for injury prevention; and
(C) provide continuing education or continuing education
recommendations related to the cause of equine injury, if available, to
persons related to the applicable Covered Horse;
(vi) evaluate factors that may have contributed to injuries;
(vii) evaluate the effectiveness of protocols and procedures for
managing the equine injury scenario; and
(viii) develop strategies to mitigate identified factors that may
have contributed to the injury.
(2) Review all findings relative to Human Injuries. For each Human
Injury, the Racetrack Risk Management Committee shall:
(i) interview witnesses and other persons who may have information
relevant to the Human Injury;
(ii) evaluate factors that may have contributed to the Human
Injury;
(iii) develop strategies to mitigate risks or safety hazards that
may have contributed to the Human Injury; and
(iv) evaluate the effectiveness of protocols and procedures for
managing Human Injury occurrences.
(3) Consider Racetrack safety issues brought to the Racetrack Risk
Management Committee's attention;
(4) Summary review of all injuries and considerations to review
existing practices;
(5) Develop strategies to reduce or mitigate injury occurrences;
(6) Enhance the identification of Covered Horses or conditions for
which intervention is warranted;
(7) Enhance Racetrack safety for equine and human participants; and
(8) Prepare and submit a report in such form as the Authority may
prescribe that summarizes the findings of the Racetrack Risk Management
Committee under this paragraph (c) to the Authority within 60 calendar
days of the end of Race Meets that are fewer than 60 calendar days in
length or at least quarterly for Race Meets of 60 calendar days or
more, unless the Racetrack Safety Committee requires earlier
submission. The report shall be certified as true and accurate by the
chair of the Racetrack Risk Management Committee. The minutes from the
meeting(s) of the Racetrack Risk Management Committee shall be attached
as an exhibit to the report.
2130. Required Safety Personnel
2131. Safety Director
(a) The Safety Director shall oversee equine safety, Racetrack
safety, and risk management and injury prevention at each Racetrack in
accordance with the provisions of these rules. The Safety Director may
at the same time serve in the applicable jurisdiction as Safety
Officer. Subject to the approval of the Racetrack Safety Committee, the
Safety Director may be shared within and among jurisdictions.
(b) If the applicable State Racing Commission does not enter into
an agreement with the Authority, then the Racetracks in such
jurisdiction shall implement the requirements set forth in this Rule,
subject to the Racetrack Safety Committee's approval of the individual
named as Safety Director.
(c) The Safety Director shall:
(1) Create a culture of safety for Covered Horses, Riders, and
Racetrack personnel;
(2) Oversee all aspects of equine safety, Racetrack safety, and
safety of personnel working with Covered Horses by ensuring that all
activities and practices involving the training and racing of Covered
Horses at the track meet safety standards required by the Authority;
(3) Implement a risk management and injury prevention program under
the oversight of the Racetrack Risk Management Committee;
(4) Establish a formal protocol by which health, safety, and
welfare issues are reported, investigated, and resolved by the
Racetrack. The protocol shall address coordination between Racetrack
management, Veterinarians, safety stewards, and Stewards, so that all
persons involved have a clear understanding of their roles and further
action may be taken where appropriate;
(5) Provide guidance to all Covered Persons on safety issues;
(6) Maintain and annually review standard operating procedures and
protocols related to the safety of Covered Horses, Riders, and
Racetrack personnel;
(7) Coordinate and oversee emergency drills including equine
injury, starting gate malfunction, and hazardous weather;
(8) Report all equine injuries that required equine ambulance
assistance and fatalities to the Racetrack's Risk Management Committee
and the Authority within 72 hours of an injury, and within 24 hours of
a fatality; and
(9) Interact with the Authority concerning Racetrack Safety
Accreditation compliance.
2132. Medical Director
(a) The Medical Director shall oversee the care and organization of
the medical needs of Jockeys. The Medical Director shall be either a
licensed physician, a board-certified athletic trainer, or an
individual qualified to perform the duties and responsibilities set
forth in this Rule with the assistance of the Authority's National
Medical Director. Subject to the approval of the Racetrack Safety
Committee, the Medical Director may be shared within and among
jurisdictions.
(b) In any jurisdiction where the applicable State Racing
Commission does not elect to enter into an agreement with the Authority
to establish a Medical Director consistent with this Rule, the
Authority shall appoint and employ a Medical Director to serve as
Medical Director in that jurisdiction. The Racetracks in the applicable
jurisdiction shall reimburse the Authority for all costs associated
with the employment of the Medical Director. Such reimbursement shall
be shared by the Racetracks in such jurisdiction.
(c) The Medical Director (or their designees) shall:
(1) identify professional medical providers and referral networks
that are licensed and certified to oversee Racetrack emergency
services, which may include hospital affiliations, nursing staff, EMT
service and paramedics, internists, surgeons, family
[[Page 24610]]
practitioners, dentists, athletic trainers, or psychiatrists;
(2) make medical provider contact information readily available for
ease of communication and immediate coordination of care for any
medical event;
(3) require notification of Human Injuries during racing or
training to the Authority's National Medical Director within 1 hour of
transport of the individual(s) from the scene of the injury;
(4) require reporting of Human Injuries to the Racetrack's
Racetrack Risk Management Committee and the Authority within 24 hours
of injury;
(5) coordinate and oversee a plan for on-site medical care,
including provisions for emergency medical facilities and staffing;
(6) implement an emergency drill for a Jockey injury;
(7) coordinate and oversee a comprehensive plan for transportation
of an injured Jockey to the nearest Trauma Level One or Two facility;
(8) coordinate and oversee a plan for transportation of injured
Covered Persons to medical care providers;
(9) ensure compliance with mandatory annual Jockey physical
examination requirements to indicate readiness to ride for Jockeys;
(10) exercise oversight of medical standards, including the minimum
criteria for riding fitness;
(11) develop and implement a process for certifying a Jockey's
fitness to resume riding after any incident at the Racetrack that may
impair the Jockey's reflexes, decision-making or ability to maintain
control of a Covered Horse in a race;
(12) implement the program for Concussion evaluation, Jockey
exclusion and clearance, and return to ride protocol;
(13) develop in writing, subject to annual review and revision as
necessary, the Racetrack's Emergency Action Plan, which shall provide
for rapid response to the medical needs of Covered Persons at the
Racetrack;
(14) work with local, State, and Federal regulators to standardize
the approach and response to pandemic-related issues among Covered
Persons at the Racetrack; and
(15) coordinate with the Authority's National Medical Director.
2133. Stewards
(a) In States where the applicable State Racing Commission elects
to enter into an agreement with the Authority, the Stewards, in
addition to their duties under State law, shall enforce the safety
regulations set forth in Rules 2200 through 2293.
(b) Unless the Authority determines that the applicable individual
is otherwise qualified, to qualify for appointment as a Steward, the
appointee shall meet the experience, education, and examination
requirements necessary to be accredited by ROAP.
(c) The requirements of Rule 2133 for any Steward employed by or
contracted with a State Racing Commission are subject to the applicable
State Racing Commission electing to enter into an agreement with the
Authority. If the applicable State Racing Commission does not enter
into such an agreement, the Racetracks in the jurisdiction shall
implement the requirements set forth in Rule 2133, subject to the
Racetrack Safety Committee's approval of the individual(s) named as
Steward(s) by the Racetracks. The Steward(s) named by the Racetracks
shall enforce only the safety regulations set forth in Rules 2200
through 2293. The Racetracks in the applicable jurisdiction shall
reimburse the Authority for any costs incurred by the Authority
associated with the Steward(s).
2134. Regulatory Veterinarian
(a) A Racetrack shall ensure that no fewer than 2 Regulatory
Veterinarians (as defined in Rule 1020) (excluding test barn
veterinarians) are present at the Racetrack during all live racing.
Upon a request and a showing of undue hardship by the Racetrack, the
Racetrack Safety Committee may permit a Racetrack to have 1 Regulatory
Veterinarian present at the Racetrack during all live racing.
(b) The Regulatory Veterinarian shall:
(1) subject to the provisions of Rule 2134(c), be employed,
contracted, or appointed by a State Racing Commission or the Authority,
who, in addition to other duties, is responsible for monitoring the
health and welfare of Covered Horses during Covered Horseraces;
(2) be licensed to practice in the state in which the Regulatory
Veterinarian is performing the duties established under this Rule, if
such licensing is required in the applicable jurisdiction;
(3) refuse employment or payment, directly or indirectly, while
employed as a Regulatory Veterinarian, from any Owner or Trainer of a
Covered Horse racing or intending to race in the jurisdiction;
(4) refrain from directly treating or prescribing medications for
any Covered Horse within the applicable jurisdiction except in cases of
emergency, accident, or injury; and
(5) be knowledgeable about identifying and stabilizing common
musculoskeletal injuries.
(c) In any jurisdiction where the applicable State Racing
Commission does not elect to enter into an agreement with the Authority
to establish a Regulatory Veterinarian(s) consistent with Rule 2134,
the Racetrack shall appoint a Veterinarian(s) to serve as the Lead
Veterinarian(s) in such jurisdiction or Racetrack, as the case may be.
In any jurisdiction where the applicable State Racing Commission does
elect to enter into an agreement with the Authority to establish a
Regulatory Veterinarian(s) consistent with Rule 2134, the Racetrack may
appoint a Veterinarian(s) to serve as the Lead Veterinarian(s) to
supplement the duties of the Regulatory Veterinarian(s) and to comply
with the requirements in Rule 2134(a). The appointment of the Lead
Veterinarian(s) is subject to the Racetrack Safety Committee's
approval. The Lead Veterinarian(s) shall perform all of the duties,
obligations and responsibilities of the Regulatory Veterinarian(s) as
specified in these Rules. The Racetracks in the applicable jurisdiction
shall reimburse the Authority for any costs incurred by the Authority
associated with the Lead Veterinarian(s).
2135. Responsibilities and Duties of Regulatory Veterinarian
(a) Regulatory Veterinarian(s) shall have the following
responsibilities and duties:
(1) conduct pre-race inspections on all potential starters on Race
Day;
(2) inspect any Covered Horse when there is a question as to the
physical condition of such Covered Horse independent of the Covered
Horse's entry status;
(3) be present in the paddock during saddling, at the Racetrack
during the post parade, and at the starting gate until the Covered
Horses are dispatched from the starting gate for the Race;
(4) perform post-Race observations;
(5) notify the Stewards of the scratch of any Covered Horse that
is, in the opinion of the Regulatory Veterinarian, injured, ill,
otherwise unable to compete due to a medical or health-related
condition, or that poses a hazard to other horses or racing
participants. The Stewards shall then scratch the Covered Horse from
the Race;
(6) inspect any Covered Horse which appears to be in physical
distress during the Race or upon completion of the Race;
(7) notwithstanding Rule 2220(a), provide emergency medical care to
Covered Horses injured while racing or
[[Page 24611]]
training and effect case transfer to the Attending Veterinarian;
(8) be authorized to euthanize, consistent with the current version
of the American Veterinary Medical Association Guidelines for the
Euthanasia of Animals, any Covered Horse deemed to be so seriously
injured that it is in the best interests of the Covered Horse to so
act;
(9) report to the Safety Director and the Authority within 24 hours
the names of all Covered Horses who are euthanized or which otherwise
die at the meeting and the reasons therefor;
(10) collaborate with the Safety Director, Chief Veterinarian of
the State Department of Agriculture (or comparable State government
official), Equine Disease Communication Center (EDCC), and other
regulatory agencies to take measures to control communicable or
reportable equine diseases; and
(11) remove a Covered Horse from the Veterinarians' List in
accordance with Rules 2241 and 2242.
(b) Regulatory Veterinarian(s) may:
(1) access any and all Covered Horses housed on Racetrack grounds
regardless of entry status;
(2) perform inspections of any Covered Horse at any time;
(3) observe Covered Horses during training activities and Workouts;
and
(4) place a Covered Horse on the Veterinarians' List.
(c) If the Regulatory Veterinarian and the Regulatory
Veterinarian's staff are unable to fulfill any of the duties described
in Rule 2135(a) and (b), such duties may be performed by an Association
Veterinarian. In such case, the Association Veterinarian shall be
responsible for adhering to and upholding the rules and regulations of
the Authority and the State Racing Commission. Notwithstanding anything
contained in the Rules of the Authority to the contrary, if after
consultation with the Regulatory Veterinarian, the Authority determines
that the Regulatory Veterinarian requires additional assistance to
perform the duties of the Regulatory Veterinarian as established in the
Authority's rules, the Authority may retain additional Veterinarians to
assist the Regulatory Veterinarian. The applicable Racetracks in the
applicable jurisdiction shall reimburse the Authority for all costs
associated with the employment of any additional Veterinarians retained
under this paragraph.
(d) In any jurisdiction where the applicable State Racing
Commission enters into an agreement with the Authority to establish a
Regulatory Veterinarian(s), the Regulatory Veterinarian(s) identified
in the agreement shall have authority over all Veterinarians within the
grounds of the Racetrack. In any jurisdiction where the applicable
State Racing Commission does not elect to enter into an agreement with
the Authority to establish a Regulatory Veterinarian(s), the Lead
Veterinarian(s) established pursuant to Rule 2134(c) shall have
authority over all Veterinarians within the grounds of the Racetrack.
The Regulatory Veterinarian(s) identified in the agreement shall review
and consult with the Stewards and State Racing Commission regarding the
State Racing Commission license applications of Attending
Veterinarians, veterinary technicians or assistants, vendors of medical
supplies and equipment, and non-Veterinarian equine health care
providers. The authority and responsibilities of the Regulatory
Veterinarian to review and consult with the Stewards and State Racing
Commission regarding license applications under this paragraph (d)
shall not be exercised by an Association Veterinarian or Lead
Veterinarian.
2136. Racetrack Safety Officer
(a) Each Racetrack shall have a Safety Officer to ensure that all
activities and practices involving the training and racing of Covered
Horses at the Racetrack meet required safety standards and regulatory
guidelines. The Safety Officer may also be a Steward.
(b) The Safety Officer or the Safety Officer's designee shall:
(1) monitor daily stable area activities and practices in the barn
area and on the Racetrack for compliance with the applicable State
Racing Commission safety regulations and the Rules of the Authority;
(2) conduct pre-Race Meet Racetrack safety inspections;
(3) monitor Outrider compliance with Racetrack rules during
training;
(4) monitor starting gate procedures;
(5) monitor ambulance and medical personnel protocols for Covered
Horses and Jockeys in cooperation with the Medical Director;
(6) assist Regulatory Veterinarians with follow-up on Covered
Horses barred from training or vanned off during training and racing;
(7) review ship-in and ship-out lists and undertake appropriate
investigations;
(8) conduct random HISA registration checks for Covered Persons in
the stable area;
(9) conduct random barn inspections to monitor safety and
regulatory compliance, including fire safety regulations;
(10) conduct random inspections to verify acceptable management,
equine husbandry, and veterinary practices;
(11) enforce fire safety rules in the stable area;
(12) serve as a member or ex officio member of the Racetrack Risk
Management Committee; and
(13) make recommendations to Racetrack management and racing
officials to ensure the safety and welfare of Covered Horses and
Jockeys, and compliance with applicable horse racing laws and
regulations.
2137. Horseshoe Inspector
(a) Racetracks, or State Racing Commissions where the applicable
State Racing Commission elects to enter into an agreement with the
Authority, shall employ or contract with a Horseshoe Inspector to
perform the duties and responsibilities established in Rule 2138.
(b) The Horseshoe Inspector shall:
(1) be licensed by the State Racing Commission if required in the
applicable jurisdiction;
(2) be knowledgeable of matters pertaining to hooves, horseshoes
and the rules of the Authority pertaining to Covered Horses and
horseshoes; and
(3) annually complete continuing education as required by Rule
2182(b)(15).
2138. Responsibilities and Duties of Horseshoe Inspector
(a) The Horseshoe Inspector shall have the following
responsibilities and duties:
(1) conduct inspections of horseshoes and other orthotics on all
Covered Horses entered in a Covered Race on Race Day; and
(2) notify the Stewards of any Covered Horse that is shod with
horseshoes that are not compliant with the Authority's rules.
(b) The Horseshoe Inspector, or any Farrier exercising the duties
of the Horseshoe Inspector as provided in Rule 2138(a), are authorized
to perform other inspections of horseshoes or other orthotics of any
Covered Horse by direction of a Steward.
2139. Horseshoe Inspections
(a) Pre-race Horseshoe inspection. Every Covered Horse entered to
participate in a Covered Horserace shall be inspected on Race Day by a
Horseshoe Inspector prior to starting in the Race.
(1) the Trainer of each Covered Horse or a representative of the
Trainer who is knowledgeable about the Covered Horse and able to
communicate with the Horseshoe Inspector must present the Covered Horse
for inspection.
[[Page 24612]]
(2) the Horseshoe Inspector's inspection of each Covered Horse
prior to participating in a Race shall include, at a minimum, the
following:
(i) identification of the Covered Horse; and
(ii) examination of the horseshoe or other orthotics and
documentation of any features relating to a violation of horseshoe
rules of the Authority.
(b) If, prior to starting a Race, the Horseshoe Inspector is unable
to make a determination, or determines that a Covered Horse is wearing
non-compliant horseshoes, the Horseshoe Inspector shall notify the
Stewards prior to the Covered Horse leaving the paddock.
2140. Racehorse Inspections and Monitoring
2141. Veterinary Inspections
(a) Veterinary inspections shall be performed by the Regulatory
Veterinarians on all Covered Horses entered in a Race. Such inspections
shall include the items listed in Rule 2142.
(b) If, prior to starting a Race, a Covered Horse is determined to
be unsound for competition, or if the Regulatory Veterinarian is unable
to make a determination of racing soundness, the Regulatory
Veterinarian shall notify the Stewards that the Covered Horse shall be
scratched. The Stewards shall then scratch the Covered Horse from the
Race.
2142. Assessment of Racing Soundness
(a) Post-layoff report. The Trainer or Trainer's designee of any
Covered Horse that has not raced for 150 or more days shall complete a
Layoff Report and submit it to the Authority prior to entry. Nothing in
this rule shall alter any state law requiring a post-layoff examination
of a Covered Horse.
(b) Post-entry screening. The Regulatory Veterinarian shall perform
post-entry screenings of previous pre-Race inspection findings of
entered Covered Horses to identify Covered Horses that may be at
increased risk for injury. The Regulatory Veterinarian shall review
past performances, lay-ups (more than 60 days without a Timed and
Reported Workout or Race), Layoff Reports, last 30 days medical
history, previous injury and lameness diagnostics, intra-articular
corticosteroid injections, previous surgery, and individual Covered
Horse risk factors. Additional physical inspection and observation in
motion may be performed by the Regulatory Veterinarian.
(c) Race Day veterinary inspection. Every Covered Horse entered to
participate in a Covered Horserace shall be inspected by a Regulatory
Veterinarian prior to starting in the Race for which it is entered on
Race Day.
(1) The Trainer of each Covered Horse or a representative of the
Trainer who is knowledgeable about the Covered Horse and able to
communicate with Regulatory Veterinarian(s) must present the Covered
Horse for inspection. Covered Horses presented for inspection must have
bandages removed, and the legs must be clean and dry. Covered Horses
may not be placed in ice until the Regulatory Veterinarian has
completed the veterinary inspection and no device or substance shall be
applied to the Covered Horse that impedes veterinary clinical
assessment on Race Day.
(2) The Regulatory Veterinarian's inspection of each Covered Horse
prior to participating in a Race shall include, at a minimum, the
following:
(i) identification of the Covered Horse;
(ii) ascertainment of the sex of the Covered Horse;
(iii) performance of an overall inspection of the entire Covered
Horse, assessing general appearance, behavior, disposition, posture,
and body condition;
(iv) observation of the Covered Horse jogging in hand, moving
toward and away from the Veterinarian so that both hind-end and front-
end motion can be evaluated;
(v) performance of a digital palpation on both distal forelimbs;
(vi) placement of the Covered Horse on the Veterinarians' List if
the Covered Horse does not jog sound or warm up to the Regulatory
Veterinarian's satisfaction;
(vii) visual observation in the paddock and saddling area, during
the parade to post, and at the starting gate; and
(viii) any other inspection deemed necessary by Regulatory
Veterinarian(s), including Jockey consultation for the Jockey's mount.
(3) A report summarizing the results of the Race Day inspection
under paragraph (c) shall be submitted to the Authority on the day of
the inspection.
(d) Post-race assessment. Post-Race visual observations shall be
performed by a Regulatory Veterinarian on all Covered Horses leaving
the Racetrack at the conclusion of every Race.
(1) If a Covered Horse is determined to have Epistaxis or to be
physically distressed, medically compromised, injured, or unsound at
any time before exiting the racetrack or leaving the Test Barn, the
Covered Horse shall be placed on the Veterinarians' List and the
Regulatory Veterinarian shall document post-race inspection findings to
the Authority.
(2) If a Covered Horse is determined to have skin lacerations,
swellings, or welts that resulted from crop use, the Stewards and
Attending Veterinarian shall be notified, and the information
documented to the Authority.
(e) Training. Regulatory Veterinarians may observe Covered Horses
during training activities. Covered Horses deemed physically
distressed, medically compromised, injured, or unsound shall be placed
on the Veterinarians' List and reported to the Authority.
2143. Racehorse Monitoring
(a) All Covered Horses and Pony Horses entering the Racetrack
grounds directly from any location or facility other than a Designated
Equine Facility or licensed racing facility within the same state as
the receiving Racetrack must have a current health certificate or other
health documentation sufficient for importation to the United States
and approved by the USDA-APHIS representatives. Required vaccinations
shall be current and recorded in the Covered Horse's or Pony Horse's
health record. These shall include:
(1) Certificate of veterinary inspection within the prior 5 days,
or fewer days if high risk situations dictate;
(2) EEE/WEE, WNV, rabies, and tetanus vaccinations within the last
365 days;
(3) Influenza and Rhinopneumonitis vaccinations within the prior
180 days, or fewer days if high risk situations dictate; and
(4) Negative equine infectious anemia (Coggins) test within the
last 365 days or in a shorter period of time if high risk situations
dictate.
(b) The applicable Racetrack shall maintain records that document
that the requirements of Rule 2143(a) have been satisfied for each
Covered Horse entering Racetrack grounds. Such records shall be subject
to inspection and audit by the Authority.
(c) Exemption for vaccination requirements. Covered Horses that are
imported to the United States to participate in a specific race or
races or to enter race training in the United States may, upon
application to the Authority, be exempted from the vaccination
requirements, with the exception of requirements for Influenza and
Rhinopneumonitis, for the following periods:
(1) if the Covered Horse is leaving the United States immediately
following the specific race or races, then for the period of USDA
temporary importation or transit to an approved USDA location, or
[[Page 24613]]
(2) if the Covered Horse is remaining in the United States, then
for the period of 14 days following the specific race or races, or from
arrival at a Racetrack, whichever is longer.
(d) Each Racetrack shall, upon request by the Authority, submit the
following information to the Authority with respect to each Covered
Horse on its grounds:
(1) Covered Horse identification;
(2) origin of Covered Horse;
(3) date of entry;
(4) verification of certificate of veterinary inspection; and
(5) verification of vaccinations.
(e) Each Racetrack shall, upon request by the Authority, submit the
following information to the Authority with respect to each Covered
Horse leaving its grounds:
(1) Covered Horse identification;
(2) intended destination;
(3) reason for departure;
(4) date of exit;
(5) vehicle license plate; and
(6) transporter.
(f) Covered Horses moving interstate must also meet the entry
requirements of the destination State, the State Racing Commission in
the destination State, and the individual Racetracks or Training
Facilities to which the Covered Horse is being shipped in the
destination State.
2144. Designated Equine Facility
(a) To qualify an equine facility as a Designated Equine Facility,
the applicable Racetrack shall certify to the Authority in such form as
the Authority may prescribe that it has reviewed and determined that
the biosecurity protocols and procedures of the Designated Equine
Facility are consistent with the biosecurity protocols and procedures
of the Racetrack.
(b) The applicable Racetrack shall maintain records that document
that the requirements of Rule 2144(a) have been satisfied for each
Designated Equine Facility, including but not limited to the written
biosecurity protocols and procedures of the Designated Equine Facility.
Such records shall be subject to inspection and audit by the Authority.
2150. Racetrack and Racing Surface Monitoring and Maintenance
2151. Data Collection, Recordkeeping and Submission
(a) Racetracks shall have data collection protocols in place to
assist in the proper and consistent maintenance of all racing and
training surfaces. Racing and training surface testing and maintenance
should be performed based on the Racetrack's written standard operating
procedures which are reviewed annually and updated as needed. The
Racetrack Safety Committee, or its designees, shall develop and
annually update a Racetrack Surface Standard Practices Document.
(b) All Racetrack design records, racing and training surface
maintenance records, surface material tests, and daily tests data shall
be recorded in a format acceptable to the Authority and shall be
submitted to the Authority. Any test results shall be submitted to the
Authority within 1 week of receipt of the test results.
2152. Testing Methods
Surface test methods and surface material test methods must be
documented and consistent with testing standards from internationally
recognized standards organizations including ASTM International,
American Society of Agricultural and Biological Engineers, or other
relevant international standards, and when possible for unpublished
standards, methods consistent with those documented by the Racing
Surfaces Testing Laboratory.
2153. Racetrack Facilities
(a) Racetrack facilities must be designed, constructed, and
maintained as described in this Rule to provide for the safety of
Covered Persons and Covered Horses.
(b) Rails.
(1) Racetracks shall have inside, outside, and gap rails designed,
constructed, and maintained to provide for the safety of Riders and
Covered Horses.
(2) The top of the inner and outer rails on dirt and turf courses
must be at least 40 inches but not more than 50 inches above the top of
the race surface.
(3) Objects within 10 feet of the inside rail shall be flexible
enough to collapse upon impact of a Covered Horse or Rider, or
sufficiently padded as to prevent injury.
(4) Rails shall be inspected prior to each Race Meet and daily
during training and racing events.
(c) Gaps.
(1) All gaps must be clearly marked, must have protective padding
covering any sharp edges or unique angles, and have proper mechanisms
to allow for secure closure when needed.
(2) Main gaps and on-gaps should include signage with safety rules,
Racetrack hours, and other applicable rules.
(3) For Races breaking from a chute there should be sufficient
temporary rail extension to prevent Covered Horses from ducking in or
out.
(d) Starting gate.
(1) All gates, and the vehicle that moves the gates, must be
inspected pre-Race Meet and documented to be in proper working
condition.
(2) All gates must have protective padding to ensure the safety of
the Covered Horse, Riders and Starting Gate Persons. Protective padding
shall protect the Riders and Starting Gate Persons from contact with
sharp edges and help to distribute impact loads. All padding shall be
designed to ensure durability for outdoor use and shall be capable of
maintaining safety and physical integrity during all weather
conditions.
(3) Gates and the vehicle that moves the gates shall be inspected
and tested each Race Day before the Races and each morning before
schooling to ensure proper functioning.
(4) No personnel, other than those required for steering the gate,
shall ride on the gate while the gate is in motion or being
transported.
(5) Racetracks shall have in place a written plan for the removal
of the starting gate after the start of each Race in a safe and timely
manner. This plan shall also include procedures for gate removal if the
primary removal mechanism fails. The plan shall be reviewed annually by
the Racetrack.
(6) Every Starting Gate Person shall wear protective gear when
working on or around the starting gate, including approved helmets and
safety vests.
(7) If the starting gate becomes inoperable during racing hours,
racing may not continue until the starting gate is brought back to safe
operating standards or the inoperable gate is replaced with a properly
functioning alternate gate.
(8) A Racetrack shall ensure there is at least 1 Starting Gate
Person present for each Covered Horse starting in a Covered Horserace.
(9) A Racetrack shall make at least 1 starting gate and 1 Starting
Gate Person available for racehorse schooling during designated gate
training hours.
(e) Emergency warning system.
(1) Each Racetrack shall have an operational emergency warning
system on all racing and training tracks. The emergency warning system
shall be approved by the State Racing Commission, subject to the
applicable State Racing Commission electing to enter into an agreement
with the Authority. If such agreement does not exist, the emergency
warning system shall be approved by the Authority.
[[Page 24614]]
(2) The emergency warning system shall be tested twice a week
before training or racing.
(3) During training, when the emergency warning system is
activated, all persons on horseback shall slow to a walk and no one on
horseback shall enter the Racetrack.
(4) The Racetrack announcer shall be trained to utilize the public
address system to:
(i) warn Riders of potentially dangerous situations and provide
direction; and
(ii) warn patrons of potentially dangerous situations and provide
direction.
(f) The Racetrack shall provide a suitable area for jogging claimed
horses in or near the Test Barn or, if approved by the Authority, a
secured area used for claimed horse exams. The jogging area shall be of
sufficient length to jog the claimed horse in hand in a straight line
of not fewer than 5 strides and have consistent, firm, and level
footing, and shall be out of the view of persons not authorized in the
Test Barn or secured area.
2154. Racetrack Surface Monitoring
(a) Racetracks shall provide equipment and personnel necessary to
maintain the Racetrack surface in a safe and consistent condition.
(b) Racetracks shall have pre-meet inspections performed on all
surfaces prior to the start of each Race Meet with sufficient time
allotted to facilitate corrections of any issues prior to racing. For
Race Meets spanning periods with significant weather variation,
inspections shall be performed seasonally prior to anticipated weather
changes.
(1) Inspections for dirt and synthetic surfaces shall include the
following elements:
(i) determine and document race and training track configurations
and geometries, including:
(A) geometry and slopes of straights and turns and slopes at each
distance marker pole;
(B) the accuracy of distances from the finish line to the marker
poles; and
(C) cushion and base geometries;
(ii) base inspection, including windrowing and base survey, surface
survey, ground penetrating radar, or other method;
(iii) mechanical properties of racing and training tracks using a
biomechanical surface tester shall be determined and documented;
(iv) surface material samples of racing and training tracks shall
be analyzed for material composition pursuant to the Racetrack Surface
Standard Practices Document; and
(v) corrective measures to address issues under paragraphs (i)
through (iv) above.
(2) Inspections for turf surfaces shall include the following
elements:
(i) determine and document Racetrack configuration and geometry,
including:
(A) geometry and slopes of straights and turns and slopes at each
distance marker pole;
(B) irrigation systems;
(C) turf profile; and
(D) ensure distances from the finish line to the marker poles are
correct;
(ii) document turf species;
(iii) mechanical properties of racing and training tracks using a
surface tester should be determined and documented;
(iv) surface material samples of racing and training tracks shall
be analyzed for material composition pursuant to the Racetrack Surface
Standard Practices Document;
(v) the irrigation system must be tested to evaluate function of
all components and water coverage including gaps and overlap; and
(vi) corrective measures to address issues under paragraphs (i)
through (v) above.
(c) Daily measurements shall be taken at the beginning of all daily
training and racing sessions for racing and training tracks, and taken
at each \1/4\ mile marker pole at locations 5 and 15 feet outside the
inside rail.
(1) For dirt and synthetic surfaces, such daily measurements shall
include:
(i) moisture content;
(ii) cushion depth; and
(iii) weather conditions and precipitation at 15-minute intervals
from a national or local weather service.
(2) For turf surfaces, such daily measurements shall include:
(i) moisture content; and
(ii) penetration and shear properties.
(d) Surface equipment inventory, surface maintenance logs, and
surface material addition or renovation logs shall be documented daily
and uploaded weekly by the Racetrack to an electronic database
designated by the Authority.
(1) Daily surface maintenance logs should include equipment used,
direction and speed of travel, and water administration.
(2) Documentation of the source, timing, quantity, material
specifications, and method of all additions to the surfaces shall be
submitted to the Authority.
2160. Emergency Preparedness
2161. Emergency Drills
(a) Emergency protocols shall be reviewed, and drills shall be
conducted, prior to the beginning of and periodically during each Race
Meet for purposes of demonstrating the Racetrack's proficiency in
managing the following emergencies:
(1) starting gate malfunction;
(2) paddock emergencies;
(3) Equine Injury;
(4) Rider injury;
(5) Starting Gate Person injury;
(6) medical emergencies;
(7) loose horse;
(8) fire;
(9) hazardous weather condition; and
(10) multiple injury scenarios for both Covered Horses and Riders.
2162. Catastrophic Injury
Racetracks and Training Facilities under the jurisdiction of a
State Racing Commission shall have protocols in place for instances of
Catastrophic Injury to Covered Horses during racing and training.
2163. Fire Safety
Racetracks and Training Facilities under the jurisdiction of a
State Racing Commission shall plan for and have protocols in place for
instances of fire within their enclosures. Fire and life safety
inspections shall be performed in accordance with the local authority
and appropriate National Fire Protection Association standards and
shall be conducted at the required frequency. Racetracks shall document
adherence to the applicable local fire protection authority.
2164. Hazardous Weather
(a) Except as set forth in Rule 2164(b), Racetracks shall comply
with the applicable rules and regulations of the applicable State
Racing Commission for the delay or cancellation of races due to
inclement weather, extreme heat, extreme cold, lightning or other
hazardous racing conditions. If the applicable State Racing Commission
does not have such rules and regulations, then the Racetracks, in
conjunction with its Stewards, Jockeys, and horsemen, shall develop
Racetrack-specific protocols for the delay or cancellation of races due
to inclement weather, extreme heat, extreme cold, lightning or other
hazardous racing conditions. Such protocols shall take into
consideration specific weather conditions and shall include a
predetermined method for establishing consensus among stakeholders. The
first priority of all decisions made shall be the well-being and safety
of all persons and animals. The protocols shall include:
(1) designation of the personnel responsible for monitoring weather
[[Page 24615]]
conditions, immediately investigating any known impending threat of
dangerous weather conditions and determining if conditions exist which
warrant delay or cancellation of training or racing and the
notification to the public of such dangerous weather conditions;
(2) use of a designated weather watcher and a reliable source for
monitoring the weather, including lightning strike distance/radius
notifications;
(3) implementation of a dangerous weather protocol, which accounts
for extreme heat and chill factors and states that participation in
racing or training activities may be modified or canceled if heat or
cold conditions are in the extreme range for exertional heat illness,
frostbite, or hypothermia;
(4) Designation by the Racetrack of an official responsible for
monitoring weather conditions during training and racing hours;
(5) Consideration by the Racetrack of lightning safety guidelines
such as the National Athletic Trainers' Association Position Statement,
or more recent evidence-based recommendations;
(6) Requirements that the Stewards shall contact Racetrack
management when weather conditions may become hazardous, and that the
Stewards shall commence a racing and training delay when weather
conditions pose risks to human and equine welfare; and
(7) Designation by the Racetrack of an official responsible for
enforcing any weather associated training delay.
(b) All Racetracks shall develop and implement a written protocol
pertaining to training and racing activities when the Air Quality Index
approaches unhealthy levels. The protocol shall contain the following
minimum components:
(1) when the Air Quality Index is elevated for the Racetrack's zip
code due to particle pollution (defined as an Air Quality Index of 100-
150), Responsible Persons shall monitor Covered Horses and Pony Horses
for signs of respiratory inflammation and contact their Attending
Veterinarian to evaluate Covered Horses and Pony Horses exhibiting
coughing, nasal discharge, or respiratory distress;
(2) when the Air Quality Index for the Racetrack's zip code is
considered Unhealthy (defined as an Air Quality Index of >150), both
equine and human participants shall be provided the option to withdraw
from competition without penalty. The Air Quality Index shall be
closely monitored, and Racetracks shall have discretion to cancel
Covered Horseraces and Timed and Reported Workouts if Air Quality Index
is trending upward; and
(3) no Covered Horserace or Timed and Reported Workouts shall be
conducted when the Air Quality Index for the Racetrack's zip code is at
or above 175.
2165. Infectious Disease Management
(a) Plans and protocols shall be put in place by each Racetrack to
manage an infectious disease outbreak. Such protocols shall be based on
guidelines recommended by the AAEP General Biosecurity Guidelines and
AAEP Healthy Horse Protocols: Biosecurity Guidelines for Racetrack
Entry and Stabling or more recent versions or developed in consultation
with the appropriate State agency or official.
(b) The Regulatory Veterinarian shall maintain written biosecurity
guidelines and standard operating procedures and train Racetrack safety
personnel in basic biosecurity protocols. All Covered Persons must
report any signs that may be attributed to an infectious disease to the
Regulatory Veterinarian and Safety Director.
(c) During an infectious disease outbreak, the above requirements
may be revised as dictated by the circumstances, and all Covered
Persons shall adhere to disease control measures implemented by State
Racing Commissions or applicable State veterinary authorities.
(d) The Safety Director, or Regulatory Veterinarian if the Safety
Director is not a licensed veterinarian, must notify the Authority and
the Chief Veterinarian of the relevant State Department of Agriculture
(or comparable State government official) to enable timely and accurate
reporting of disease outbreaks at the racetrack to the Equine Disease
Communication Center.
2166. Human Ambulance Support
(a) A Racetrack shall ensure that no fewer than 2 properly staffed
and equipped Advanced Life Support (``ALS'') ambulances or ALS adapted
vehicles are present at the Racetrack during training and racing hours.
Upon a request and a showing of undue hardship by the Racetrack, the
Racetrack Safety Committee may permit a Racetrack to have 1 ALS
ambulance or certified ALS adapted vehicle present at the Racetrack
during training and racing hours.
(b) A Racetrack shall not conduct a Covered Horserace or allow
Covered Horses on the Racetrack until an ALS ambulance or ALS adapted
vehicle is present at the Racetrack and available for service.
(c) If a Racetrack operates a training track in addition to a main
track, the Racetrack shall provide at least 1 ALS ambulance, ALS
adapted vehicle, Basic Life Support (``BLS'') ambulance or BLS adapted
vehicle dedicated to the training track.
(d) Racetracks shall ensure all ambulance staff have been trained
in Concussion management and have acknowledged review of the HISA
Concussion Protocol. Any Jockey who falls or is thrown from a Covered
Horse during a race shall be examined by a medical provider experienced
in concussion management and familiar with the HISA Concussion
Protocol. The medical provider shall report their findings to the
Stewards who, upon the recommendation of the medical provider shall
order the Jockey taken off any remaining mounts.
(e) Racetracks shall develop and implement a training program for
all ambulance staff to ensure they are familiar with and adequately
trained on the unique safety and incident response issues present in
horseracing.
(f) Racetracks shall develop and implement protocols for incidents
involving injuries to more than one Covered Person during the same
race.
(g) Racetracks shall develop and implement an incentive program to
retain skilled and certified ambulance staff experienced in the medical
response issues present in horseracing.
(h) The ALS ambulance or ALS adapted vehicle shall follow the field
at a safe distance during the running of Covered Horseraces. In the
event Racetrack surface conditions prevent the ALS ambulance or ALS
adapted vehicle from following the racing field:
(1) the ALS ambulance or ALS adapted vehicle shall be stationed at
the Racetrack entrance; and
(2) the ALS paramedic shall move to a chase vehicle or other
vehicle capable of maneuvering on the racing surface and shall follow
the racing field in that vehicle. In the event of an incident requiring
the ALS ambulance or certified ALS adapted vehicle, the ALS paramedic
shall promptly call for it to travel to the appropriate location.
2167. Rider Injury Reporting Procedure
(a) Racetracks or State Racing Commissions where the applicable
State Racing Commission elects to enter into an agreement with the
Authority, shall develop standard operating procedures for the
collection of data associated with all incidents resulting in Rider
injuries sustained at the Racetrack and submit such information to the
Racetrack Risk Management Committee and the Authority within 10 days of
the injury
[[Page 24616]]
occurrence. Covered Persons involved in, or witnesses to, the
circumstances surrounding the injury shall make themselves available to
and cooperate with those individuals collecting data for the database.
(b) Data collected shall include:
(1) name of person injured;
(2) nature of the injury;
(3) date and time of day of injury;
(4) occupation of person;
(5) safety equipment used;
(6) cause of the incident;
(7) weather;
(8) location of the incident; and
(9) witness statements.
2168. Equine Ambulance
(a) A dedicated equine ambulance with personnel trained to operate
the ambulance shall at all times be available for rapid deployment
during racing and training periods. It is recommended that a second
ambulance be available in the case of multiple equine injuries or
failure of the primary equine ambulance. The primary ambulance must be
equipped to:
(1) navigate on the racetrack during all weather conditions;
(2) safely transport a horse off the association grounds;
(3) contain equipment to stabilize distal limb injuries; and
(4) remove a recumbent horse from the racetrack.
2169. Paddock Safety
Racetracks or State Racing Commissions where the applicable State
Racing Commission elects to enter into an agreement with the Authority
shall have protocols in place to manage the safety of their saddling
paddocks and walking rings. Such protocols shall include crowd
management policies as well as emergency response procedures for human
and equine injuries. An emergency medical technician or paramedic shall
be present during saddling.
2170. Necropsies
(a) All Covered Horses that die or are euthanized on Racetrack
grounds shall have an autopsy (necropsy) examination performed. All
Covered Horses that die or are euthanized due to, or related to, a
musculoskeletal injury within 72 hours of leaving Racetrack grounds
shall have an autopsy (necropsy) examination performed.
(b) Racetracks must have a standard operating protocol that
specifies:
(1) contact information and coordination procedures for the persons
and organizations necessary to perform the necropsy;
(2) transportation options for necropsy cases and invoicing
procedures for the cost of transportation;
(3) secure storage of the body pending transport, and
transportation of the body (and body parts, when necessary) in such a
way that tissue degradation and the development of post-mortem
artifacts are minimized;
(4) sound infection control practices with respect to equine
infectious or zoonotic disease; and
(5) procedures for reporting necropsy findings.
(c) Racetracks or State Racing Commissions where the applicable
State Racing Commission elects to enter into an agreement with the
Authority shall coordinate with a diagnostic laboratory equipped with
the facilities and trained personnel necessary to perform equine
necropsies.
(1) The diagnostic laboratory shall perform a systematic gross
examination of all body systems and shall collect relevant samples for
further examination and tests.
(2) For fatalities related to a musculoskeletal injury, the
Racetrack and/or diagnostic laboratory may contract with a diagnostic
laboratory that specializes in examination of racehorse musculoskeletal
injuries. The affected limb and contralateral limb (and when
appropriate, the skull, vertebral spine or pelvis), shall be shipped to
the specialty laboratory for examination, with consideration given to
optimizing the condition of the body tissues.
(3) Necropsy findings shall be reported in a manner prescribed by
the Authority, and shall be submitted to the Regulatory Veterinarian,
the Racetrack Risk Management Committee, and the Authority within 72
hours of receiving the necropsy report. The ancillary test results and
the final report shall be submitted to the Regulatory Veterinarian, the
Racetrack Risk Management Committee, and the Authority within 72 hours
of their receipt.
(d) The cost of necropsies set forth in this Rule 2170 shall be
paid by those persons who are responsible for necropsy costs pursuant
to existing state rules. In jurisdictions that do not provide for
necropsy costs or address the responsibility for payment, the Racetrack
shall be responsible for payment.
2180. Safety Training and Continuing Education
2181. Uniform National Trainers Test
Subject to the applicable State Racing Commission electing to enter
into an agreement with the Authority, the State Racing Commission shall
require the use of a uniform National Trainers Test in addition to any
State licensing requirements. This test shall have a written component
and include practical interviews that demonstrate knowledge and
proficiency in basic horsemanship skills, knowledge of the Protocol,
the Racetrack Safety Program, racing office protocols, State specific
information, and basic equine health care.
2182. Continuing Education
(a) Subject to the applicable State Racing Commission electing to
enter into an agreement with the Authority, the State Racing Commission
shall identify existing, or provide locally, training opportunities for
all Racetrack employees having roles in Racetrack safety or direct
contact with Covered Horses.
(b) Required annual continuing education shall include:
(1) Regulatory Veterinarians shall complete, on an annual basis, at
least 8 hours of continuing education specific to racetrack regulatory
medicine;
(2) Attending Veterinarians shall complete, on an annual basis, at
least 8 hours of continuing education specifically applicable to
racetrack practice;
(3) Medical Directors shall complete, on an annual basis, at least
8 hours of continuing education;
(4) Stewards shall complete at least 16 hours of continuing
education every 2 years;
(5) Safety Directors shall complete, on an annual basis, at least 8
hours of continuing education;
(6) Trainers shall complete, on an annual basis, at least 4 hours
of continuing education;
(7) assistant trainers shall complete, on an annual basis, at least
4 hours of continuing education;
(8) Owners shall complete, on an annual basis, at least 2 hours of
continuing education;
(9) Racetrack surface managers shall complete at least 8 hours of
continuing education every 2 years;
(10) Grooms shall complete, on an annual basis, at least 2 hours of
continuing education offered in English and Spanish;
(11) Outriders shall complete, on an annual basis, at least 2 hours
of safety and outrider protocol training delivered locally prior to the
beginning of a Race Meet;
(12) Jockeys and Exercise Riders shall complete, on an annual
basis, at least 2 hours of safety and rider protocols delivered locally
or virtually in English and Spanish;
[[Page 24617]]
(13) Starting Gate Persons shall complete, on an annual basis, at
least 2 hours of safety training either delivered locally prior to the
beginning of a Race Meet or through the ROAP certification;
(14) equipment operators shall complete, on an annual basis, at
least 2 hours of safety training either delivered locally prior to the
beginning of a Race Meet or through a continuing education program; and
(15) Farriers and Horseshoe Inspectors shall complete, on an annual
basis, at least 2 hours of continuing education and be knowledgeable of
HISA's horseshoe regulations.
2183. Sexual Harassment Prevention
Each Racetrack shall implement and enforce a sexual harassment and
non-discrimination policy that offers protection to Covered Persons by
prohibiting discriminatory behavior at its facilities. At a minimum,
the policy shall define and prohibit sexual harassment and
discrimination against Covered Persons within the applicable legal
protected classifications and provide an effective process for
reporting and investigation of prohibited sexual harassment and
discrimination. The policy shall also memorialize the Racetrack's
authority to impose discipline on any individual found to be in
violation of the policy, including but not limited to exclusion from
the Racetrack (and all related Racetrack grounds and facilities) and
any racing activities.
2190. Jockey and Starting Gate Person Health
2191. Drug and Alcohol Testing
Subject to the applicable State Racing Commission electing to enter
into an agreement with the Authority, the State Racing Commission shall
develop and implement a testing program for drugs and alcohol for
Jockeys and Starting Gate Persons. The program shall include provisions
for medications prescribed by licensed medical doctors that do not
affect mental and physical abilities. If a State Racing Commission does
not elect to enter into an agreement with the Authority, the Racetracks
in such States shall develop and implement a testing program for drugs
and alcohol for Jockeys and Starting Gate Persons, subject to the
approval of the Authority.
2192. Concussion Management
(a) State Racing Commissions, or Racetracks if the applicable State
Racing Commission does not enter into an agreement with the Authority,
shall implement the Authority's Concussion management protocol
containing the following elements:
(1) each Jockey shall acknowledge in writing that they have been
made aware of the Concussion protocols at least annually;
(2) a minimum assessment shall include a current Concussion
assessment tool examination;
(3) a return-to-ride guideline shall be established in order to
clear a Jockey who has been concussed, or is believed to have been
concussed, once the Jockey is declared fit-to-ride; and
(4) the Stewards shall be notified when a Jockey is not permitted
to ride and when the Jockey has been authorized to return to riding.
2193. Insurance
In States where workers compensation benefits are not afforded to
Jockeys by State statute or regulation, Racetracks shall maintain a
minimum standard of One Million Dollars ($1,000,000) per incident worth
of primary accident medical expense coverage for all Jockeys. The
insurance coverage shall be in place for all training and racing
activities. A copy of the current policy's declaration page shall be
posted in the Jockeys' quarters prior to the beginning of the racing
season.
2200. Specific Rules and Requirements of the Racetrack Safety Program
2210. Purpose and Scope
(a) The purpose of Rules 2200 through 2293 is to establish specific
safety rules and requirements designed to enhance equine and Rider
safety in horseracing.
(b) Violation of, or failure to comply with, the requirements of
Rules 2200 through 2293 may result in disciplinary action by racing
officials and the Authority.
2215. Welfare and Deprivation of Care
(a) No Covered Person acting alone or in concert with another
person shall compromise the welfare of a Covered Horse for competitive
or commercial reasons or subject or permit any Covered Horse under
their control, custody or supervision to be subjected to or to incur
the following:
(1) any form of cruelty, mistreatment, neglect, or abuse;
(2) abandonment, injury, maiming, or killing (except for euthanasia
for humane reasons and in a manner consistent with the current version
of the American Veterinary Medical Association Guidelines for the
Euthanasia of Animals);
(3) administration of any noxious substance; or
(4) deprivation of necessary care, sustenance, shelter, or
veterinary care.
2220. Attending Veterinarian
(a) Subject to Rule 2230(d), only Attending Veterinarians licensed
by the State's board of veterinary examiners (or applicable veterinary
licensing board) and the State Racing Commission may attend to Covered
Horses at any location under the jurisdiction of the State Racing
Commission.
(b) Attending Veterinarians at any location under the jurisdiction
of a State Racing Commission are under the authority of the Regulatory
Veterinarian and the Stewards.
2221. Treatments by Attending Veterinarian
The following limitations apply to treatments by Attending
Veterinarians of Covered Horses.
(a) No Controlled Medication shall be prescribed, dispensed, or
administered except in the context of a valid Veterinarian-client
patient relationship between a Veterinarian, the Responsible Person and
the Covered Horse. The Responsible Person is not required to follow the
Veterinarian's instructions, but no Controlled Medication may be
administered without a Veterinarian having examined the Covered Horse
and provided the treatment recommendation. Such relationship requires
the following:
(1) the Veterinarian, with the consent of the Responsible Person,
has accepted responsibility for making medical judgments about the
health of the Covered Horse;
(2) the Veterinarian has sufficient knowledge of the Covered Horse
to make a preliminary diagnosis of its medical condition;
(3) the Veterinarian has performed an examination of the Covered
Horse and is acquainted with the keeping and care of the Covered Horse;
(4) the Veterinarian is available to evaluate and oversee treatment
outcomes, or has made appropriate arrangements for continuing care and
treatment;
(5) the relationship is maintained by veterinary visits as needed;
and
(6) the medical judgments of the Veterinarian are independent and
are not dictated by the Responsible Person of the Covered Horse.
(b) The Responsible Person and Veterinarian are both responsible
for ensuring compliance with this Rule 2221, except that the medical
judgment to recommend a drug treatment or to prescribe a drug is the
responsibility of the Veterinarian, and the decision to proceed with a
drug treatment that has been so recommended is the responsibility of
the Responsible Person.
[[Page 24618]]
2230. Treatment Restrictions
(a) Only the Responsible Person or their designees shall be
permitted to authorize veterinary medical treatment of Covered Horses
under their care, custody, and control.
(b) No person other than a Veterinarian licensed to practice
veterinary medicine in the applicable State, if required in the
applicable State, and registered with the Authority may prescribe
medication with instructions for administration by a Responsible Person
for a Covered Horse.
(c) Attending Veterinarians shall not have contact with a Covered
Horse entered in a Covered Horserace within 24 hours before the
scheduled post time of the race in which the Covered Horse is scheduled
to compete unless approved by the Regulatory Veterinarian, or such
contact is necessitated by an imminent risk to equine welfare, health,
or safety. Any contact by an Attending Veterinarian with a Covered
Horse entered in a Covered Horserace within 24 hours before the
scheduled post time of the race shall be reported to the Regulatory
Veterinarian. Any unauthorized contact may result in the Covered Horse
being scratched from the race in which it was scheduled to compete and
may result in further disciplinary action by the Stewards or the
Authority.
(d) Notwithstanding Rule 2220(a), the Regulatory Veterinarian may
administer emergency treatment to horses on Racetrack grounds when the
Attending Veterinarian is not present.
(e) Except as set forth in paragraphs (f) and (g) below, no person
shall possess a hypodermic needle, syringe capable of accepting a
needle or injectable of any kind on Racetrack grounds or any facility
under the jurisdiction of the State Racing Commission, unless otherwise
approved in writing by the State Racing Commission.
(f) At any location under the jurisdiction of the State Racing
Commission, Veterinarians may use only one-time disposable syringes,
needles, or IV infusion sets; and shall dispose of items in a manner
approved by the State Racing Commission and applicable State and
governmental regulations.
(g) If a person has a medical condition which makes it necessary to
have a syringe at any location under the jurisdiction of the State
Racing Commission, that person shall request, in writing, permission of
the Stewards or the State Racing Commission to possess a syringe. The
person making the request shall furnish to the Stewards or the State
Race Commission a letter from a licensed physician explaining why it is
necessary for the person to possess a syringe, and shall comply with
any conditions and restrictions set by the Stewards and the State
Racing Commission.
2240. Veterinarians' List
(a) A Veterinarians' List shall be maintained by the Authority of
Covered Horses that are determined to be ineligible to compete in a
Covered Horserace in any jurisdiction until released by a Regulatory
Veterinarian registered with the Authority.
(b) Covered Horses shall be placed on the Veterinarians' List until
removed in accordance with Rules 2241 and 2242:
(1) the following Covered Horses shall be placed on the
Veterinarians' List by a Regulatory Veterinarian:
(i) Covered Horses affected by illness, physical distress, medical
compromise, unsoundness, injury, Epistaxis, infirmity, heat exhaustion,
or deemed unfit to race.
(2) Covered Horses placed on the Veterinarians' List for
unsoundness, injury, or Epistaxis are prohibited from participating in
a Workout for 7 days.
(3) The following Covered Horses shall be placed on the
Veterinarians' List by the Authority:
(i) Covered Horses which have not started in more than 365 days;
(ii) unraced Covered Horses which have not made a start prior to
January 1 of their 4-year-old year;
(iii) Covered Horses which have been administered Shock Wave
Therapy;
(iv) Covered Horses which have been administered an intra-articular
injection;
(v) Covered Horses which have been administered clenbuterol;
(vi) Covered Horses designated by the Agency; and
(vii) Covered Horses currently on a Veterinarian's List in any
state, if trying to enter in a Covered Horserace.
(c) The Responsible Person and the Designated Owner (as defined in
Rule 1020) shall be notified in writing within 24 hours that their
Covered Horse has been placed on the Veterinarians' List.
(d) Diagnostic testing may be required for any Covered Horse placed
on the Veterinarians' List, at the discretion of the Regulatory
Veterinarian or Association Veterinarian.
2241. Duration of Stay on the Veterinarians' List
(a) Covered Horses placed on the Veterinarians' List in accordance
with Rule 2240 shall remain on the Veterinarians' List as follows:
(1) Covered Horses placed on the Veterinarians' List for
unsoundness shall remain on the list for a minimum of 14 days;
(2) Covered Horses placed on the Veterinarians' List two or more
times for unsoundness within the previous 365 days shall remain on the
Veterinarians' List for a minimum of 45 days for the second time, a
minimum of 75 days for the third time, and shall be permanently barred
for life from further participation in Covered Horseraces for the
fourth time;
(3) Covered Horses placed on the Veterinarians' List for Epistaxis
shall remain on the list for a minimum of 14 days;
(4) Covered Horses placed on the Veterinarians' List two or more
times for Epistaxis within the previous 365 days shall remain on the
Veterinarians' List for a minimum of 30 days for the second time, for a
minimum of 180 days for the third time, and shall be permanently barred
for life from further participation in Covered Horseraces for the
fourth time;
(5) Covered Horses placed on the Veterinarians' List for illness,
physical distress, medical compromise, injury, infirmity, or heat
exhaustion shall remain on the list for a minimum of 7 days;
(6) Covered Horses treated with Shock Wave Therapy shall be placed
on the Veterinarians' List for 30 days and are prohibited from
participating in a Workout for 14 days;
(7) Except as set forth in Rule 2271(a)(11) and Rule 2271(a)(12),
Covered Horses administered any intra-articular injection(s) shall be
placed on the Veterinarians' List for 14 days and are prohibited from
participating in a Workout for 7 days;
(8) Covered Horses administered clenbuterol shall be placed on the
Veterinarians' List until they have undergone a release protocol
approved by the Agency; and
(9) if before, during, or after the workout for removal from the
Veterinarians' List, the Covered Horse is deemed to be unsound or to
have Epistaxis, the stay on the Veterinarians' List shall be extended
an additional 30 days, and further diagnostic testing may be required
as determined by the Regulatory Veterinarian.
2242. Removal of Covered Horses from the Veterinarians' List
(a) Regulatory Veterinarians may remove Covered Horses from the
Veterinarians' List in accordance with Rule 2242 and shall document
such removal to the Authority.
(b) A Covered Horse placed on the Veterinarians' List which has not
started in more than 365 days or has not made
[[Page 24619]]
a start prior to January 1 of its 4-year-old year, or has been placed
on the Veterinarians' List as unsound or as having experienced
Epistaxis may be removed from the Veterinarians' List upon satisfaction
of paragraphs (1) through (7) below.
(1) the Trainer and Attending Veterinarian must observe the Covered
Horse jog and submit to the Regulatory Veterinarian a co-signed
statement that the Covered Horse is fit to perform a Workout. If the
Covered Horse does not perform the Workout for the Regulatory
Veterinarian within 7 days, the Trainer and Attending Veterinarian must
observe the Covered Horse again at the jog and submit a new co-signed
statement.
(2) any diagnostics required by the Regulatory Veterinarian who
placed the Covered Horse on the Veterinarians' List must be produced by
the Responsible Person, and any associated diagnostic criteria required
by the Regulatory Veterinarian must be satisfied, prior to requesting
permission to work the Covered Horse for removal.
(3) the Trainer must then apply no less than 48 hours in advance of
the Workout to the Regulatory Veterinarian for permission to work the
Covered Horse for removal from the Veterinarians' List.
(4) the Covered Horse must perform a Workout under the supervision
of the Regulatory Veterinarian and demonstrate to the satisfaction of
the Regulatory Veterinarian that the Covered Horse is sound to race.
(5) the Regulatory Veterinarian must determine, no earlier than 30
minutes or later than 2 hours after the Workout conducted pursuant to
paragraph (b)(4) above, that there is no evidence or sign of Epistaxis,
physical distress, medical compromise, or unsoundness.
(6) a blood sample shall be collected from the Covered Horse
following the Workout, and in accordance with Rule 3132(e), is subject
to all of the same requirements that apply to Sample collection at
Covered Horseraces.
(7) the Regulatory Veterinarian shall communicate the determination
made in paragraph (b)(5) above and the results of the testing conducted
pursuant to paragraph (b)(6) above to the Regulatory Veterinarian who
placed the Covered Horse on the list, or in that Regulatory
Veterinarian's absence, with a Regulatory Veterinarian from the same
Racetrack, who then may release the Covered Horse from the
Veterinarians' List.
(c) A Covered Horse which has not started in more than 365 days or
has not made a start prior to January 1 of its 4-year-old year may
perform a Workout in the presence of the Regulatory Veterinarian
beginning 335 days since its last start or, if unraced, December 1st of
its 3-year-old year. If the Covered Horse has not started within 60
days of being released by the Regulatory Veterinarian, the Covered
Horse must fulfill the requirements in 2242(b) again.
(d) A Covered Horse placed on the Veterinarians' List for illness,
physical distress, medical compromise, injury, infirmity, or heat
exhaustion may be removed from the Veterinarians' List after expiration
of the applicable minimum duration set forth in Rule 2241 and sound
health has been declared by the Attending Veterinarian and the
Regulatory Veterinarian and documented to the Authority.
2250. Covered Horse Treatment History and Records
2251. Veterinary Reports
(a) All Veterinarians shall provide treatment records pursuant to
Rule Series 3000. In addition to the uses set forth therein, these
records may be used by Regulatory Veterinarians in the performance of
their duties at the Racetrack, for transfer to the new Responsible
Person of a Covered Horse, and for purposes of research conducted by
the Authority in accordance with the Act to enhance the safety and
welfare of racehorses. Subject to the approval of the Authority,
records may also be accessed by the State Racing Commission or the
Stewards.
(b) For treatments, procedures, and surgeries performed at a
location licensed by a State Racing Commission or a Training Facility,
and in addition to the information required to be submitted by
Veterinarians pursuant to Rule Series 3000, every Veterinarian who
examines or treats a Covered Horse shall, within 24 hours after such
examination or treatment, submit to the Authority the following
information in an electronic format designated by the Authority:
(1) name and HISA ID of the Covered Horse or, if unnamed, the
registered name of the dam and year of foaling;
(2) name and HISA ID of the Responsible Person of the Covered
Horse;
(3) name and HISA ID of the Veterinarian;
(4) contact information for the Veterinarian (phone number, email
address);
(5) any information concerning the presence of unsoundness and
responses to diagnostic tests;
(6) diagnosis;
(7) condition treated;
(8) the name of any medication, drug, substance, or procedure
administered or prescribed, including date and time of administration,
dose, route of administration (including structure treated if local
administration), frequency, and duration (where applicable) of
treatment;
(9) any non-surgical procedure performed (including but not limited
to diagnostic tests, imaging, and shockwave treatment) including the
structures examined/treated and the date and time of the procedure;
(10) any surgical procedure performed including the date and time
of the procedure; and
(11) any other information necessary to maintain and improve the
health and welfare of the Covered Horse.
(c) For treatments, procedures, and surgeries performed at a
location that is not a Training Facility or is not licensed by a State
Racing Commission, and in addition to the information required to be
submitted by Veterinarians pursuant to Rule Series 3000, every
Veterinarian who examines or treats a Covered Horse shall, within 24
hours of ambulatory care, outpatient care, or discharge from a clinic
or hospital, submit to the Authority the following information in an
electronic format designated by the Authority:
(1) name and HISA ID of the Covered Horse or, if unnamed, the
registered name of the dam and year of foaling;
(2) name and HISA ID of the Responsible Person for the Covered
Horse;
(3) name and HISA ID of the Veterinarian;
(4) contact information for the Veterinarian (phone number, email
address);
(5) any information concerning the presence of unsoundness;
(6) summary of all diagnostic tests and test results;
(7) any intra-articular diagnostic and therapeutic medications
administered or prescribed, including the date and time of the
treatment;
(8) administration of Shock Wave Therapy, including the date and
time of the Shock Wave Therapy; and
(9) any surgical procedure performed including the date and time of
the procedure.
2252. Responsible Persons' Records
(a) In addition to the information required to be submitted by
Responsible Persons under Rule Series 3000, a Responsible Person is
responsible for maintaining a record of medical, therapeutic, and
surgical treatments and procedures for every Covered Horse in the
Responsible Person's control.
(b) For purposes of this Rule, the term treatment:
[[Page 24620]]
(1) means the administration of any medication or substance
containing a medication to a Covered Horse by a Responsible Person or
the Responsible Person's designee;
(2) includes the administration of medications that are prescribed
by a Veterinarian but administered by the Responsible Person or the
Responsible Person's designee; and
(3) notwithstanding Rule 3040(b)(8), specifically excludes
medications or procedures directly administered by a Veterinarian or
that Veterinarian's employees.
(c) Records must include the information outlined in paragraphs (1)
and (2) below.
(1) For medical treatments:
(i) name and HISA ID of the Covered Horse or, if unnamed, the
registered name of the dam and year of foaling;
(ii) name and HISA ID of the Responsible Person;
(iii) generic name of the drug, or brand name if a non-generic drug
is used;
(iv) name and HISA ID of the prescribing Veterinarian;
(v) date of the treatment;
(vi) route of administration;
(vii) dosage administered;
(viii) approximate time (to the nearest hour) of each treatment;
and
(ix) full name and contact information of the individual who
administered the treatment.
(2) For medical procedures, including, but not limited to, Shock
Wave Therapy, physiotherapy, acupuncture, chiropractic, and surgeries:
(i) name and HISA ID of the Covered Horse, or, if unnamed, the
registered name of the dam and year of foaling;
(ii) name and HISA ID of the Responsible Person;
(iii) diagnosis and condition being treated;
(iv) name of procedure or surgery;
(v) date of the procedure;
(vi) full name and contact information of the individual who
administered or performed the procedure; and
(vii) any other information necessary to maintain and improve the
health and welfare of the Covered Horse.
(d) In addition to the uses of records set forth in the Rule Series
3000, records may be used by the Regulatory Veterinarians in the
performance of their duties at the Racetrack, for transfer of medical
records to the new Responsible Person of a Covered Horse, and for
purposes of research conducted by the Authority in accordance with the
Act to enhance the safety and welfare of racehorses. Subject to the
approval of the Authority, records may also be accessed by the State
Racing Commission or the Stewards.
(e) Nothing set forth in the rules of the Authority shall limit the
Authority's access to, or use of, records submitted under any provision
in the Rule 2000 Series.
2253. Records for Covered Horses Shipping to the Racetrack
(a) If a Covered Horse is not stabled at a facility under the
Authority's jurisdiction for the full 30 days prior to a Race or
Workout for purposes of removal from the Veterinarians' List, the
Responsible Person shall obtain and maintain the following information:
(1) name and HISA ID of the Covered Horse or, if unnamed, the
registered name of the dam and year of foaling;
(2) generic name of the drug, or brand name of the drug if a non-
generic drug is used;
(3) date and duration of the treatment;
(4) route of administration;
(5) dosage administered;
(6) surgical procedures;
(7) non-surgical therapies and procedures;
(8) daily log of exercise activities at the facility;
(9) daily log of treatments and procedures at the facility; and
(10) any other information necessary to maintain and improve the
health and welfare of the Covered Horse.
(b) In addition to the uses of records set forth in the Rules
Series 3000, records may be used by the Regulatory Veterinarians in the
performance of their duties at the Racetrack, for transfer of medical
records to the new Responsible Person of a Covered Horse, and for
purposes of research conducted by the Authority in accordance with the
Act to enhance the safety and welfare of racehorses. Subject to the
approval of the Authority, records may also be accessed by the State
Racing Commission or the Stewards.
2260. Claiming Races
2261. Transfer of Claimed Covered Horse Records
(a) Entry of a Covered Horse subject to being claimed in a Claiming
Race implies consent of the Responsible Person to the transfer of the
following records to the new Responsible Person of the claimed Covered
Horse:
(1) all medical records required to be maintained pursuant to Rules
2252 and 2253; and
(2) all veterinary records required to be submitted pursuant to
Rule 2251.
(b) If a Covered Horse is successfully claimed by a new Responsible
Person, the previous Responsible Person must transfer the Covered
Horse's medical records required to be maintained pursuant to Rule 2252
and Rule 2253 to the new Responsible Person within 3 calendar days of
transfer of the claimed Covered Horse to the new Responsible Person.
2262. Void Claim
(a) Except as provided in paragraphs (e) and (g), title to a
Covered Horse which is claimed shall be vested in the successful
claimant from the time the field has been dispatched from the starting
gate and the Covered Horse becomes a starter.
(b) All claimed Covered Horses shall go to the Test Barn, or, if
approved by the Authority, the secured area used for claimed Covered
Horse inspections, for observation by the Regulatory Veterinarian.
(c) Test Barn or approved secured area observation:
(1) upon entry into the Test Barn or approved secured area, a
claimed Covered Horse shall be periodically observed for no less than
30 minutes during the ``cooling out'' process, unless excused by the
Regulatory Veterinarian.
(2) a claimed Covered Horse shall be observed by the Regulatory
Veterinarian at the completion of any required sample collection, or
immediately before the Covered Horse is released from the Test Barn or
approved secured area, to determine whether the claimed Covered Horse
will be placed on the Veterinarians' List for Epistaxis, or as unsound
or lame.
(3) the minimum criteria for observation by the Regulatory
Veterinarian are:
(i) to assess the claimed Covered Horse for signs of Epistaxis or
any other concerning clinical abnormalities; and
(ii) to jog the claimed Covered Horse in hand in a straight line of
not fewer than 5 strides moving toward and away from the Regulatory
Veterinarian.
(d) If a claimed Covered Horse is placed on the Veterinarians' List
for Epistaxis, or as unsound or lame, it is the responsibility of the
Regulatory Veterinarian to notify the Stewards immediately so that the
Stewards may order the Claim voided.
(e) The Claim shall be voided, and ownership of the Covered Horse
retained by the original Owner, if:
(1) the Covered Horse dies or is euthanized before the Covered
Horse is released to the claimant;
(2) the Covered Horse is vanned off of the racing track and placed
on the Veterinarians' List for Epistaxis, or as unsound or lame; or
(3) the Regulatory Veterinarian determines pursuant to the
observation described in Rule 2262(c)(1) that the Covered Horse will be
placed on the
[[Page 24621]]
Veterinarians' List for Epistaxis, or as unsound or lame before the
Covered Horse is released to the successful claimant.
(f) The Claim shall not be voided if, prior to the Race in which
the Covered Horse is claimed, the claimant elects to claim the Covered
Horse by checking the appropriate box on the claim slip regardless of
whether the Regulatory Veterinarian determines the Covered Horse will
be placed on the Veterinarians' List for Epistaxis or as unsound or
lame.
(g) Notwithstanding Rule 3060(a) and 3070(c), and subject to Rule
2262(h), if a post-race sample collected from a claimed Covered Horse
on the day of the Claim results in an Adverse Analytical Finding, the
claimant shall be promptly notified by the Agency or the Authority and
the claimant shall have the option to void the claim. The claimant
shall have 48 hours from notification of the Adverse Analytical Finding
to void the claim by submitting in writing to the Stewards the
claimant's decision to void the claim.
If the claimant chooses to void the Claim:
(1) the claimant shall be entitled to the return from the prior
Owner of all sums paid for the claimed Covered Horse;
(2) the claimant shall be entitled, upon submission of expense
records, to recoup reasonable expenses from the prior Owner related to
the care, custody and control of the Covered Horse incurred after the
date of the claim; and
(3) the claimed Covered Horse shall be returned to the prior Owner.
(h) A claimant shall not have the option to void a Claim pursuant
to Rule 2262(g) if any of the following events have occurred since the
Claim:
(1) the claimed Covered Horse has made a start in a Covered
Horserace or race;
(2) the claimant failed to exercise due care in maintaining and
boarding the claimed Covered Horse;
(3) the claimant made material alterations to the claimed Covered
Horse; or
(4) the claimed Covered Horse dies or is euthanized.
2263. Waiver Claiming Option
(a) At time of entry into a Claiming Race an Owner or Responsible
Person may opt to declare a Covered Horse ineligible to be claimed,
provided:
(1) the Covered Horse has not started in 120 days;
(2) the Covered Horse's last start must have been for a claiming
price; and
(3) the Covered Horse is entered in a claiming race with a claiming
price equal to or greater than the claiming price for which it last
started.
(b) A Responsible Person may opt to declare a Covered Horse
ineligible to be claimed for a second consecutive race, provided:
(1) the waiver must have been asserted in the first race back to be
eligible for the second waiver;
(2) if the Covered Horse wins the first race back, it is ineligible
for the second waiver;
(3) if the Covered Horse changes majority ownership subsequent to
the first race, it is ineligible for the second waiver; and
(4) the provisions in 2263(a)(3) still apply.
2270. Prohibited Practices and Requirements for Safety and Health of
Covered Horses
2271. Prohibited Practices
(a) The following are prohibited practices:
(1) use of physical or veterinary procedures to mask the effects or
signs of injury so as to allow training or racing to the detriment of
the Covered Horse's health and welfare.
(2) use of Shock Wave Therapy in a manner that may desensitize any
limb structures during racing or training.
(3) surgical or chemical neurectomy to cause desensitization of
musculoskeletal structures associated with the limbs. Horses within the
foal crop of 2023 or later shall not be allowed to participate in a
Covered Horserace or a Timed and Reported Workout if they have been
subject to the procedure(s) described in this Rule 2271(a)(3).
(4) pin-firing and freeze-firing of the shins (dorsal surface of
the third metacarpal/metatarsal bones) are prohibited. Horses within
the foal crop of 2023 or later shall not be allowed to participate in a
Covered Horserace or a Timed and Reported Workout if their shins have
been pin-fired or freeze-fired.
(5) pin-firing of any structure. Horses within the foal crop of
2023 or later shall not be allowed to participate in a Covered
Horserace or a Timed and Reported Workout if any structure on their
body has been pin-fired.
(6) application of any substance to cause vesiculation, blistering,
or any physical disruption of the epidermis or surface of the sskin.
(7) injection of any substance to cause inflammation or a counter-
irritant effect.
(8) the use of a device to deliver an electrical shock to the
Covered Horse including but not limited to cattle prods and batteries.
(9) the use of any medical therapeutic device requiring an external
power source within 48 hours prior to the start of the published post
time for which a Covered Horse is scheduled to race. This includes but
is not limited to pulsed electromagnetic field (PEMF), laser,
nebulizer, electro-magnetic blankets, and boots.
(10) the use of acupuncture within 48 hours prior to the start of
the published post time for which a Covered Horse is scheduled to race.
(11) notwithstanding Rule 4222, and except as set forth in Rule
2271(a)(12), any Covered Horse treated with any intra-articular
injection of any joint shall not be permitted to perform a Workout for
7 days following treatment or participate in a Covered Horserace for 14
days following treatment.
(12) notwithstanding Rule 2271(a)(11) and Rule 4222, any Covered
Horse treated with any corticosteroid intra-articular injection of the
metacarpophalangeal or metatarsophalangeal joint shall not be permitted
to perform a Workout for 14 days following treatment or participate in
a Covered Horserace for 30 days following treatment.
(b) The Responsible Person of any Covered Horse that violates the
prohibitions established in Rule 2271(a)(11) or Rule 2271(a)(12) shall
be subject to the following penalty schedule:
(1) first violation (within a 365-day period): $3,000 fine.
(2) second violation (within a 365-day period): $6,000 fine, 10-day
suspension from participating in any Timed and Reported Workout or
Covered Horserace.
(3) third violation (within a 365-day period): $10,000 fine, 30-day
suspension from participating in any Timed and Reported Workout or
Covered Horserace.
(4) fourth violation (within a 365-day period): $20,000 fine, 60-
day suspension from participating in any Timed and Reported Workout or
Covered Horserace.
(5) fifth and subsequent violations (within a 365-day period):
$25,000 fine, 120-day suspension from participating in any Timed and
Reported Workout or Covered Horserace.
(c) If the Covered Horse is the subject of 2 or more violations of
the prohibitions established in Rule 2271(a)(11) or Rule 2271(a)(12)
within a 365-day period, the Covered Horse may be placed on the
Veterinarians' List for 30 days.
2272. Shock Wave Therapy
(a) The use of Shock Wave Therapy shall be limited to licensed
Veterinarians and, in addition to the
[[Page 24622]]
reporting required under Rule 2251, must be reported by the Responsible
Person to the Regulatory Veterinarian within 48 hours after treatment.
(b) Shock Wave Therapy treatment administered to a Covered Horse
may only be performed using a machine that is registered with the
Authority.
(c) Any Covered Horse treated with Shock Wave Therapy shall be
placed on the Veterinarians' List and shall not be permitted to Race
for 30 days following treatment or perform a Workout for 14 days
following treatment.
(d) Failure to report Shock Wave Therapy in accordance with Rule
2251 shall subject the Veterinarian to a suspension of the
Veterinarian's registration for a period not to exceed 1 year and a
fine not to exceed $10,000.
(e) Failure to report Shock Wave Therapy in accordance with Rule
2272(a) shall subject the Responsible Person to a suspension of the
Responsible Person's registration for a period not to exceed 1 year and
a fine not to exceed $10,000.
(f) The Stewards shall adjudicate all alleged violations of this
Rule 2272. For purposes of determining the period of suspension and the
amount of the fine to be imposed under Rule 2272(d) and Rule 2272(e),
the Stewards shall consider all mitigating and aggravating factors
presented by the Veterinarian or Responsible Person, including the
severity of the underlying circumstances or conduct giving rise to the
violation. Examples of aggravating factors shall include, but are not
limited to, a Covered Horse that was removed from Racetrack grounds
with the intent to evade the reporting requirements under this Rule
2272; and multiple violations of this Rule 2272 within a 365-day
period.
2273. Other Devices
No electrical, mechanical, or other device, which is purchased,
designed, or used with the intent to increase or retard the speed of a
Covered Horse, other than a riding crop, shall be possessed by anyone,
or applied by anyone, to a Covered Horse at any time on Racetrack
grounds.
2274. Other Device Penalties
(a) Penalties for violations of Rule 2273 shall be as follows:
(1) for a first offense, loss of eligibility for, or revocation of,
registration with the Authority for 10 years.
(2) for any subsequent violation, the penalty shall be a lifetime
ban from registration with the Authority.
2275. Communication Devices
(a) The use of a hand-held communication device by a Rider is
prohibited while the Rider is on a Covered Horse or Pony Horse.
(b) A Rider, while on a Covered Horse or Pony Horse, shall not wear
an audio device that obstructs or impairs the Rider's ability to hear
other horses, Riders, hazards, or the Racetrack's emergency warning
system.
2276. Horseshoes
(a) The following prohibitions apply to the use of horseshoes
during training and racing:
(1) on dirt surfaces, Traction Devices (as defined in Rule 2010)
other than full rims 2 millimeters or less in height from the ground
surface of the horseshoe are prohibited on forelimb horseshoes.
Traction Devices other than full rims 4 millimeters or less in height
from the ground surface of the horseshoe, or toe grabs 4 millimeters or
less in height from the ground surface of the horseshoe, are prohibited
on hindlimb horseshoes.
(2) on synthetic surfaces, Traction Devices other than full rims
that are 2 millimeters or less in height from the ground surface of the
horseshoe are prohibited on forelimb and hindlimb horseshoes.
(3) on turf surfaces, Traction Devices are prohibited on forelimb
and hindlimb horseshoes.
2280. Use of Riding Crop
(a) Subject to paragraphs (b) and (c) of this Rule, a Jockey who
uses a riding crop on a Covered Horse during a Covered Horserace shall
do so only in a professional manner consistent with maintaining focus
and concentration of the Covered Horse for safety of Covered Horses and
Riders, or for encouragement to achieve optimal performance.
(b) A Jockey may:
(1) use the crop only on the hindquarters or the shoulders to
activate and focus the Covered Horse;
(2) use the crop a maximum of 6 times during a race. Use of the
crop shall be considered any contact of the crop with the Covered Horse
except for a tap to the shoulder of the Covered Horse as permitted by
Rule 2280(b)(4);
(3) use the crop in increments of 2 or fewer strikes. A Jockey must
allow at least 2 strides for the Covered Horse to respond before using
the crop again;
(4) tap the Covered Horse on the shoulder with the crop while both
hands are holding on to the reins and both hands are touching the neck
of the Covered Horse. A tap to the shoulder of a Covered Horse in
accordance with the first sentence of this paragraph (4) shall not
count towards the 6 permitted uses of the crop established in Rule
2280(b)(2);
(5) show or wave the crop to the Covered Horse without physically
contacting the Covered Horse; and
(6) use the crop to preserve the safety of Covered Horses and
Jockeys.
(c) A Jockey shall not:
(1) raise the crop with the Jockey's wrist above the Jockey's
helmet when using the crop;
(2) injure the Covered Horse with the crop or leave any physical
marks, such as welts, bruises, or lacerations;
(3) use the crop on any part of the Covered Horse's body other than
the shoulders or hindquarters;
(4) use the crop during the post parade or after the finish of the
race other than to avoid a dangerous situation or preserve the safety
of Covered Horses and Riders;
(5) use the crop if the Covered Horse has obtained its maximum
placing;
(6) use the crop persistently even though the Covered Horse is
showing no response;
(7) use a crop on a 2 year-old Covered Horse in races before April
1 of each year other than to avoid a dangerous situation or preserve
the safety of Covered Horses and Riders;
(8) strike another horse or person with the crop; or
(9) strike a Covered Horse with any object other than a riding crop
that conforms to the requirements established in Rule 2281.
(d) In any Race in which a Jockey will ride without a crop, that
fact shall be declared at entry, included in the official program, and
an announcement of that fact shall be made over the public address
system.
2281. Riding Crop Specifications
(a) Riding crops are subject to inspection by the Safety Officer,
Stewards, and the clerk of scales.
(b) All riding crops must be soft-padded.
(c) Riding crops shall have a shaft and a flap or smooth foam
cylinder and must conform to the following dimensions and construction:
(1) the maximum allowable weight shall be 8 ounces;
(2) the maximum allowable length, shall be 30 inches;
(3) the minimum diameter of the shaft shall be three-eighths of one
inch;
(4) the shaft, beyond the grip, must be smooth with no protrusions
or raised surface and covered by shock absorbing materials;
(5) there shall be no binding within 7 inches of the end of the
shaft;
[[Page 24623]]
(6) the flap or smooth foam cylinder is the only allowable
attachment to the shaft and must meet the following specifications:
(i) shall have no reinforcements;
(ii) shall have a maximum length beyond the shaft of one inch;
(iii) shall have a minimum diameter of 0.8 inches and a maximum
width of 1.6 inches;
(iv) there shall be no other reinforcements or additions beyond the
end of the shaft;
(v) shall be made of shock absorbing material with a compression
factor of at least 5 millimeters;
(vi) shall be made of a waterproof, ultraviolet, and chemical
resistant flap or foam material that is durable and preserves its shock
absorption in use under all conditions; and
(vii) shall be replaced after reasonable wear and tear is visibly
evident.
(d) Riding crops shall not be altered and shall have a mark
identifying the name and manufacturer of the crop.
2282. Riding Crop Violations and Penalties
(a) Violations of Rule 2280 shall be categorized as follows, with
the exception that use of the crop for the safety of horse and Rider
shall not count toward the total crop uses:
(1) Class 3 Violation--1 to 3 strikes over the limit.
(2) Class 2 Violation--4 to 9 strikes over the limit.
(3) Class 1 Violation--10 or more strikes over the limit.
(b) Unless the Stewards determine the merits of an individual case
warrant consideration of an aggravating or mitigating factor, the
penalties for violations are as follows:
----------------------------------------------------------------------------------------------------------------
Purse Class 3 Class 2 Class 1
----------------------------------------------------------------------------------------------------------------
Up to $9,000....................... Fine: $150.............. Fine: $300.............. Fine: $500
AND..................... AND..................... AND
Minimum 1-day Minimum 3-day suspension Minimum 5-day
suspension.. AND..................... suspension
Disqualification of the AND
horse from the race.*. Disqualification of the
horse from the race.*
$9,001-$50,000..................... Fine: $250.............. Fine: $500.............. Fine: $750
AND..................... AND..................... AND
Minimum 1-day Minimum 3-day suspension Minimum 5-day
suspension.. AND..................... suspension
Disqualification of the AND
horse from the race.*. Disqualification of the
horse from the race.*
$50,001-$200,000................... Fine: $500.............. Fine: $750.............. Fine: $1000
AND..................... AND..................... AND
Minimum 1-day Minimum 3-day suspension Minimum 5-day
suspension.. AND..................... suspension
Disqualification of the AND
horse from the race.*. Disqualification of the
horse from the race.*
$200,001-$500,000.................. Fine: 10% of Jockey's Fine: 20% of Jockey's Fine: 30% of Jockey's
portion of the purse or portion of the purse or portion of the purse
$750 whichever is > $1000 whichever is > or $2000 whichever is
AND..................... AND..................... >
Minimum 1-day Minimum 3-day suspension AND
suspension.. AND..................... Minimum 5-day
Disqualification of the suspension
horse from the race.*. AND
Disqualification of the
horse from the race.*
$500,001-higher.................... Fine: 10% of Jockey's Fine: 20% of Jockey's Fine: 30% of Jockey's
portion of the purse or portion of the purse or portion of the purse
$1000 whichever is > $2000 whichever is > or $3000 whichever is
AND..................... AND..................... >
Minimum 1-day suspension Minimum 3-day suspension AND
AND..................... Minimum 5-day
Disqualification of the suspension
horse from the race.*. AND
Disqualification of the
horse from the race.*
----------------------------------------------------------------------------------------------------------------
* Disqualification of the horse from the race includes forfeiture of the purse and all attendant benefits,
including but not limited to: placing, black type earnings, automatic entry berths, and trophies. Parimutuel
payouts are not affected.
(c) Except for violations of Rule 2280(b)(2), for which penalties
are imposed pursuant to Rule 2282(a) and (b), the Stewards may impose
any of the penalties set forth in Rule 8200(b) for violations of Rules
2280 and 2281.
2283. Multiple Violations of Rule 2280
(a) Stewards shall submit violations of Rule 2280 to the Authority.
(b) Multiple violations of Rule 2280 within a 180-day period shall
be subject to the enhanced penalties in paragraph (c) of this Rule.
(c) For each violation after the first violation within a 180-day
period, the fine and the suspension day(s) associated with the current
violation, as established in Rule 2282(b), shall be multiplied by the
number of cumulative violations of any class (Class 1, 2, and 3
violations) within the prior 180 calendar days. The following examples
demonstrate the application of this rule:
(1) 1 prior violation + current violation = 2 x fine and 2 x
suspension day(s) of the current violation.
(2) 2 prior violations + current violation = 3 x fine and 3 x
suspension day(s) of the current violation.
(3) 3 prior violations + current violation = 4 x fine and 4 x
suspension day(s) of the current violation.
2284. Redistribution of Purse
Upon the disqualification of a Covered Horse from a Covered
Horserace pursuant to the Rule 2000 Series, the purse shall be
redistributed in accordance with the revised order of finish.
2285. Intermediate Appeal of Violations
(a) Notwithstanding any other provision in the rules of the
Authority, any appeal of a Stewards ruling issued for violation of any
rule set forth in Rule 2280 or 2281 shall be heard initially by the
Internal Adjudication Panel established in the Rule 7000 Series. The
Internal Adjudication Panel shall
[[Page 24624]]
appoint 3 members from the pool of adjudicators to hear the appeal.
(b) An appeal made pursuant to this Rule 2285 shall not
automatically stay the Stewards' ruling. A request for a stay pending
an appeal under this Rule 2285 may be made to the Board pursuant to the
procedures established in Rule 88350(c).
(c) A party to the Stewards' ruling may appeal to the Internal
Adjudication Panel by filing with the Authority a written request for
an appeal within 10 calendar days of receiving the Stewards' written
ruling. The appeal request shall contain the following information:
(1) the name, address, and telephone number, if any, of the
appellant;
(2) a description of the objection(s) to the ruling;
(3) a statement of the relief sought; and
(4) whether the appellant desires to have a hearing of the appeal.
(d) The Internal Adjudication Panel may waive the requirement that
a written submission be filed by the appellant and permit the appellant
to make an oral presentation at a hearing if doing so is in the
interest of justice and the conduct of the hearing will not prejudice
any of the other parties.
(e) If the appellant requests a hearing, the Internal Adjudication
Panel shall set a date, time, and place for a hearing. Notice shall be
given to the appellant in writing and shall set out the date, time, and
place of the hearing, and shall be served personally or sent by
electronic or U.S. mail to the last known address of the appellant. If
the appellant objects to the date of the hearing, the appellant may
obtain a continuance, but the continuance shall not automatically stay
imposition of a sanction or prolong a stay issued by the Board. At the
discretion of the Internal Adjudication Panel, the hearing may be
conducted in person, or by means of an audio-visual videoconferencing
system or a telephone audio system.
(f) If the appellant does not request a hearing, the Internal
Adjudication Panel may in its discretion review a Stewards' ruling
based solely upon written submissions scheduled for filing with such
timing and response requirements as the Internal Adjudication Panel may
require.
(g) Upon review of the Stewards' ruling which is the subject of the
appeal, the Internal Adjudication Panel shall uphold the ruling unless
it is clearly erroneous or not supported by the evidence or applicable
law.
(h) Upon completing its review, the Internal Adjudication Panel
shall issue a written decision based on the record and any further
proceedings, testimony, or evidence. The decision shall:
(1) affirm the Stewards' ruling; or
(2) reject or modify the Stewards' ruling, in whole or in part.
(i) Any decision rendered by the Internal Adjudication Panel may be
appealed to the Board of the Authority for review pursuant to Rule
8350. The Board may in its discretion:
(1) schedule a hearing to hear the appeal under the procedures set
forth in Rule 8350; or
(2) decide the appeal based solely upon the record and any written
submissions required to be filed by the Board. The Board may adopt the
decision of the Internal Adjudication Panel.
2286. Procedures for Adjudications of Violations in the Rule 2200
Series
(a) Notwithstanding any provision in the Rule 8000 Series to the
contrary, any matter referred to the Internal Adjudication Panel
pursuant to Rule 8320(b)(1) shall be adjudicated in conformity with the
procedures established for an initial hearing before the Racetrack
Safety Committee or the Board of the Authority as set forth in Rule
8340 (c) through (j). All references to the ``Board'' or the
``Racetrack Safety Committee'' in Rule 8340 (c) through (j) shall be
deemed to be references to the ``Internal Adjudication Panel''.
(b) Notwithstanding any provision in the Rule 8000 Series to the
contrary, any matter referred to the independent Arbitral Body pursuant
to Rule 8320(b)(2) shall be adjudicated in conformity with the
procedures established for an initial hearing before the Racetrack
Safety Committee or the Board of the Authority as set forth in Rule
8340 (c) through (j). All references to the ``Board'' or the
``Racetrack Safety Committee'' in Rule 8340 (c) through (j) shall be
deemed to be references to the ``Arbitral Body''.
2287. Provisional Suspension of Registration
(a) Provisional Suspension of Covered Person's Registration.
(1) If the Stewards or the Authority have reasonable grounds to
believe that the actions or inactions of a Covered Person present an
imminent danger to the health, safety, or welfare of Covered Horses or
Riders arising from specific violations by the Covered Person of the
Authority's Racetrack safety or accreditation rules, the Stewards or
the Authority may issue to such Covered Person a written notice to show
cause concerning a potential provisional suspension of the Covered
Person's registration, which notice shall include:
(i) an itemization of the specific Authority's safety and
accreditation rules which the Covered Person is believed to have
violated, and a summary of the conditions, practices, facts, or
circumstances which give rise to each apparent violation;
(ii) the corrective actions suggested to achieve compliance;
(iii) a request for a written response to the findings, including
commitments to suggestive corrective action or the presentation of
mitigating or opposing facts and evidence; and
(iv) a statement that the Covered Person may within 3 business days
of receipt of the show-cause notice request a provisional hearing,
which, absent exceptional circumstances necessitating a reasonable
delay of the hearing, shall be conducted within 3 business days of
receipt by the Authority of the Covered Person's request for a
provisional hearing. If the Covered Person does not request a
provisional hearing within 3 business days of the Covered Person's
receipt of the show-cause notice, the Authority shall initiate a
provisional hearing in accordance with Rule 2287(b).
(2) Notwithstanding Rule 2287(a)(1), if the Stewards or the
Authority have clear and convincing evidence that the actions or
inactions of the Covered Person present an immediate threat of serious
injury or death to Covered Horses or Riders arising from violations by
the Covered Person of the Authority's safety or accreditation rules,
the Stewards or the Authority may immediately issue a provisional
suspension of the Covered Person's registration, which shall remain in
effect until the provisional hearing described in paragraph (b) of this
Rule.
(3) Nothing in the Authority's rules shall preempt or otherwise
impair the authority of a State Racing Commission to suspend a Covered
Person in accordance with its provisions of licensure.
(b) Provisional Hearing.
(1) A Covered Person who has received a show cause notice pursuant
to Rule 2287(a)(1) or whose registration has been provisionally
suspended pursuant to Rule 2287(a)(2) is entitled to a provisional
hearing to be conducted by one of the following, as determined by the
Authority:
(i) one or more members of the Internal Adjudication Panel;
(ii) an independent Arbitral Body;
(iii) the Stewards for adjudication in accordance with the hearing
procedures of the applicable state jurisdiction. Provided however, that
in any state that has not entered into an agreement with the Authority
under which the state
[[Page 24625]]
Stewards serve in an adjudicatory capacity under the Rule 8000 Series
and enforce the Rule 2200 Series, a hearing may be conducted by one or
more Stewards, notwithstanding any state rule to the contrary; or
(iv) a panel of 3 Board members appointed by the Board chair.
(2) The provisional hearing may be conducted in person, or by means
of an audio-visual teleconferencing system or a telephone audio system.
(3) The provisional hearing shall be conducted within 3 business
days of receipt by the Authority of the Covered Person's request for a
provisional hearing. If the Covered Person does not request a
provisional hearing, the Authority shall conduct the provisional
hearing within 7 business days of the date the show-cause notice was
issued to the Covered Person pursuant to Rule 2287(a)(1) or the date
the provisional suspension was issued pursuant to Rule 2287(a)(2). The
provisional hearing is not a full hearing on the merits, and the sole
issue to be determined at the provisional hearing shall be whether the
Covered Person's provisional suspension shall remain in effect, go into
immediate effect, be stayed pending a final hearing under section (c)
of this Rule 2287, or be withdrawn.
(4) At the provisional hearing, the burden is on the Authority to
demonstrate good cause why the provisional suspension should remain in
effect, go into immediate effect, or be stayed pending a final
adjudication. The adjudicatory panel conducting the hearing shall
consider all factors that it deems appropriate, including but not
limited to the factors established in Rule 8360(e)(1)-(5). Within 72
hours of the conclusion of the hearing, the adjudicatory panel shall
issue a written decision determining whether the provisional suspension
shall remain in effect, go into immediate effect, be stayed pending a
final adjudication, or be withdrawn. As a condition of issuing a stay
of the provisional suspension, the adjudicatory panel may require the
Covered Person to comply with additional safety standards or other
requirements necessary to protect the health, safety, or welfare of
Covered Horses or Riders.
(c) Final Hearing by the Board.
(1) A final hearing on the matters giving rise to the provisional
suspension shall be adjudicated by at least a quorum of the Board in
accordance with the procedures set forth in Rule 8340(d) through (j).
If a panel of Board members conducted the provisional hearing pursuant
to Rule 2287(b)(1)(iv), the Board members that participated in the
provisional hearing shall not participate in the final hearing. If the
Covered Person has requested a final hearing, the final hearing by the
Board shall be conducted within 14 calendar days of the request by the
Covered Person for a final hearing, absent exceptional circumstances
which necessitate a reasonable delay of the hearing. If the Covered
Person does not request a final hearing within 10 calendar days of the
written decision referenced in subsection (b)(3), the Board shall
schedule the final hearing.
(2) Within 7 business days of the conclusion of the final hearing,
the Board may take one or more of the following actions:
(i) order that the Covered Person's registration be reinstated,
suspended, or revoked, upon a vote in favor of reinstatement,
suspension, or revocation by two-thirds of a quorum of the members of
the Board; or
(ii) reinstate the Covered Person's registration subject to any
requirements the Board deems necessary to ensure that horseracing will
be conducted in a manner consistent with the Authority's safety or
accreditation rules. The Board may also impose a fine upon
reinstatement in an amount not to exceed $50,000.00.
(3) The outcome of the final hearing shall be the final decision of
the Authority as that term is used in Rule 8350 and Rule 8370 and shall
constitute a final civil sanction subject to appeal and review in
accordance with the provisions of 15 U.S.C. 3058.
(d) This Rule 2287 shall not apply to Racetracks. Provisional
suspensions of Racetracks shall be governed exclusively by Rule 2117.
2290. Requirements for Safety and Health of Riders
2291. Jockey Eligibility
(a) A Jockey shall pass a physical examination given within the
previous 12 months by a licensed medical provider affirming the
Jockey's fitness to participate as a Jockey, as well as a baseline
Concussion test using the Sport Concussion Assessment Tool, Fifth
Edition, or such other generally accepted Concussion testing protocol
specified by the Authority's National Medical Director. Documentation
affirming the Jockey's fitness to participate as a Jockey and
successful completion of the physical examination and concussion test
in a form and format approved by the Authority's National Medical
Director shall be submitted by the Jockey to the Authority's electronic
platform designated for collection and storage of Jockey eligibility
documentation. Jockey eligibility documentation must be submitted by
the Jockey at least annually and updated examination, testing, and
affirming documentation may be required more frequently as needed
following illness, injury, or other circumstances impacting Jockey's
fitness to participate as reasonably determined by the Medical Director
or the Authority's National Medical Director. The Stewards may require
that any Jockey be reexamined and may refuse to allow any Jockey to
ride in a race or Workout pending completion of such examination.
(b) All Jockeys shall execute a written authorization permitting
the release of medical information as needed to assist in the
collection or receipt of Jockey eligibility documentation and
coordination of care in response to racing related injury or illness.
Medical information submitted to the Authority shall be maintained by
the Authority's electronic platform designated for collection and
storage of Jockey eligibility documentation.
2292. Rider Medical History Information
(a) At all times while mounted on a Covered Horse or Pony Horse at
a Racetrack, a Rider shall securely attach to the Rider's safety vest
one or more medical information cards describing the Rider's medical
history and any conditions pertinent to emergency care, including a
listing of any previous injuries, drug allergies and current
medications.
(b) The Stewards shall confirm compliance during their safety vest
inspections at the beginning of the season and with random inspections
throughout the Race Meet.
(c) The Stewards may, in their discretion, take disciplinary action
against, suspend, make ineligible to race, or fine any Rider found in
violation of this Rule.
2293. Equipment
(a) Helmets.
(1) Any Rider mounted on a Covered Horse or Pony Horse anywhere on
Racetrack grounds shall wear a properly secured safety helmet.
(2) All Starting Gate Persons shall wear a properly secured safety
helmet at all times while performing their duties or handling a horse.
(3) The safety helmet may not be altered in any manner and the
product marking shall not be removed or defaced.
(4) The Stewards, or their designee, shall inspect safety helmets
at the beginning of a Race Meet and randomly throughout the Race Meet.
[[Page 24626]]
(5) The clerk of scales shall report to the Stewards any variances
of safety helmets seen during the course of their work.
(6) The helmet must comply with one of the following minimum safety
standards or later revisions:
(i) American Society for Testing and Materials (ASTM 1163);
(ii) European Standards (EN-1384 or PAS-015 or VG1);
(iii) Australian/New Zealand Standards (AS/NZ 3838 or ARB HS 2012);
or
(iv) Snell Equestrian Standard 2001.
(b) Vests.
(1) Any Rider mounted on a Covered Horse or Pony Horse on the
Racetrack grounds must wear a properly secured safety vest.
(2) All Starting Gate Persons shall wear a properly secured safety
vest at all times while performing their duties or handling a horse.
All Starting Gate Persons are required to securely attach to their
safety vest one or more medical information cards describing their
medical history and any conditions pertinent to emergency care,
including a listing of any previous injuries, drug allergies, and
current medications.
(3) The safety vest may not be altered in any manner and the
product marking shall not be removed or defaced.
(4) The Stewards shall inspect safety vests at the beginning of a
Race Meet and randomly throughout the Race Meet.
(5) The clerk of scales shall report to the Stewards any variances
of safety vests seen during their course of work.
(6) The safety vest must comply with one of the following minimum
standards, as the same may be from time to time amended or revised:
(i) British Equestrian Trade Association (BETA):2000 Level 1;
(ii) iEuro Norm (EN) 13158:2000 Level 1;
(iii) American Society for Testing and Materials (ASTM) F2681-08 or
F1937;
(iv) Shoe and Allied Trade Research Association (SATRA) Jockey Vest
Document M6-3; or
(v) Australian Racing Board (ARB) Standard 1.1998.
2294. Weight of Riders
The weight of an approved safety helmet and an approved safety vest
shall be excluded from the required weight to be carried by a Jockey
during a race.
By direction of the Commission.
April J. Tabor,
Secretary.
[FR Doc. 2024-06911 Filed 4-5-24; 8:45 am]
BILLING CODE 6750-01-P
